ABOUT MM DILLON AND OUR PARTNERS

M.M. Dillon is a Leading Healthcare and Technology Focused Boutique Investment Bank that offers a unique blend of extraordinary senior transaction execution capabilities combined with extensive C-Suite corporate sector experience. Founded in 2004, headquartered in Greenwich Connecticut in the heart of the majority of hedge fund investors, M.M. Dillon works with leading public and private healthcare and technology companies, hedge funds, private equity and venture capital firms across the healthcare and technology landscape with a primary focus on Biotech, Biopharma, Specialty Pharma, Devices, Software, Security and Equipment.

THE FOUR DILLON DEAL NAVIGATION BEACONS

M.M. Dillon offers senior investment banking and industry sector talent to client transactions with objectivity, insight and unsurpassed service. Our firm navigates the complexity of executing these client transactions based on four primary beacons described below.

Transaction CapabilityTransaction Capability

broad execution

MM Dillon partners consist of leaders in M&A, Capital Markets, Research and Restructuring practices from firms such as SG Warburg, Goldman Sachs, CS, Greenhill, Citi, Smith Barney, Dillon Read, Morgan Stanley, JP Morgan, BofA, UBS, PaineWebber, Kidder Peabody, Chanin and others. We are widely regarded as experts in our fields, having advised clients through hundreds of transactions across the full spectrum of IB products and deals not just one sub-sector.

Corporate ManagementCorporate Management

operating c-suite knowledge

We, unlike our competitors large and small, consist of partners that have true hands on operating experience in our focus sectors that includes: CEO, CFO, COO and lead board positions. Our ten partners have over two dozen C-Suite positions between them supplemented by over three dozen critical board roles. This operating knowledge allows us a unique perspective in advising our clients and closing transactions.

Investment BackgroundInvestment Background

principal perspective

We are all invested in our clients, holding equity positions in a majority of our clients along side them as principals focused upon long term value. Additionally, we have raised and have run multiple private equity funds giving us the contacts and judgment that comes with this principal investing activity.

Breadth of ContactsBreadth of Contacts

spectrum of relationships

We have the unusual position of having deep corporate relationships along with our homeland hedge funds, the broader private equity community, the venture funds and the public markets. We supplement this broad corporate and institutional investor reach with the high net worth and family office contacts of Brookline Capital Markets. This full spectrum of key investor relationships combined with senior healthcare and technology industry contacts allows us to mix and match horses for courses in each assignment and understand the drivers of decision making at each participant.

Completed Transactions

Over 130 plus closed transactions completed for clients across the full spectrum of investment banking products raising over $3.5 billion and advising on over $4 billion in deals. Below are included a limited selection of  transaction tombstones completed for our clients. More detail on these deals are provided in the media section tab and in our corporate presentation that can be downloaded below.

The Dillon Team

Our team of senior bankers is widely regarded as one of the most experienced in our focused sectors of healthcare and technology investment banking.

Partners

Michiel McCarty

Chief Executive Officer

MM Dillon
Gleacher Partners
SG Warburg
Dillon Read
Citicorp

41 Years

Wharton
Vanderbilt

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George Bickerstaff

Managing Director

MM Dillon
Novartis Pharma
Workscape
IMS Healthcare
GE

35 Years

HBS
Rutgers

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Joe Chiarelli

Managing Director

MM Dillon
Sanuwave
JP Morgan
Oppenheimer
Coopers & Lybrand

25 Years

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Mike Espinal

CFO

MM Dillon
Chanin Capital
Duff & Phelps
BDS Securities

18 Years

Fordham University
StonyBrook University

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Julia Gregory

Managing Director

MM Dillon
Contrafect
Five Prime
Lexicon
Dillon Read

35 Years

Wharton
George Washington

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Kevin Slocum

Managing Director

MM Dillon
Greenwich Tech Advisors
SoundView
Kidder Peabody
Lehman
LF Rothschild

32 Years

UCONN

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Jeff Swarz

Managing Director

MM Dillon
Caris & Company
Life Science Partners
Credit Suisse
Goldman Sachs

32 Years

Johns Hopkins
Rochester

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Advisory Directors

Doug Harvey

Advisory Director

MM Dillon
CRT Capital Group LLC
Salomon Smith Barney
Citicorp

30 Years

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Bob Hastings

Advisory Director

MM Dillon
UBS Warburg
PaineWebber

34 Years

Northwestern
Holy Cross

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Chad Weiss

Advisory Director

MM Dillon
Royal Bank of Canada
Bank of America
Smith Barney
Citicorp

36 Years

Chicago
Vanderbilt

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Bob Young

Advisory Director

MM Dillon
Mirador Capital
Tessera
Curl
Dillon Read
IBM

41 Years

MIT
Delaware

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Download our corporate power point presentation

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Dillon Transaction Summaries

M.M. DILLON & CO SERVES AS A FINANCIAL ADVISOR TO CARDAX IN ITS EXCHANGE OFFER FOR WARRANTS AND CONVERSION TO COMMON STOCK

