Investment Banking Overview

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We have a wealth of experience handling complex investment banking transactions. We artfully combine our industry expertise, with an institutional and retail sales force, to form a very effective full-service investment banking group. Our clients, typically, are newly emerging growth companies in a wide range of industries, including healthcare, technology, consumer, and industrials.
We work diligently to raise capital for our clients through public equity financings, including initial public offerings and private placements of equity or debt, all of which are placed through our institutional sales group and our retail private client group. Our investment banking professionals also provide strategic advisory and valuation services to our clients.

Prospect Profile

Our investing clients want opportunities that provide incremental return to their portfolios that they have difficulty finding elsewhere. They understand the business risk of investing in emerging growth companies. As such, we look for companies we believe have the criteria that lead to success. Those criteria include:

Large Market
For Product
Management
Team With Proven
Success
High Revenue
Growth Potential
Intellectual
Property
Good Operating
Leverage

View Our Recent Transactions

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$16,800,000

Initial Public Offering

Co-Manager

December 2016

$13,457,962

PIPE

Placement Agent

November 2016

$8,602,500

Follow-on Offering

Joint Bookrunner

October 2016

$10,010,000

Follow-on Offering

Joint Bookrunner

October 2016

$20,000,000

Initial Public Offering

Joint Bookrunner

May 2016

$5,000,000

Follow-on Offering

Co-Manager

February 2016

$14,375,000

Follow-on Offering

Joint Bookrunner

November 2015

$12,000,000

Follow-on Offering

Joint Bookrunner

November 2015

Investment Banking Services

Public Offerings

We provide capital to our clients through initial public offerings and follow-on public offerings. We have successfully managed initial public offerings ranging in size from $20 to $50 million.

Private Placements

We also raise private capital for both public companies, through offerings commonly known as “PIPEs,” and for private companies that we envision could become public companies in the future. This private equity is placed both institutionally and through our private client group. We also provide bridge capital to private companies that we expect could become public in a relatively short time frame. These private placements typically range in size from $2 million to $25 million.

Advisory Services

We provide advisory services to our corporate clients. These have included both buy and sell side representation on acquisitions, financial restructuring, reorganizations, fairness opinions, valuations, tender offers, and stock repurchases.

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Key Personnel

John C. Feltl

Chief Executive Officer

John C. Feltl

Chief Executive Officer

612.492.8896

jcfeltl@feltl.com

Mr. Feltl is CEO and co-founder of Feltl and Company. He entered the securities industry with R.J. Steichen & Company in 1993 as a securities broker, and later, Principal and Director of Corporate Finance, focused primarily on emerging growth companies in the Midwest. In 2000, Stockwalk Group, Inc. acquired R.J. Steichen & Company and merged it with Miller, Johnson & Kuehn and John G. Kinnard and Company to form Miller Johnson Steichen Kinnard, Inc. (MJSK). Mr. Feltl was a member of Stockwalk’s Board of Directors, as well as Principal of Capital Markets for MJSK. He left those firms in 2002 to start Feltl and Company. Mr. Feltl earned a BA in Management from Saint John’s University in 1993, and a MBA from the University of St. Thomas in 1999. He holds the designation of Chartered Financial Analyst.

David Dalvey

David Dalvey

612.232.5839

dfdalvey@feltl.com

Mr. Dalvey has over 15 years of investment banking advisory experience with two national investment banking firms completing over 150 individual transactions with a total value over $1.9 billion across a wide variety of transaction types, sizes and structures as well as across a diverse group of businesses, industries, stages of development and investor syndicates.   Additionally, Mr. Dalvey has over 15 years of direct equity growth investment portfolio management experience as a general partner with two early-stage venture capital firms.  Mr. Dalvey has over 35 collective years of strategic/governance corporate board experience with public and private growth-stage technology businesses and has significant investment management experience as an investor or advisor to many successful businesses such as:  Definity Health (sold to United Health) – AppTec Labs (sold to WuXi Pharmaceutical) – August Technology (sold to Rudolph Technologies) – XIOtech (sold to Seagate) – chf Solutions (sold to Gambro) – Agiliti (sold to Sungard Data Systems) – RocketCHiPs (sold to Xilinx) – Netstar (sold to Lucent) – Health Fitness (sold to Trustmark J&J) – Gentra Systems (sold to Qiagen) – Navarre Corporation (NAVR) – NatureVision (NRVN).

David A. Lantz

Senior Investment Banking Executive

David A. Lantz

Senior Investment Banking Executive

612.492.8833

dalantz@feltl.com

Mr. Lantz has over 20 years of broad industry experience within restaurants, consumer, industrial, technology, and healthcare.  Mr. Lantz earned a BA in economics and political science from Wheaton College, a MBA from the University of Minnesota, and holds the designation of Chartered Financial Analyst.

Shawn P. Bitzan

Syndicate Manager

Shawn P. Bitzan

Syndicate Manager

612.492.8816

spbitzan@feltl.com

Mr. Bitzan joined Feltl and Company in May of 2007. In his time at Feltl he has held numerous roles including Equity Research Associate, Equity Capital Markets Associate and over the past five years he has been the firm’s Syndicate Manager. As Syndicate Manager, he is responsible for marketing, pricing and distribution of public and private equity offerings. He also performs valuation analysis, conducts company/industry research and analyzes competitive landscapes for public and private companies seeking equity capital. Mr. Bitzan earned a BA in Finance and Communications from the University of St. Thomas in 2008.

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