CEO Medical Devices Biotechnology in Houston TX Resume C. Richard Piazza

C. RICHARD PIAZZA WWW.LINKEDIN.COM/IN/CRICHARDPIAZZA

PERFORMANCE SUMMARY It has been a privilege to be associated with so many fine companies. I have been fortunate enough to lead the turnaround or commercialization efforts within both early stage and Fortune level organizations. To accomplish this, one has to build the strategic plan and surround themselves with exceptional people. When this is done properly, the execution is game-changing and drives significant equity growth. At the same time, one has to be detailed and ensure this growth is cost-conscious. These have been strategic, high-value solutions in both stable and unstable environments but they were not accomplished alone. I have developed a keen ability to hire the right people and provide them the latitude to exercise innovation in their roles. Together, we build detailed and effective strategies that solve business and manufacturing problems. As the leader, I pride myself in being versatile in communication and instilling customer confidence while promoting relationships that fortify, drive, and sustain Shareholder value.

ACHIEVEMENT CATEGORIES REPRESENTED BELOW  Leadership  Product Launch  Profit Restoration

 Sales Strategy  Restructures  Brand Development

 Team Development  Key Opinion Leader Development  Operational Optimization

 Product Realignment  Segment Restructure  Turnaround

ACHIEVEMENT CATEGORIES DETAILED (PC USERS; HOVER CURSOR OVER TITLES FOR EXPANDED JOB DESCRIPTIONS AND CONTROL CLICK TO FOLLOW LINKS FOR EMPLOYER WEBSITES)

AAVP BIOSYSTEMS, HOUSTON, TX President & CEO

2013 – PRESENT

CORPORATE PROFILE: Developmental stage biotech company using gene delivery to provide cancer therapy. RESPONSIBILITY PROFILE: Responsible for all aspects of the company: strategy, general management, raising capital, and sourcing manufacturing.

 FUNDING & CAPITALIZATION: AAVP Biosystems had limited angel financing and Series “A” capital sources at early (pre-clinical) stage.

This required long term capital commitments and manufacturing sourcing. Within 30 days, investigated, identified, and targeted funding and a manufacturing source. This achieved the desired funding for clinical trials within 16 months.

LA JOLLA CAPITAL PARTNERS, LLC, HOUSTON, TX Principal Strategist CORPORATE PROFILE: Consulting firm specializing in health care markets. RESPONSIBILITY PROFILE: Led all aspects of the company.

2005 – 2013

CLIENT: PANASONIC HEALTHCARE (Panasonic was a significant client with multiple projects)  PRODUCT LAUNCH: Commissioned by Senior Management to launch its first medical device product in the US. Built the North American business plan and assembled the team to execute. Within 6 months, successfully launched the on time and within budget. This was recognized as a Best Practice for new product releases.

 BRAND DEVELOPMENT: Worked in tandem with Japanese counterparts to develop name recognition in the US healthcare market.

Identified, targeted, negotiated, and hired outside advertising agency and collaborated on strategy, led promotions, print, and tradeshows. This established the brand.

 SALES STRATEGY / TEAM DEVELOPMENT: Tasked with building a sales force to sell products directly to healthcare professionals. Built job descriptions, created advertising, selected, interviewed, and recommended candidates. These efforts established infrastructure for a North American sales in 45 days.

 KEY OPINION LEADER (KOL) DEVELOPMENT: Determined to build a network of KOL to bolster sales. Identified targets, approached, probed, and developed targets; connecting to Panasonic leadership. In 30 days, this delivered 10 physician KOLs; adding the needed credibility to the company and products.

C. RICHARD PIAZZA • PAGE 2 CLIENT: CHEMOKINE (publically traded)  TURNAROUND: Recruited by Chemokine to serve as Interim CEO and lead turnaround. Built a multipronged strategy to reduce costs in an effort to sell the company. Within 45 days, formulated and implemented new corporate and clinical strategy, restructured, reduced expenses ($1M), and began the search for a buyer. In 10 months, this turnaround led to the sale of the company. CLIENT TRAUMATEC

 PRODUCT REALIGNMENT / SEGMENT RESTRUCTURE: Tasked by the leaders of Trauma Tec to determine root causes as revenue was

sluggish. Investigated and identified poor market segmentation and product design issues. Created a new business plan focused on new segments, established relationships with industry leading KOL, and developed new product design (with external engineering firm). This repositioned the company with a new business plan and model.