M.M. DILLON & CO SERVES AS A FINANCIAL ADVISOR TO CARDAX IN ITS EXCHANGE OFFER FOR WARRANTS AND CONVERSION TO COMMON STOCK

M.M. Dillon & Co acted as a financial advisor to Cardax Inc (OTC CDXI ) in its registered public exchange offer for 27.5 million warrants.. Read More →
M.M. DILLON & CO SERVES AS A FINANCIAL ADVISOR TO WINDSTREAM COMMUNICATIONS IN ITS SPIN OFF OF UNITI AND RELATED EXCHANGE OFFER FOR DEBT

M.M. DILLON & CO SERVES AS A FINANCIAL ADVISOR TO WINDSTREAM COMMUNICATIONS IN ITS SPIN OFF OF UNITI AND RELATED EXCHANGE OFFER FOR DEBT

M.M. Dillon acted as an advisor to Windstream Communications (NYSE WIN) in the contested spin off and related debt exchange for $542 million working with.. Read More →
M.M DILLON & CO SERVES AS FINANCIAL ADVISOR TO CAREDX INC IN ITS ACQUISITION OF ALLENEX AB

M.M DILLON & CO SERVES AS FINANCIAL ADVISOR TO CAREDX INC IN ITS ACQUISITION OF ALLENEX AB

MM Dillon acted as an advisor to CareDx, Inc. (Nasdaq:CDNA) the completion of its previously announced acquisition of publically traded Allenex AB. The acquisition included.. Read More →
M.M DILLON & CO SERVES AS FINANCIAL ADVISOR TO POLARIOD IN BANKRUPTCY

M.M DILLON & CO SERVES AS FINANCIAL ADVISOR TO POLARIOD IN BANKRUPTCY

MM Dillon was retained by Boies, Schiller & Flexner LLP as a financial consultant for the benefit of their clients, Douglas A. Kelley, Trustee et.. Read More →
M.M DILLON & CO SERVES AS FINANCIAL ADVISOR TO CONTRAFECT CORPORATION IN ITS UNDERWRITTEN PUBLIC OFFERING OF COMMON STOCK AND WARRANTS

M.M DILLON & CO SERVES AS FINANCIAL ADVISOR TO CONTRAFECT CORPORATION IN ITS UNDERWRITTEN PUBLIC OFFERING OF COMMON STOCK AND WARRANTS

MM Dillon acted as a financial advisor to ContraFect Corporation (CFRX), in its underwritten public offering of 32,000,000 shares of its common stock and related.. Read More →
M.M DILLON & CO SERVES AS SOLE FINANCIAL ADVISOR TO QUANTASOL IN ITS ACQUISITION BY JDSU

M.M DILLON & CO SERVES AS SOLE FINANCIAL ADVISOR TO QUANTASOL IN ITS ACQUISITION BY JDSU

M.M. Dillon & Company (“Dillon”) acted as sole financial advisor to QuantaSol Ltd. In its sale to JDSU (NASDAQ: JDSU). JDSU is now Viavi Solutions... Read More →
M.M DILLON & CO SERVES AS FINANCIAL ADVISOR TO INOVIO IN THE SPIN OFF OF GENEOS THERAPEUTICS, INC

M.M DILLON & CO SERVES AS FINANCIAL ADVISOR TO INOVIO IN THE SPIN OFF OF GENEOS THERAPEUTICS, INC

MM Dillon advised Inovio in the spin-off of GENEOS Therapeutics, Inc., to develop and commercialize neo-antigen based personalized cancer therapies. While Inovio pursues the unique.. Read More →
M.M. DILLON & CO. ADVISES MOLECULAR INSIGHT CHAPTER 11 BANKRUPTCY

M.M. DILLON & CO. ADVISES MOLECULAR INSIGHT CHAPTER 11 BANKRUPTCY

CRT Investment Banking LLC n/k/a M.M. Dillon & Co. served as financial advisor and expert witness to Molecular Insight Pharmaceuticals, Inc. in connection with the.. Read More →
M.M. DILLON & CO. SERVES AS PRIVATE PLACEMENT AGENT IN  CELL THERAPEUTICS, INC COVERTIBLE NOTE FINANCING

M.M. DILLON & CO. SERVES AS PRIVATE PLACEMENT AGENT IN CELL THERAPEUTICS, INC COVERTIBLE NOTE FINANCING

Cell Therapeutics, Inc. (“Cell Therapeutics” or the “Company”) engaged M.M. Dillon & Co. (“Dillon”) to privately place $82,000,000 of 5 year, 6.75% Convertible Senior Notes... Read More →
M.M DILLON & CO SERVES AS FINANCIAL ADVISOR TO MINORITY SHAREHOLDERS OF TEXAS SPINE & JOINT HOSPITAL IN JOINT VENTURE WITH UNITED SURGICAL PARTNERS

M.M DILLON & CO SERVES AS FINANCIAL ADVISOR TO MINORITY SHAREHOLDERS OF TEXAS SPINE & JOINT HOSPITAL IN JOINT VENTURE WITH UNITED SURGICAL PARTNERS

MM Dillon advised the minority shareholders of Texas Spine & Joint Hospital (TSJH) which has partnered with Baylor Scott & White Health (BSWH) and United.. Read More →
View All Dillon Transactions

Dillon Transaction Capabilities

We partner at Dillon with our clients to achieve long term value optimization, providing strategic mergers & acquisitions advice and execution, distributed capital financing services, corporate partnering, expert witness advisory and restructuring advisory services. We leverage our partners extensive market and corporate experience to navigate through complexity and deliver superior client outcomes.

