Brock Capital Group, LLC | Investment Bank on Axial

Brock Capital Group, LLC

Aerospace Product and Parts Manufacturing, Aircraft and automotive wire and cable (except aluminum, copper) made from purchased nonferrous metals (except aluminum, copper) in wire drawing plants, Aircraft and automotive wire or cable made from purchased copper in wire drawing plants, Aircraft carrier catapults manufacturing, Aircraft distributors (wholesalers), Aircraft engine cradles manufacturing, Aircraft engine instruments manufacturing, Aircraft engines and parts distributors (wholesalers), Aircraft equipment and supplies distributors (wholesalers), Aircraft hardware, metal, manufacturing, Aircraft lighting fixtures manufacturing, Aircraft loading hoists manufacturing, Aircraft Manufacturing, Aircraft seats manufacturing, Aircraft tire manufacturing, Ammunition (except Small Arms) Manufacturing, Ammunition (except sporting) distributors (wholesalers), Ammunition boxes, light gauge metal, manufacturing, Ammunition boxes, wood, manufacturing, Automotive or aircraft wire and cable made in aluminum wire draw

Advised

WesTest Engineering Corporation

in their acquisition by

Rantec Power Systems

December 2014

Brock Capital Group, LLC

Aerospace Product and Parts Manufacturing, Aircraft and automotive wire and cable (except aluminum, copper) made from purchased nonferrous metals (except aluminum, copper) in wire drawing plants, Aircraft and automotive wire or cable made from purchased copper in wire drawing plants, Aircraft carrier catapults manufacturing, Aircraft distributors (wholesalers), Aircraft engine cradles manufacturing, Aircraft engine instruments manufacturing, Aircraft engines and parts distributors (wholesalers), Aircraft equipment and supplies distributors (wholesalers), Aircraft hardware, metal, manufacturing, Aircraft lighting fixtures manufacturing, Aircraft loading hoists manufacturing, Aircraft Manufacturing, Aircraft seats manufacturing, Aircraft tire manufacturing, Airport Operations, Airport, full service, Ammunition (except Small Arms) Manufacturing, Ammunition (except sporting) distributors (wholesalers), Ammunition boxes, light gauge metal, manufacturing, Ammunition boxes, wood, manufacturing, Architecture, Enginee

Advised

Aerofleet

in securing debt financing from

Board Advisory

November 2014

Brock Capital Group, LLC

Drugs and Druggists' Sundries Distributors (Wholesalers), Health Care Services, Healthcare Software (Consumer), Healthcare Software (Enterprise), Medical Equipment and Supplies Manufacturing, Medical glassware made from purchased glass, Medical glassware made in glass making plants, Medical, Dental, and Hospital Equipment and Supplies Distributors (Wholesalers), Ophthalmic Goods Distributors (Wholesalers), Research and Development in Biotechnology, Research and Development in the Physical, Engineering, and Life Sciences

Advised

Exosome Diagnostics

in securing investment from

Qiagen

March 2014

Brock Capital Group, LLC

Automobile antennas manufacturing, Automobile hardware, metal, manufacturing, Automobile radio receivers manufacturing, Automobile skid chains made from purchased wire, Automobile storage batteries manufacturing, Automobile suspension springs, heavy gauge metal, manufacturing, Automotive electrical switches manufacturing, Automotive Industry Hardware Technology, Automotive light bulbs manufacturing, Automotive or aircraft wire and cable made in aluminum wire drawing plants, Automotive theft alarm systems manufacturing, Car alarm manufacturing, Car stereos manufacturing, Car wheels, rolled steel, made in iron and steel mills, Compact disc players (e.g., automotive, household-type) manufacturing, Gasoline Stations and Truck Stops, Gauges (e.g., oil pressure, water temperature, speedometer, tachometer), motor vehicle, manufacturing, Glass, automotive, made from purchased glass, Home and auto supply stores, Motor Vehicle and Parts Dealers, Motor vehicle belts, rubber or plastics, manufacturing, Motor Vehicle Body

