Rockport’s unique global model and record of success attracts a pipeline of high-quality companies for institutional investors seeking private equity and PIPE investment opportunities in the life sciences industry.

Benefits to Rockport’s investors include:

Access To Top Performing, Closely Syndicated Financings – Due to its reputation of providing diversified resources, a non-exclusive success fee only model, and a record of success in raising two-times its allocation for every transaction represented, Rockport gains access to a pipeline of high quality companies for which the primary challenge is not raising capital. Rather, these companies have reached a later stage of development and now are focused on selecting new investors that can bring differentiated value to the existing shareholder-base. These financings typically are closely syndicated from among the existing investors and are not widely marketed.

Secured Investor Participation – Rockport receives a guaranteed allocation for its investor syndicate as part of its engagement with the company. Therefore, investors that work with Rockport have a higher probability of receiving allocation in the event that the transaction becomes oversubscribed, which has occurred in more than 75% of Rockport’s transactions.

Continued Insider Commitment -  Rockport’s investment candidates have been validated through an existing institutional shareholder base that has committed 25-50% of the current round. Existing institutional shareholders, who may also serve on the Board of Directors, have by far the most in-depth understanding of the company’s product offering, intellectual property, management team and investment return potential. Their continued participation and, potentially, willingness to become the largest collective shareholder provides tremendous validation of the opportunity.

Late-Stage, Lower Risk Investment Profiles -  Rockport’s investment candidates have completed or nearly have completed product development and generally have human clinical data. The company is either in the process of a pivotal trial or already has received FDA approval. At this stage of development the risks related to product design, manufacturability, safety and efficacy have been minimized. The company should be in a position to experience
a positive liquidity event, such as an acquisition, IPO or other transfer of ownership within
a three year horizon.

Identified, Outside Lead – Many of Rockport’s client companies already have identified a compelling lead investor with well-respected due-diligence criteria and have negotiated, competitive terms in place. In other cases, a member of Rockport’s network may lead
the transaction.