At M.M. Dillon & Co., we offer outstanding capital raising and advisory services led by 30 plus years experienced partners across all forms of securities. By leveraging our direct relationships with trading firms, we also offer our clients unique execution in the capital markets. M.M. Dillon & Co.’s professionals provide clients with focused, customized solutions for capital structure and strategic needs by tapping into our base of extensive industry and execution knowledge.

Advisory Services

M.M. Dillon & Co.’s experienced bankers serve as advisors in growth and middle-market transactions. With an average of over 30 years at major Wall Street firms, M.M. Dillon & Co.’s senior bankers leverage their extensive M&A and restructuring backgrounds to ensure a consistent flow of sound advice. Our professionals advise their valued clients on M&A and financial restructuring possibilities and provide fairness opinions, solvency opinions, expert witness and general advisory services.

Senior Level Commitment to Growth and Middle-Market Deals.  
M.M. Dillon & Co.’s strategy is to provide high-quality, seasoned advice to growth and middle-market clients. In an era in which major commercial and investment banks leverage junior professionals for smaller assignments, we believe that all of our clients are entitled to knowledgeable advice from experienced senior professionals.

Commitment to Our Clients

The other key element to M.M. Dillon & Co.’s advisory strategy is our commitment to developing long-term relationships with growth and middle-market clients and their key investors. In an increasingly transaction-oriented M&A market, M.M. Dillon & Co.’s goal is to develop strong relationships that generate repeat assignments.

Mergers & Acquisitions Advisory

M.M. Dillon & Co.’s seasoned M&A bankers provide clients with advice related to buy-side, sell-side, joint venture, strategic investors and shareholder rights plans transactions. Our goal is to become a trusted advisor sought by management and shareholders to assist companies in reviewing, defining and implementing strategic alternatives, whether that includes divestiture, sale, acquisition, joint venture, takeover defense or basic pursuit of an internal business plan.

Restructuring

M.M. Dillon & Co.’s restructuring team provides financial advisory services with a capital markets perspective to its clients. M.M. Dillon & Co.’s bankers have a wide array of restructuring experience, including advising companies, boards of directors, and equity and debt holders on various alternatives, as well as providing opinions of solvency and refinancing options. Our restructuring bankers have over 55 years of experience and have restructured over $100 billion of debt. The following provides a list of services that M.M. Dillon & Co.’s restructuring clients have access to:

Distressed capital raising
Exchange offers
Pre-packaged filings
Debtor-side advisory
Creditor-side advisory
Distressed asset sales
Fairness and solvency opinions

M.M. Dillon & Co’s bankers assist our middle-market and entrepreneurial clients by providing structuring, pricing and execution capabilities in connection with equity and debt offerings. By tapping into an extensive investor base comprised of large hedge funds and leading private equity firms, our professionals strive to provide clients with the most competitive deal terms possible.

Private Placements

M.M. Dillon & Co.’s private placement capabilities include raising a broad range of equity and debt financing across a company’s full life cycle. Our expertise is supported by deep investor relationships and significant transaction successes across this full spectrum.

M.M. Dillon & Co.’s private placement advisory services are characterized by active involvement from a senior level banking team, including both capital raising and industry sector professionals.

Equity & Debt Financing

M.M. Dillon & Co. has expertise placing the full spectrum of debt and equity products to provide clients with timely, creative and financially sound capital solutions. Our bankers tap into the capital markets to facilitate placement of investment-grade, convertible and subordinated debt, PIPEs, structured debt, minority investments, follow-on and secondary equity offerings and IPOs.

Firm History

The predecessor of M.M. Dillon & Co. was CRT Investment Banking, which was formed in 2004 by a group of senior Wall Street executives to complement the existing sales, trading and research business of CRT Capital Group. CRT Capital had developed into one of the dominate trading partners for hedge funds and private equity handling over institutional 1,600 accounts. This investment banking startup within CRT Capital Group grew into an integrated corporate finance and M&A advisory business unit originating and executing almost 100 transactions across the full spectrum of industries. CRT Investment Banking functioned as a key part of CRT Capital Group until January 2009 at which time the investment banking partners funded a management buyout of the investment banking business post the trading disruptions of 2008.

The business plan since the independent formation of CRT Investment Banking was to create a successful spin off that was seamless in its transition to our clients. The initial step in the plan was to maintain a common name with its distribution partner, CRT Capital Group. With this milestone achieved, the partners of CRT Investment Banking changed the name of the firm to M.M. Dillon & Co. in November 2010 but continued the same client focused plan.

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Contact Info

1 Sound Shore Drive, Greenwich, CT 06983 Phone: 203.569.6800 Fax: 203.569.6890