Keith Carter Email and Phone Number

Consulting services - business development, intellectual property management, M&A, operational business planning and financial advice - mainly to pharmaceutical and healthcare companies and advisors. Where appropriate a board seat is taken. Projects include:- Advisory Board director Wiz-Team SA (CH) - broad finance and business development support for this Lausanne-based leader in events management solutions - Advisor to Avego Healthcare Capital, seeking and appraising non-US investment opportunities for this management-driven entrepreneurial PE investor. - Technical expert to Competition Monitoring Trustee for the European Commission - Cases M.7275 Novartis / GSK (targeted oncology compounds); M.7559 Pfizer/Hospira, (infliximab Biosimilar and hospital Sterile Injectables); Abbott / SJM (cardio devices VCDs and innovative steerable sheath) and Beckton Dickinson/Bard (biopsy devices and drainage catheters), Danaher/GE Biopharma (Pharma manufacturing and lab equipment); Stryker/Wright (Prosthetics); Illumina/GRAIL (MCED screening).Business Development for:- innovative healthcare packaging device IP company- innovative needle-free injector company- bio-nutraceuticals companyAdvisory:- tech spin-out- niche London-based investment bank- equity analysts

As Technical Expert I give /have given specialist M&A and business operations support to the Monitoring Trustee in seven major international transactions: GSK/Novartis, BD/Bard, Pfizer/Hospira, Abbott/St. Judes Medical, Danaher/GE Biopharma, Stryker/Wright, and Illumina/GRAIL. The expertise required combines investment banking with bio-pharmaceutical/devices general management and BD. When an M&A transaction gives rise to excessive market concentration the regulatory authorities agree a remedy with the parties, normally in the form of Commitments to divest selected assets. To assist the regulatory authorities in ensuring that the Commitments are complied with, a Monitoring Trustee is appointed. The Technical Expert works as an integrated member of the Monitoring Trustee team in overseeing and supporting the implementation of competition remedies imposed by the regulatory authorities. The areas of technical expertise required include:- M&A / licensing: Divestment of key IP assets by means of license agreement or corporate sale; process, form, structure and detail of draft documentation with particular regard to compliance with the Commitments. Practical input where flexibilities are required by circumstance. Preventative guidance to all parties to avoid unnecessary hitches.- Maintenance of business viability, marketability and competitiveness. This requires monitoring of ongoing business operations, both commercial and development including clinical trials as they transition / are divested.- Reporting to the European Commission and other authorities (monthly and Reasoned Opinions).The activities required to carry out these functions are: frequent meeting attendance (mostly teleconferences); solicitation and assessment of materials, both transactional and operational; viability assessment and modelling; report writing and editing, analysis; situation-sensitive intervention.

Wiz-team is a rapidly-growing Swiss-based provider of market-leading events management solutions, from event registrations to workforce management. Its core product, Event-Works, is an all-in-one event management platform with a suite of customisable tools designed to flex and scale to the changing needs of an evolving event delivery.

SweetGum is an Intellectual Property development company focused on healthcare and protection.

Avego Healthcare Capital is an Atlanta-based investment group of strategic entrepreneurs with a successful track record of building businesses. As experienced operators, the approach is highly active and management-driven. As Advisor I was seeking non-USA investment opportunities: identifying, analysing, evaluating, structuring, managing.

Skyline is a vehicle for the talents of Virinder Nohria, Kevin Scotcher and myself. Looking at opportunities at the intelligent end of the pharma market.

The company has developed an excellent device for human and animal pharmaceutical applications, and is actively partnering the device. Current partners include GSK for vaccines.Based in Paris.

Remained on the board as an NED offering continuity and support. Member of the audit committee.

Allergy Therapeutics is a fully-integrated specialist pharmaceuticals company. I was a leading member of the team which bought into the company, without VC backing, from SmithKline Beecham. During my tenure and under my leadership the business:Grew from £11m sales to £36m and neared positive cash-flow Implemented innovative sales growth projectSuccessfully raised prices annuallyBecame quickly independent of SmithKline Beecham (systems, IT, regulatory, finance, quality, purchasing)Took an undeveloped portfolio of IP through every stage of the development process from pre-clinical to submission for registration, including two successful phase III studiesAGY was a leader in upgrading clinical development in the allergy vaccine field, and conducted the largest ever phase III trials and the only programme to succeed in a mainly N America populationModernised all its operations from manufacturing to sales and marketing, Strengthened every area of management Implemented a 'lean manufacturing' initiativeImproved compliance across the board and passed numerous regulatory inspectionsBuilt a new manufacturing unit and refurbished an old oneRaised a total of approx £90m in outside financeRestructured financially, swapping debt for equity (ultimately sold at a profit)Listed on AIM, and completed three secondary equity financingsRaised €40m senior debt financeAnalysed many M&A opportunities and acquired its Italian distributorEstablished new commercial operations in Spain, Austria, UK and Eastern EuropeOut-licensed in Canada and CEELaunched Pollinex Quattro, the first innovative allergy vaccine since the 1970s, as a named patient productConfronted the challenges associated with an extended FDA 'clinical hold' and consequent loss of investor and analyst confidence, keeping the core business on an accelerating growth path and keeping the team together and focused.

NatWest Markets was the NatWest Banking Group's investment banking operation, with ambitions to be a top-10 global investment bank. My role was a sector specialist in corporate finance, co-leading the pharma group, advising pharmaceuticals, biotech and healthcare companies on financing, M&A and strategy. Deals included the sale of EGIS, a Hungarian pharmaceutical company, to Servier. This transaction began as a mandate to identify a strategic investor to acquire, from the Hungarian state, its remaining 30% stake and ended as NatWest Markets' most lucrative principal trade ever, netting the bank over $25m in profit.

Carter Edwards + Partners was a 'corporate finance boutique' specialising in advice to the pharmaceuticals and life-sciences industries. A two-man firm, CEP counted SmithKline Beecham, Proctor and Gamble and Janssen (J&J) amongst its clients, and offered advice on acquisitions of products (Corsodyl mouthwash) and businesses (SSW for SmithKline Beecham); This business was folded into NatWest Markets as the core of the Pharma Group.

a bulge bracket US investment bank renowned for High Yield Bonds as a powerful financing tool for corporate growth and leveraged buy-outs. DBL was an innovator in this field and the London CF team worked on LBOs of BAT, IC Gas and others, as well as raising over $700m in Euroconvertible bonds.

Commercial banking in Portugal and general corporate finance advice (IPOs, rights issues, M&A) in London.