Serve as Managing Partner, Co-founder, Chairman of the Investment Review Committee and Chief Compliance Officer for a family of funds dedicated to early stage investing--and with a concentration in the Pacific Northwest. Experienced in all areas of investing in early stage (seed series A) companies, including: screening candidates, conducting due diligence, valuation, negotiating terms, drafting management company, general partnership and limited partnership agreements, submitting FINRA filings, investor communications and completing tax returns. FINRA personal CRD #: 1212912. Website: https://swanvg.com. Since 2017 concurrently served as an outside director and compensation committee member on the Board of Kineta, Inc. an early stage biopharmaceutical firm. In mid 2022 Kineta, Inc. announced that it would complete a reverse merger into Yumanity Therapeutics (YMTX). The merged firm will be renamed Kineta, Inc. which is profiled below and will be 85% controlled by Kineta, Inc., once shareholder approval in formalized. Over a five year period, participated in all major decisions pertaining to closing down affiliates, negotiating licensing and milestone agreements, determining executive and staff compensation, appointing financial advisors and realizing a successful exit. Kineta is a clinical stage biotechnology company with a mission to develop next generation immunotherapies that transform patients’ lives. We have leveraged our expertise in innate immunity to develop first or best-in-class immunotherapies that address the major challenges with current cancer therapy. For more information on Kineta visit our website, www.kinetabio.com, and follow us on Twitter, LinkedIn and Facebook. Separately, have periodically advised several early stage companies, including: Global Index Group (Blockchain based real estate derivatives products) Zeva Aero (eVTOL designer) and Odysseus Technologies, Inc. (carbon nanotubes).

Vincit Veritas | Jan 2010 - Oct 2019

Angel Investor

Active private investor in more than twenty early stage companies. Have invested across several sectors, including: water purification, financial products, software, medical/bio technology and industrial products. Most recent exits (both in 2022) include: the acquisition of EV Connect by Schneider Electric (Exit of 11X) and the reverse merger of Atrin Therapeutics into Aprea Therapeutics (Exit in process). Until mid-2018, served on the board of Bird Buffer, LLC. which exited at 1.5X. Serve as an advisor to Zeva Aero and Global Index Group. Previously served as an advisor to Immunomic Therapeutics (Exit of 8X) as well as on the advisory committee of SRS Acquiom as it pertained to the acquisition of Otosense, Inc. by Analog Devices (Exit of 4X). Served on the investment screening committee for Keiretsu Capital Fund1 which was launched in 2014. Have participated in numerous due diligence projects for Keiretsu-sponsored early stage companies, mostly performing financial analysis. Due diligence team projects completed: Information technology: The GRID, Nouvola, Dimensional Mechanics, Blue Leap LLC, Openmake software and Everloop, Inc.. Internet of Things (IoT): IBIS Networks, Otosense, Inc. and Elevat. Hardware: American semiconductor, Klatu Networks, Arovia. Biopharmaceuticals: Immunomic therapeutics, Forge Life Science, RiboNova, Inc., and Axxia Pharmaceuticals. Medical equipment: First Light Biosciences and Kitotech Medical. Cleantech: Puralytics and Phytonix. Nanomaterials: Graphene Technologies, Inc. Real Estate: Wilkinson Corporation Fund. Wellness: Nuvita

CFA Institute | Jan 2013 - Jan 2015

Grader

Graded Level III examinations.

BNP Paribas | Aug 2007 - Feb 2008

Managing Director

Managed what is mainly a derivatives business as well as a separate brokerage unit. Served on the global executive committee, representing Asia. Resigned the position after about eight months as the implications of the financial crisis began unfolding.

UBS Securities, Japan, Ltd. | Jan 2002 - Jan 2006

Managing Director

Overall P&L and local managerial responsibility for all Japanese equity activities. This includes: sales, research, derivatives, trading, execution, exchange traded derivatives and prime services. Achievements: Revenues grew from just over $200M to an annualized rate of $700M as of 2006. Front office staff increased only marginally from around 220 to around 260, making Japan one of the most profitable offices per capita within UBS equity. Focused investment on derivatives, technology and prime services. Derivatives proved to be our largest source of incremental revenue during the period. Focused our strategy in brokerage on execution technology, including DMA, hiring high quality analysts/salesmen and dramatically improving our investor relations offering. By 2004, public research and sales rankings had moved from 6th (or below) to top three in the major surveys such as Institutional Investor and to number 1 in McLagan. Commission income nearly tripled between 2002 and 2006. Presenter: International Conference on Investment Funds Korea 2003, Seoul, Korea, "Comparison of Recent Trends Between Korean and Japan-based Asset Management Companies," Feb. 18-19, 2003. Panel speaker: The Japan Society of Northern California, 2003 Economic Conference & Symposium, San Francisco, Corporate Governance in the New Japan, "Corporate Governance: Ideal vs. Current Global Practice, Nov. 3-4 2003. Speaker: Credit Risk Management Summit 2006, Kuala Lumpur, "Developing a Robust Credit Risk Model for Derivatives," June 29, 2006. Speaker: GARP's 3rd Asia Pacific Convention, Hong Kong, "Evolving Forms of Raising Capital - Examples from Japan." Oct. 24, 2006.