Advised

Chrysler Group LLC

in their acquisition by

Fiat North America LLC

January 2014

Brock Capital Group, LLC

Coastal and Great Lakes Freight Transportation, Deep Sea Freight Transportation, Freight railways, line-haul, Freight railways, short-line or beltline, Inland Water Freight Transportation, Marine shipping agency, Pipeline Transportation, Tanker trucking (e.g., chemical, juice, milk, petroleum), local, Tanker trucking (e.g., chemical, juice, milk, petroleum), long-distance, Water Transportation

Advised

Eletson Holdings Inc.

in securing debt financing from

Blackstone Tactical Opportunities

October 2013

Brock Capital Group, LLC

Telecommunications, Wireless Telecommunications Carriers (except Satellite)

Advised

MCV Broadband

in their acquisition by

NTT DoCoMo

May 2013

Brock Capital Group, LLC

Aerospace Product and Parts Manufacturing, Air Transportation, Aircraft and automotive wire and cable (except aluminum, copper) made from purchased nonferrous metals (except aluminum, copper) in wire drawing plants, Aircraft and automotive wire or cable made from purchased copper in wire drawing plants, Aircraft carrier catapults manufacturing, Aircraft distributors (wholesalers), Aircraft engine cradles manufacturing, Aircraft engine instruments manufacturing, Aircraft engines and parts distributors (wholesalers), Aircraft equipment and supplies distributors (wholesalers), Aircraft hardware, metal, manufacturing, Aircraft lighting fixtures manufacturing, Aircraft loading hoists manufacturing, Aircraft Manufacturing, Aircraft seats manufacturing, Aircraft tire manufacturing, Airport Operations, Airport, full service, Ammunition (except Small Arms) Manufacturing, Ammunition (except sporting) distributors (wholesalers), Ammunition boxes, light gauge metal, manufacturing, Ammunition boxes, wood, manufacturing, A

Advised

INAir Aviation Services

in their acquisition by

RPS Holdings

May 2013

Brock Capital Group, LLC

Amusement Arcades, Casino Hotels, Casinos (except Casino Hotels), Electronics and Appliance Stores, Entertainment Software and Online Services, Video gaming device concession operators (i.e., supplying and servicing in others facilities)

Advised

WMS Industries

in their acquisition by

Scientific Games

January 2013

Brock Capital Group, LLC

Agriculture, Forestry, Fishing and Hunting

Advised

Imperial Sugar

in their acquisition by

Louis Dreyfus Commodities

May 2012

Brock Capital Group, LLC

Insurance Agencies and Brokerages, Insurance Carriers and Related Activities

Advised

Avizent

in their acquisition by

York Risk Services

December 2011

Brock Capital Group, LLC

Drugs and Druggists' Sundries Distributors (Wholesalers), Health Care Services, Healthcare Software (Consumer), Healthcare Software (Enterprise), Medical Equipment and Supplies Manufacturing, Medical glassware made from purchased glass, Medical glassware made in glass making plants, Medical, Dental, and Hospital Equipment and Supplies Distributors (Wholesalers), Ophthalmic Goods Distributors (Wholesalers)

Advised

Waicon labs

in their acquisition by

Bausch & Lomb

December 2011

Brock Capital Group, LLC

Coastal and Great Lakes Freight Transportation, Deep Sea Freight Transportation, Freight railways, line-haul, Freight railways, short-line or beltline, Inland Water Freight Transportation, Oil and Gas Field Machinery and Equipment Manufacturing, Pipeline Transportation, Support Activities for Oil and Gas Operations, Tanker trucking (e.g., chemical, juice, milk, petroleum), local, Tanker trucking (e.g., chemical, juice, milk, petroleum), long-distance, Water Transportation

Advised

LDH Energy

in their acquisition by

Energy Transfer Partners & Regency Energy Partners

March 2011

Brock Capital Group, LLC

Enterprise Software and Online Services, Software and Online Services

Advised

DocuLynx

in their acquisition by

Sverica International

September 2010

Brock Capital Group, LLC

Commercial and Industrial Machinery and Equipment (except Automotive and Electronic) Repair and Maintenance, Construction and Mining (except Oil Well) Machinery and Equipment Distributors (Wholesalers), Construction, Transportation, Mining, and Forestry Machinery and Equipment Rental and Leasing, Fabricated Metal Product Manufacturing, Gasket, Packing, and Sealing Device Manufacturing, Industrial Machinery and Equipment Distributors (Wholesalers), Machinery Manufacturing, Nonmetallic Mineral Product Manufacturing, Office Machinery and Equipment Rental and Leasing, Other Commercial and Industrial Machinery and Equipment Rental and Leasing, Other Electronic and Precision Equipment Repair and Maintenance, Plastics and Rubber Products Manufacturing, Primary Metal Manufacturing

