Neil B. Kennedy

Mr. Kennedy joined HMC in November 2006 as Senior Managing Director. He has over 25 years of merger arbitrage and event-driven investing experience. Most recently, Mr. Kennedy was with Hamilton Investment Management LLC (“HIM”) where he served as a managing member and as co-head of mergers at Hamilton Partners Ltd, HIM’s predecessor. Previously, he served as executive director in the risk arbitrage and special situations group at Swiss Bank Corporation (“SBC”) and O’Connor & Associates, SBC’s predecessor. Prior to that, Mr. Kennedy was an options market maker on the floor of the American Stock Exchange. Mr. Kennedy is a graduate of the State University of New York (New Paltz).

Charles E. Perilman

Mr. Perilman joined HMC in 2007 as Managing Director of the Harbert Capital Structure and Convertible Arbitrage team. In 2008, he joined the Harbert Event Opportunities team as a Managing Director. He has worked for over 30 years as a Trader and Portfolio Manager of convertible and related securities. From 1995 to 2007, Mr. Perilman worked at Angelo, Gordon & Co., where he was responsible for their Global Convertible Preferred portfolios. Prior to Angelo, Gordon, he helped form the Convertible Department at Lazard Freres & Co. which included structuring convertible financings. From 1982 to 1990, he was a Managing Director at Paine Weber where he was responsible for proprietary and institutional convertible trading. One of his responsibilities there was managing a portfolio focused on event driven research and directional hedging. Mr. Perilman holds a Bachelor of Arts degree from New York University and a Master of Business Administration degree from The Wharton School at the University of Pennsylvania.

John H. Frank

Mr. Frank joined HMC in December 2006 as a Director of Investments. Before joining HMC, he was a Senior Analyst at Charter Management, a New York based merger arbitrage and event driven fund. Prior to Charter, he was an Analyst at Miller Asset Management where he researched special situation and event driven equities. Before Miller, Mr. Frank was a founding member of the investment team at Investment Strategies Fund LP, a value-oriented fund focused on catalyst driven equities. Prior to coming to the buy-side, Mr. Frank was an Associate Director at Georgeson & Company where he consulted publicly traded companies on issues related to shareholder value and communications. Mr. Frank has a Bachelor of Arts degree in Finance from the University of Iowa.

Niraj Gupta

Mr. Gupta joined HMC in June 2007 as a Director of Investments. Prior to joining HMC, he was a Vice President at Innovation Advisors (“IA”) in New York, focusing on mergers & acquisitions and equity private placements for high-growth technology companies in the US, Europe and India. Prior to joining IA, Mr. Gupta was a Telecom Specialist and Senior Analyst in the London and New York practices of Broadview International, a global mergers & acquisitions investment bank focused on the IT, Media and Communications sectors. Before joining Broadview, Mr. Gupta was an M&A analyst in the Industrials group at Wasserstein Perella & Co. Mr. Gupta holds a Bachelor of Science degree in Chemical Engineering from the Massachusetts Institute of Technology and a Master of Business Administration degree with Beta Gamma Sigma honors from Columbia Business School.

Michael P. Reinking

Mr. Reinking joined HMC in April 2007 as a Trader. Before joining HMC, he worked on the Institutional Sales and Trading desk at Ladenburg Thalmann Financial. Prior to joining Ladenburg Thalmann Financial, he was the trader for a Long/Short Utility and Energy portfolio at Jemmco Capital, a market neutral hedge fund. Before Jemmco Capital, Mr. Reinking was employed at Hamilton Partners Ltd. as a trader for a relative value portfolio. Prior to being hired onto the trading desk at Hamilton, Mr. Reinking was an Operations Manager at the firm. He began his career at Deutsche Bank as an Investment Administrator. Mr. Reinking is a Chartered Financial Analyst and has his Series 7 and 63 licenses. Mr. Reinking graduated from Pennsylvania State University with a Bachelor of Science degree in Finance and International Business.