UBS Securities, Japan, Ltd. | Jan 2000 - Jan 2002

Managing Director

Overall P&L and local managerial responsibility for all Korean equity activities including: sales, research, and execution. Also focused on helping corporate finance to pitch for underwriting mandates. Revenues grew to approximately $60M as of YE2001. Commission market share reached first place among foreign firms. The Korean operation became the largest and most profitable revenue contributor to the Asian equity operations for UBS. Helped win important primary deals such as Korea Telecom and Korea Tobacco.

UBS Securities, Japan, Ltd. | Jan 1997 - Jan 2000

Executive Director

Primary focus was on managing research and writing strategy. I also managed the office. Research and sales rankings moved from 4th (or below) to top two during this period as measured in various surveys including Institutional Investor, Asiamoney, Euromoney and Reuters. Personally ranked in a number of surveys as well. Extensively quoted in the press, especially the Financial Times. Panel speaker: Financing Asian Development: Potential Opportunities in Asia's Economies, Co-organized by Asia Society and Asian Development Bank, May 28-29, Seoul, Korea.

UBS Securities, Japan, Ltd. | Jan 1992 - Jan 1997

Director

N/A

Emerging Markets Research, Inc. | Jan 1990 - Jan 1991

Principal

Conducted privatization consulting and other financial analysis for the Governments of Thailand, the Philippines and Sri Lanka. Publications: 1. "Korea 1992: Foreign Perspective," Business Korea, July 1990, Michael P. McLindon & Richard Samuelson. 2. "Sri Lanka, The World's Emerging Stock Markets" edited by Keith K. H. Park & Antoine van Agtmael, Chicago: Probus 1992, Michael P. Mclindon, Richard Samuelson, Marianne Page & Niall Shiner. 3. "Privatization and Capital Markets in Developing Countries," A working paper presented to the World Bank in February 1991, Michael McLindon, PhD and Richard Samuelson.

The APL Group, Inc. | Jan 1987 - Jan 1990

National Accounts Director

Managed sales and distribution network for a venture-capital funded software company dedicated to PC-based electronic data interchange(EDI). Also wrote documentation and delivered one-day courses on EDI to more than 50 companies, including: Pacific Bell and American Airlines. Publications: "EDI Holds the Promise of Faster Document Transfer," The Office, November 1989. "The Quick Fix...Or How to Implement EDI on the PC," Actionline, October, 1989, Volume 8, Issue 10. "The Impact of EDI Standards Version Releases on the EDI Community," The EDI Forum, 1990 Issue, Volume 3.

Gartner, Inc. | Jan 1985 - Jan 1987

International Representative

Marketed a research and advisory service focused on information technology in a variety of countries across Asia. Managed distributors in five countries. Doubled sales to more than $500,000 within the first year. Publication: Edited "International Investments" by Professor Bruno Solnik of Hautes Etudes Commerciales (HEC).

Korea Development Institute (KDI) | Jan 1980 - Jan 1981

Research Assistant

Edited and researched papers on economic policy. Wrote and edited speeches for Korean government officials, most notably, the Prime Minister and Minister of Commerce & Industry.

Neighborhood Facilities, Development Corporation | Jan 1977 - Jan 1978

Executive Director

Managed seven employees in a large public facility dedicated to urban re- development in the south end of Bridgeport, Connecticut.

My Education

Take a look at my formal education

Master of Business Administration - MBA, Finance, GeneralThe Wharton School | 1985

Master's degree, International/Global StudiesThe Fletcher School at Tufts University | 1983

Bachelor's degree, English Language and Literature/LettersYale University | 1977

About Me

Spent a career in investment banking and then transitioned over to angel investing and venture capital. Have broad exposure to AI/ML technology companies and continue to apply data science techniques wherever it is relevant.

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