AUVEN - Key Persons

Job Titles:

• Member of the Advisory Board
• Chief Financial Officer, Endo Pharmaceuticals / Former SVP & Chief Financial Officer, Pfizer, Inc

Job Titles:

• Corporate Counsel

Mr. Vita serves as Auven Therapeutics' Corporate Counsel and oversees the corporate legal affairs of the Fund, the Investment Advisor and their affiliates and subsidiaries in seven jurisdictions worldwide. Mr. Vita joined Auven Therapeutics as Corporate Counsel in 2007. He currently serves as Corporate Secretary to Auven Therapeutics' corporations in the US. Mr. Vita's focus is in the areas of corporate law, compliance, securities, mergers and acquisitions, secured transactions, fund formation, real estate, tax, insurance, labor and employment law. Prior to joining Auven Therapeutics, Mr. Vita was in-house corporate counsel overseeing the corporate legal affairs of Celtic Pharma, and spent an additional four years as a lawyer focused on the areas of general liability, commercial and corporate litigation. Mr. Vita is currently licensed to practice law in the States of New York and Connecticut. Mr. Vita received his J.D. from Brooklyn Law School.

Job Titles:

• Chairman of the Advisory Board

Job Titles:

• Member of the Advisory Board

Job Titles:

• Member of the Development Team
• Managing Director of Clinical Development

Dr. O'Connor is Managing Director of Clinical Development. He joined Auven Therapeutics with 10 years of practice in internal medicine and 20+ years of experience in the global pharmaceutical industry. He has participated in the development and approval of more than 20 compounds in both the US and Europe. He was previously head of development services at Celtic Pharma. After graduating in medicine, Dr. O'Connor spent four years in basic physiology/pharmacology research at Manchester University in the UK leading to a Ph.D. and then worked for ten years in the British National Health Service. He is a registered specialist in the UK, with accreditation in internal medicine and clinical pharmacology. Patrick joined Boots Pharmaceuticals in 1984, serving in a number of positions culminating in his appointment as Vice President Medical Research for Boots Pharmaceuticals in the US. In 1991 he joined Pharmaco (later PPD) and was appointed Chief Operating Officer for European Clinical Development Services based in Brussels, Belgium. In 1994, he relocated to the US to launch PPD's consulting services worldwide, and two years later he was appointed Head of Regulatory and Product Development for PPD. In 2002 he was appointed Head of Global Clinical Development at the Ferring Group of Companies, located in Copenhagen, where outsourcing of clinical development is a key component of just-in-time development.

Job Titles:

• Co - Founder
• Managing General Partner
• Member of the Management Team

Dr. Corr is Co-Founder and Managing General Partner of Auven Therapeutics. Dr. Corr retired from Pfizer Inc in December 2006 where he was Senior Vice President for Science and Technology. In 2002 and 2003, he also headed worldwide pharmaceutical research and development for Pfizer. Previously, Dr. Corr served as Executive Vice President, Pfizer Global Research & Development; and President, Worldwide Development. He also served as Senior Vice President, Discovery Research, at Monsanto/Searle and then, President of Pharmaceutical Research and Development at Warner Lambert/Parke Davis. Dr. Corr, who received his doctorate from Georgetown University School of Medicine, spent 18 years as a researcher in molecular biology and pharmacology at Washington University in St. Louis. When he left Washington University, Dr. Corr was Professor, Department of Medicine (Cardiology) and Professor, Department of Pharmacology and Molecular Biology. His research has been published in more than 160 scientific manuscripts. Dr. Corr is the recipient of numerous awards, including membership in the Alpha Omega Alpha National Medical Honorary Society, an Established Investigator Award from the American Heart Association, and a Research Career Development Award from the National Institutes of Health. He received the Washington University School of Medicine Teacher of the Year Award on several occasions and, in 1990, the Washington University Distinguished Faculty Award. In 2004, Dr. Corr was named a William Pitt Fellow at Pembroke College, Cambridge University, Cambridge, U.K. In addition to his work at Pfizer, Dr. Corr was Chairman of the Science & Regulatory Executive Committee of the Pharmaceutical Research and Manufacturers of America (PhRMA); Chairman of the PhRMA Foundation Board of Directors; and Chairman of the Hever Group, representing Chief Scientific Officers (CSO's) across the European and U.S. based pharmaceutical industry. He is a past Governor of the New York Academy of Sciences (and past Chairman of the Board of Governors) and a member of the Board of Regents of Georgetown University. Additionally, he is Chairman of the Board of the International Partnership for Microbicides and Chairman of the Board of Directors of the Critical Path Institute, in Tucson, Arizona; and serves on the boards of Furiex Pharmaceuticals, Inc.; Global Edit, Inc.; and the African Leadership Congress. He is a member of the National Academies' Institute of Medicine (IOM) Committee on Conflict of Interest in Medical Research, Education and Practice, the IOM Forum on Drug Discovery, Development and Translation and the IOM Committee on Accelerating Rare Diseases Research and Orphan Product Development.