VITAGEN INC., La Jolla, CA 1994-2001 and 2002-2005 President & CEO CORPORATE PROFILE: Company developed the world’s first artificial liver. RESPONSIBILITY PROFILE: Responsible for all aspects of the company including manufacturing, finance, capital acquisition, clinical affairs, regulatory and investor relations.

 TURNAROUND: In the wake of bankruptcy, recruited by the Stakeholders to assume the CEO role, build a recovery and growth

strategy, acquire funding, and establish a new management team. Retained legal counsel and targeted and secured relationships for venture Capital (VC) funding. Within 24 months, secured $25M in Series A, Series B, and C financing resulted in a total additional $80M, recruited a new leadership team, and relocated the company. This event was featured in multiple business journals as well as major media outlets and the company has evolved into a successful publically traded company.

MAXIA PHARMACEUTICALS, INC., 2001 - 2002 President & CEO RESPONSIBILITY PROFILE: Recruited by the Board of Directors to determine exit options. Investigated and identified that a sale would benefit the stakeholders. Selected an investment banking firm to find a suitable buyer and the company was acquired. MARQUEST MEDICAL PRODUCTS, INC. (NASDAQ: MMPI), ENGLEWOOD, CO 1992 – 1993 President & CEO CORPORATE PROFILE: $40M medical product disposables company with 350 employees, with emphasis on the surgical, respiratory and anesthesia areas. RESPONSIBILITY PROFILE: Responsible for all functional operations of the company including 350 employees with 7 direct, R&D, multi-plant manufacturing, sales and marketing, regulatory and international operations.

 RESTRUCTURE TO PROFITABILITY: Recruited by the Board to affect recovery after Compliance violations led to an FDA shut down. Investigation revealed inexperienced management was root cause. Built and executed a turnaround; targeted, approached, interviewed, and hired a new management, renegotiated with FDA, restructured financing, and re-launched products within 6 months. This restored profitability and positioned company. Marquest Medical Products was sold to Scherer Healthcare, Inc.

SMITH & NEPHEW SOLOPAK, CHICAGO, IL 1988 – 1992 President & CEO CORPORATE PROFILE: $2.5B worldwide supplier of drugs, surgical products, orthopedics and wound care treatments with 20,000 employees. RESPONSIBILITY PROFILE: Responsible for all functional areas of this international subsidiary including 700 employees with 7 direct, multi-plant manufacturing, clinical & regulatory, R&D, sales, marketing, and finance.

 PROFIT RESTORATION / OPERATIONAL OPTIMIZATION: Recruited to bolster sales and profitability. However, one week before the start of

this position the FDA issued a warning putting manufacturing in jeopardy. Investigated and identified the need for restructure; terminated or reassigned underperforming department heads, recruited, trained, and began mentoring a new team while negotiating with the FDA resolving all issues. Within 9 months, increased revenues 43% ($20M), profits $21M, and secured 25% market share in key markets while tripling manufacturing output and reducing costs. This made the company attractive to buyers and it was sold.

C. RICHARD PIAZZA • PAGE 3

EDUCATION

STATE UNIVERSITY OF NEW YORK BS, Speech Pathology BS, Economics AS, Business Administration Studies toward a PhD in Economics

PROFESSIONAL AFFILIATIONS, BOARDS, & APPOINTMENTS ADVAMED (Association of U.S. Medical Device Manufacturers—former), BIOCOM (So. Cal. Association of Biotechnology Companies—former), BioHouston (Houston Association of Biotech/Med. Device Companies, Houston Technolgy Center (Reviewer) Acculaser, Inc. (former), VitaGen, Inc. (former), MAXIA, Inc. (former), NextEra Therapeutics (former), Nexell Therapuetics, Inc. (NASD) (former), Chemokine Therapeutics, Inc. (TSX, NASD) (former), Marquest (NASD) (former), Everest & Jennings (NYSE-former), Project Concern International (International Charity-former), Kidney Foundation of California (former), Dean’s Committee UCSD School of Medicine (former), BioHouston (current), LipoNova, AG (Director former), Zetiq Technologies (Director), GynTec Medical, Inc. (Chairman), AccuRead (Chairman), Traumatec, Inc. (Director), nanoTox, Inc. (Director), Nexus Health Systems, . Ltd. (Board Member), Genway Bio, Inc.(Director), n3D Inc. Advisory Board, UCSD School of Medicine-Dean’s Board, MD Anderson Cancer Center Department of Technology Transfer (Advisor). Guest Lecturer UC San Diego, Guest Lecturer-Cal Tech/MIT, Guest Lecturer-USC, Guest Lecturer-University of Wisconsin, Guest Lecturer-Rice University Jones School of Management