Special Situations Investment Team

Mark Klein

Managing Director

Prior to joining the Lockwood Group, Mr. Klein was Managing Director for the 360 Gruppe’s Gruppe V; a division of the private, family-held Geneva-based investment management firm. At 360, Mr. Klein oversaw and directed the asset-backed financing division. Prior to this, Mr. Klein completed numerous financings and has held senior executive positions in both private and publicly held companies. Some of his experience includes:
• Founder and CEO of Skins, Inc., a publically-traded footwear business
• Partner of Integrated Corporation Solutions Inc., an independent
management consulting firm specialized in market positioning and branding
• VP Business Development at Bevyz, a beverage company that was a
acquired by Keurig/Green Mountain Coffee Roasters
• Director of Mobile Business Development at AOL Inc.
• Founding Editor of Convertbond.com, a fintech company, sold to Morgan Stanley in 1999
Mr. Klein currently resides in Israel with his wife and three children.

Ashish Mittal

Director of Global Credit and Structuring

Mr. Mittal focuses on fundamental analysis and credit approval for the firm’s global investments and structured products. Mr. Mittal has over 18 years of experience in the financial services industry, and over 5 years of experience in corporate finance and investment banking. Prior to Lockwood, Mr. Mittal was the founder of an outsourced equity and credit research firm in founded in 2005. Prior to this, he founded a hedge fund portfolio management software business that began in 2003. Mr. Mittal has provided cross-border advisory services to Indian and Asian companies related to debt and equity capital raising, and was responsible for negotiating, structuring and executing multiple structured transactions. Prior positions include:
• Equity analyst at TD Ameritrade
• Chief Information Officer at Thomson Financial

Mr. Mittal resides in New York City with his wife and two children.

Daniel A. Nye, CFA

Institutional Principal

Mr. Nye manages Lockwood’s arrangements and structured investments with other institutional investors, which includes guiding the overall investment strategy of the firm. In addition to his responsibilities at Lockwood conducted via Parche Ventures Limited, Mr. Nye is founder and serves as Chief Investment Officer of Swiftsure Partners, a thematic technology long/short equity fund. Prior he was a senior fund manager, for 15 years at CIM Investment Management, a $2 billion firm with offices in London, Singapore and Jakarta. Mr. Nye ran the firm’s long/short strategy, co-managed the firm’s high-yield Asian equity fund, and was the technology stock specialist for the firm’s deep-value recovery strategy. Additionally he led/participated in over 40 structured investments for the firm. His further prior experience includes:
• Bain & Company Strategy Consultant, specialized in TMT and industrial technology
• Senior Associate, Mergers, and Acquisitions, at technology investment bank Robertson Stephens
• Manufacturing Director, for publicly-traded Asyst Technologies, a 500 person robotics firm specialized in semiconductor automation
• US Navy Fast Attack Submarine Officer, submarine warfare qualified, awarded the Navy Commendation and Navy Achievement medals

He is an Honors graduate of Harvard Business School, holds a BSc engineering from Boston University, a member of UK Mensa, on the board the Young Presidents Organization (Greater London), a CFA Charterholder and an instrument-rated private pilot. He lives in London with his Swedish wife and two children.