Job Titles:

• Member of the Management Team
• Managing Director, Intellectual Property and Licensing

Dr. Warburg is Managing Director, Intellectual Property and Licensing for Auven Therapeutics. Previously, Richard was a partner at the law firms of Foley & Lardner LLP and Lyon & Lyon, and a law clerk with Fish & Richardson. Dr. Warburg has over 25 years experience in intellectual property litigation, strategic counselling, licensing and patent prosecution. Dr. Warburg has significant appellate, litigation, interference and worldwide prosecution and opposition experience in most technical areas including biopharmacology, proteomics, antisense, and diagnostic devices. Dr. Warburg is registered to practice before the U.S. Patent and Trademark office. He is admitted to practice in California and Massachusetts, and in the U.S. Courts of Appeals for the Ninth and Federal Circuits. Dr. Warburg is a graduate of Birmingham University, England, where he received his Bachelor of Science degree in 1978 and his Ph.D. in molecular biology in 1981. After a post-doctoral fellowship at Brandeis University, acting as an adjunct professor at Wellesley College, and an instructor at University of Massachusetts, he attended Suffolk University law school and graduated valedictorian magna cum laude in 1990. Dr. Warburg is the inventor on world-wide patents to a micro-centrifuge tube opening device, the inventor of the PATENTIAL board game concerning the biotech business model, and co-author of the book "Working to Improve Lives - An Illustrated Biotech" encyclopedia. He is also an author on numerous legal and scientific papers.

Job Titles:

• Member of the Development Team

Job Titles:

• Director of Investor Relations and Public Relations

James Auth serves as Auven Therapeutics' Director of Investor Relations and Public Relations. He has been with Auven Therapeutics since its inception in 2007.

Job Titles:

• Chief Information Officer
• Fund Administration

Mr. Cooper serves Auven Therapeutics as Chief Information Officer with over 15 years experience in the pharmaceutical/biotech industry managing large scale global implementations of data systems, networks, and applications. The list of companies where he had significant research and technical responsibilities includes Elan Pharmaceuticals, Burroughs/Glaxo Wellcome, Hewlett Packard, Solvay Pharmaceuticals, and Triangle Pharmaceuticals. Most recently, during his tenure as Sr. Director of Clinical Systems at AtheroGenics, Mr. Cooper was responsible for implementing, validating and managing all data systems, applications and a global network for a 6000 patient, 3 year cardiovascular outcome study. Mr. Cooper holds a B.S. ChE degree.

Job Titles:

• Member of the Advisory Board
• Chairman & CEO, Vantage Consulting Group / Former Chairman, Investment Advisory Committee, Virginia Retirement System

Job Titles:

• Advisory Board

Job Titles:

• Member of the Advisory Board

Job Titles:

• Member of the Advisory Board
• Director and Chairman of Stockton Holdings Limited / Former Chairman, Chicago Board of Futures Trading

Job Titles:

• Member of the Development Team
• Global Project Leader, Ophthalmology Programs

Mr. Weiss is Global Project Leader for Auven Therapeutics' ophthalmology programs. Mr. Weiss joined Auven Therapeutics in April 2011 with over 30 years of pharmaceutical industry experience, most recently in drug development program management. He is a clinical biostatistician by academic training with recent therapeutic experience in ophthalmology and solid organ transplantation. He has been a frequent participant in regulatory meetings with FDA and EMA. Prior to joining the company, Mr. Weiss was Senior Vice President of Lux Biosciences, a development stage biotechnology company specializing in immune-mediated ophthalmic diseases, where he planned and led a landmark clinical development program of a systemic immunosuppressive agent for the treatment of non-infectious posterior uveitis, from project inception through NDA and MAA submissions and post submission regulatory interactions. While at Lux, Mr. Weiss also led development activities for a novel topical agent for the treatment of Dry Eye Syndrome, from formulations development, CMC upscaling and toxicology through IND filing and the successful conduct of a first-in-man study. Mr. Weiss was one of the founders of Lux Biosciences and was instrumental in raising a $49 million Series A venture round and in the in-licensing of two clinical stage projects. Prior to Lux, he served as Senior Director, Program Management for Enzon, Inc., where he led US development activities for a transplant immunosuppressant licensed from a European pharmaceutical company. Earlier, Mr. Weiss had a 20 year career at Berlex Laboratories (now Bayer Healthcare) where he served as Director of Biostatistics and as Head of Drug Development Information Systems.

Job Titles:

• Co - Founder
• Managing General Partner
• Member of the Management Team

Mr.Evans-Freke is Co-Founder and Managing General Partner of Auven Therapeutics and has been associated with the biotechnology industry for over 30 years as an investment banker, asset manager, entrepreneur, company CEO, and venture capitalist. During the 1980s, he was lead investment banker to Genentech, AMGEN, Centocor, and a number of other leading biotech companies. He structured and placed over $500 million of highly successful R&D partnership financing, and served on the Development Boards of these companies. During this period, Mr. Evans-Freke was President of PaineWebber Development Corporation and later a member of PaineWebber Inc.'s Board of Directors. In 1990 Mr. Evans-Freke left Wall St. and founded Selectide Corporation, one of the first combinatorial chemistry companies, for which he served as Chairman until its sale to Hoechst in 1994. In 1991, Mr. Evans-Freke founded SUGEN, a drug discovery company focused on small molecule kinase and phosphatase inhibitors. He served as SUGEN's Chairman and Chief Executive Officer through its IPO in 1995 until its sale to Pharmacia for $720 million in 1999. Mr. Evans-Freke was also a co-founder of Fibrogen, Inc. and Royalty Pharma AG. In 2004, Mr. Evans-Freke co-founded Celtic Pharmaceutical Holdings L.P., a life science private equity firm focused on the pharmaceutical industry prior to joining Dr. Peter Corr in 2007 to found Auven Therapeutics. He serves on the Boards of CrossMatch Technologies, Inc. and Inspiration Biopharmaceuticals Inc. Mr. Evans-Freke also serves on the 800th Anniversary Appeal Board of Cambridge University, from which he holds a Degree in Law. Mr. Evans-Freke also sits on the Board of the Christopher and Dana Reeve Foundation and on the Cambridge Stem Cell Board. Mr. Evans-Freke was recently appointed by the Governor of the U.S. Virgin Islands to the Science and Technology Council for the Territory.

Job Titles:

• Chief Accounting Officer
• Group Treasurer

Mr. Barlow is Chief Accounting Officer and Group Treasurer of Auven Therapeutics and previously Celtic Pharma. Prior to that, Mr. Barlow worked in the healthcare industry as Assistant Controller of Emblem Health, Inc. an $8 billion managed care insurer. Mr. Barlow joined Emblem Health, Inc. in 2006 while it was still Health Insurance Plan of Greater New York and where he was responsible for a 48 person accounting staff. The next year the Company merged with Group Health, Inc., and Mr. Barlow's responsibilities shifted to integrating the two companies' accounting systems and to drafting the company's registration statement for its planned IPO. Mr. Barlow was also the Controller of The Topps Company, Inc., a $350 million publicly traded international consumer packaged goods company, from 1999 to 2006. Prior to that, Mr. Barlow was Vice President of Finance for Vidikron Technologies, Inc. a publicly traded international consumer electronics company from 1995 to 1999. Mr. Barlow also worked at General Instrument and RCA in various accounting and finance positions. At the beginning of his career, Mr. Barlow worked at a predecessor of Ernst & Young. Mr. Barlow is a Certified Public Accountant and Chartered Global Management Accountant. He earned a master of business administration degree in finance and accounting at Columbia University in 1981 and a bachelor's degree in political science at Boston University in 1976. He is a member of the American Institute of Certified Public Accountants and Financial Executives International.