Advised

Precision Valve

in their acquisition by

MML Capital

August 2010

Brock Capital Group, LLC

Aerospace Product and Parts Manufacturing, Air Transportation, Aircraft and automotive wire and cable (except aluminum, copper) made from purchased nonferrous metals (except aluminum, copper) in wire drawing plants, Aircraft and automotive wire or cable made from purchased copper in wire drawing plants, Aircraft carrier catapults manufacturing, Aircraft distributors (wholesalers), Aircraft engine cradles manufacturing, Aircraft engine instruments manufacturing, Aircraft engines and parts distributors (wholesalers), Aircraft equipment and supplies distributors (wholesalers), Aircraft hardware, metal, manufacturing, Aircraft lighting fixtures manufacturing, Aircraft loading hoists manufacturing, Aircraft Manufacturing, Aircraft seats manufacturing, Aircraft tire manufacturing, Ammunition (except Small Arms) Manufacturing, Ammunition (except sporting) distributors (wholesalers), Ammunition boxes, light gauge metal, manufacturing, Ammunition boxes, wood, manufacturing, Automotive or aircraft wire and cable made i

Advised

Mayday Manufacturing

in their acquisition by

Tailwind Technologies

June 2009

Brock Capital Group, LLC

Commercial and Industrial Machinery and Equipment (except Automotive and Electronic) Repair and Maintenance, Construction and Mining (except Oil Well) Machinery and Equipment Distributors (Wholesalers), Construction, Transportation, Mining, and Forestry Machinery and Equipment Rental and Leasing, Fabricated Metal Product Manufacturing, Gasket, Packing, and Sealing Device Manufacturing, Industrial Machinery and Equipment Distributors (Wholesalers), Machinery Manufacturing, Nonmetallic Mineral Product Manufacturing, Office Machinery and Equipment Rental and Leasing, Other Commercial and Industrial Machinery and Equipment Rental and Leasing, Other Electronic and Precision Equipment Repair and Maintenance, Plastics and Rubber Products Manufacturing, Primary Metal Manufacturing

Advised

Diamond Innovations

in their acquisition by

Littlejohn & Co.

December 2003

Brock Capital Group, LLC

Chemical Manufacturing

Advised

Crompton OSi

in their acquisition by

GE Specialty Materials

September 2003

Brock Capital Group, LLC

Aerospace Product and Parts Manufacturing, Air Transportation, Aircraft and automotive wire and cable (except aluminum, copper) made from purchased nonferrous metals (except aluminum, copper) in wire drawing plants, Aircraft and automotive wire or cable made from purchased copper in wire drawing plants, Aircraft carrier catapults manufacturing, Aircraft distributors (wholesalers), Aircraft engine cradles manufacturing, Aircraft engine instruments manufacturing, Aircraft engines and parts distributors (wholesalers), Aircraft equipment and supplies distributors (wholesalers), Aircraft hardware, metal, manufacturing, Aircraft lighting fixtures manufacturing, Aircraft loading hoists manufacturing, Aircraft Manufacturing, Aircraft seats manufacturing, Aircraft tire manufacturing, Airport Operations, Airport, full service, Ammunition (except Small Arms) Manufacturing, Ammunition (except sporting) distributors (wholesalers), Ammunition boxes, light gauge metal, manufacturing, Ammunition boxes, wood, manufacturing, A

Advised

Airborne Express

in their acquisition by

DHL Worldwide Express

March 2003

Brock Capital Group, LLC

Fintech (Enterprise) / Financial Services Industry Hardware Technology, Fintech (Enterprise) / Financial Services Industry Software, Software and Online Services

Advised

Surebridge

in their acquisition by

Navisite

July 1999

Brock Capital Group, LLC

Health Care Services, Hospitals, Nursing and Residential Care Facilities, Veterinary Services

Advised

Harborside Healthcare

in their acquisition by

Invcestcorp

April 1998