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February 04, 2013

Susanne Mulligan Joins Guggenheim Securities

Appointment Illustrates Commitment to Building Equity Capital Markets Platform
Guggenheim Securities today announced the appointment of Susanne Mulligan as a Managing Director in Equity Capital Markets (“ECM”). Ms. Mulligan is based in New York and reports to Mark Van Lith, Senior Managing Director and Head of Investment Banking.

Alan Schwartz, Executive Chairman of Guggenheim Partners, said: “Susanne brings significant experience in equity capital markets and we are pleased to welcome her to Guggenheim. We value her experience in partnering with industry bankers and originating new equity business and look forward to the value she will bring to our growing franchise.”

At Guggenheim, Ms. Mulligan is charged with building an equity capital markets practice with an initial focus in healthcare, which is core to Guggenheim’s investment banking business. In August 2012, Guggenheim announced the appointments of Stuart Duty, Ron Gerber and Barry Shin to Guggenheim Securities’ healthcare investment banking and advisory team, strengthening the healthcare team to eight life sciences professionals. In addition, Guggenheim has a broad research footprint in healthcare that includes eight policy analysts in Washington, D.C., in addition to two equity research analysts in New York covering the biotech and specialty pharmaceutical sectors. The firm has also built out a fully functioning sales, trading and research platform with sales offices in New York, Boston, Chicago, Los Angeles and San Francisco.

Previously, Ms. Mulligan served as head of healthcare ECM at Deutsche Bank Securities. Prior to that role, she held senior positions at various firms with a focus on private equity placements & PIPEs. She is seasoned in the origination and execution of healthcare equity and equity-linked transactions including IPOs, follow-ons, block trades, confidentially marketed public offerings and convertibles. During her career, she has also led the origination, structuring and execution of private financing transactions, including minority-stake private equity placements, private convertibles, PIPEs and registered directs.

Ms. Mulligan is an author and an active speaker and panelist at conferences on alternative equity financing options.

About Guggenheim Partners

Guggenheim Partners is a privately held global financial services firm with more than $170 billion in assets under management. The firm provides asset management, investment banking and capital markets services, insurance, institutional finance, and investment advisory solutions to institutions, governments and agencies, corporations, investment advisors, family offices, and individuals. Guggenheim Partners is headquartered in New York and Chicago and serves clients around the world from more than 25 offices in eight countries. For more information about Guggenheim Partners, visit guggenheimpartners.com.

Guggenheim was selected among a roster of highly respected corporate credit asset managers and named “Manager of the Year” at an awards ceremony held on May 9 at the Landmark Hotel in London. The firm also garnered recognition for its management of Copper River, a collateralized loan obligation (CLO) it priced in 2007, which was awarded “Best Boom-Years U.S. CLO (2006-2008).”

“At Guggenheim, we believe credit investing requires extensive research, constant monitoring, and the ability to react quickly to market and industry changes,” commented Mike Damaso, co-head of Guggenheim’s corporate credit business. “We are honored to be recognized among our industry peers as a leading credit manager. This recognition is a tremendous accomplishment and a testament to the quality of work and dedication of our entire corporate credit team.”

This is the second consecutive year Guggenheim has been recognized by Creditflux. In 2011 the firm was named “Best U.S. CLO Manager.” Creditflux’s annual Manager Awards recognizes the best performing CLOs, credit funds, and managers over the last 12 months.

“The ‘Manager of the Year’ award recognizes excellence across all aspects of credit management. The award combines the methodology for our CLO and credit hedge fund awards,” said Tom Davidson, Assistant Editor at Creditflux. “To win, a manager needs to have CLOs that have generated notable equity returns while safeguarding debt investors, as well as credit hedge funds that consistently outperform their peer group."

About Guggenheim Partners
Guggenheim Partners is a privately held global financial services firm with more than $125 billion in assets under management. The firm provides asset management, investment banking and capital markets services, insurance, institutional finance and investment advisory solutions to institutions, governments and agencies, corporations, investment advisors, family offices and individuals. Guggenheim Partners is headquartered in New York and Chicago and serves clients around the world from more than 25 offices in nine countries. For more information, please visit guggenheimpartners.com.

Media Contacts:

Thomas S. Mulligan
Sitrick And Company
212.573.6100
thomas_mulligan@sitrick.com

Terry Fahn
Sitrick And Company
310.788.2850
terry_fahn@sitrick.com



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