ACG NY Forward Breakfast Program - 062217

Prior to joining Balance Point, Mr. Kaplan was a Senior Vice President for BNY Mellon Alcentra Mezzanine Partners, L.P. where he was responsible for transaction sourcing, deal execution and the monitoring of portfolio companies. Mr. Kaplan was a member of the investment committee and served on the boards of directors of several portfolio companies. Mr. Kaplan began his career in the investment banking group of Veronis Suhler Stevenson, an independent investment bank and private equity fund specializing in the media industry, where he completed more than 25 corporate finance and private equity related transactions totaling over $2.0 billion in aggregate deal value.

Mr. Kaplan received his B.A. from Cornell University and was awarded a Cornell Fellowship Scholarship.

Mr. Kaplan enjoys competing in triathlons and century races and hopes one day he can ride up Alpe d'Huez.

David is a senior managing director and a senior deal professional for Antares Capital. He works in capital markets where he is responsible for structuring and syndicating Antares transactions.

David is one of the founding partners of Antares Capital and was responsible for capital markets activities and for the purchasing and trading of investments for Antares’ securitized investment funds. Prior to forming Antares Capital, David worked in the Corporate Finance Group at Heller Financial. He also worked for Citicorp’s leveraged capital group. He is a certified public accountant and began his career at Arthur Andersen.

David graduated with a bachelor’s degree from Augustana College and presently holds a Series 7 and 63 certifications from FINRA.

Ed is a managing director in the New York office of Duff & Phelps and a member of the firm’s Consumer, Retail, Food and Restaurants group. He has over a decade of experience advising companies in investment banking and corporate strategy.

Ed specializes in the execution of mergers and acquisitions, exclusive sales and divestitures, private placements and recapitalization transactions. In addition, he has advised boards of directors and special committees, and issued fairness and solvency opinions for leveraged recapitalizations, change of control transactions and special situations.

Ed’s recent engagement experience includes Eastern Mountain Sports on its sale to Versa Capital Management, LLC; Ultra Stores, Inc., on its sale to Signet Jewelers Limited; Zumiez Inc. on its acquisition of Blue Tomato; Healthcare Laundry Systems sale to Compass Group PLC (a Buyouts Magazine Deal of the Year);The Phoenix Companies, Inc., on the divestiture of PFG Holding, Inc., to Tiptree Financial Partners, LP; Balducci’s, LLC on its sale to Angelo, Gordon & Co. portfolio company Kings Super Markets, Inc.; The Marlin Firearms Co. on its sale to Cerberus Capital Management’s portfolio company Remington Arms Co.; and Tourneau, Inc., on its recapitalization transaction with Leonard Green & Partners, L.P.

James D. Rosener is a partner in the Commercial Department of Pepper Hamilton LLP. Mr. Rosener heads the firm's International Practice Group, is managing partner of the New York office and has served as a member of the firm’s Executive Committee. His practice is devoted primarily to international transactions, private equity, mergers and acquisitions and corporate financing.

Mr. Rosener has represented domestic and foreign private equity funds in transactions in more than 70 countries throughout the world, including platform and follow-on acquisitions; distressed buyouts, including in bankruptcy; corporate carve-outs and restructurings. He also has represented U.S.-based companies in transactions throughout Europe, Latin America and Asia (particularly, India and China), as well as several European, Indian, South American and Japanese companies in merger and acquisitions, financing and licensing transactions involving the United States. In addition, he also has represented management-led groups in the acquisition of businesses from divesting corporations.

Within the corporate financing practice area, Mr. Rosener has represented domestic and foreign issuers in public offerings (both U.S. and foreign listings), venture and mezzanine capital raising and traditional bank financing transactions. In addition, he has represented a number of issuers and bondholder groups in debt restructuring, recapitalization and work-out plans. Mr. Rosener regularly acts as international legal counsel to issuers and underwriters on off-shore public offerings in India, the United Kingdom and Europe.

Mr. Rosener worked in the corporate finance field for nine years before becoming a lawyer. His experience in senior financial positions included the initial and subsequent public offerings of equity and debt securities of a major international integrated oil producer and a health care company, the acquisition of several publicly held companies and the financing of several stand-alone projects.