Product Development Fixed Income

JOHN J LYONS III

New York Metro • 732-***-**** • ad9llv@r.postjobfree.com •

SENIOR RELATIONSHIP & SALES MANAGER PRODUCT DEVELOPMENT Credit Solutions Sales Director & Senior Relationship Manager (SRM), possessing three decades+ of diversified Fixed Income product development, sales strategy, and global institutional client relationship cultivation acquired via dynamic career evolution commencing with global banking leaders Merrill Lynch & Goldman Sachs, and most recently fintech enterprises VCM Securities (’10-’13) & DelphX Capital Markets (’15-’24). Team Culture builder with expertise in operationalizing, building & scaling the systems, people & products of innovative Financial Services/Fintech enterprises, mobilizing Executive teams & functions across tech, sales, marketing & operations. Career track record of Fixed Income sales & proprietary structured product solutions leadership advisory, cultivating & activating diverse Wall Street community network & stakeholder partnerships which amplify early-stage enterprise growth strategies, new business initiatives & market/product adoption. SELECT CAREER HIGHLIGHTS

• Delphx Capital Markets Credit Market Sales Advisor & Relationship Manager (’15 - ‘24): Revolutionized credit sales via the introduction of innovative, proprietary structured product solutions for the fixed income market; introduced 30+ new global institutional relationships & enhanced market presence

• DelphX Capital Markets, Advisory Board Assembly & Leadership (‘21-‘24): Pioneered co.’s inaugural Advisory Board, comprised of Wall Street Fixed Income/Credit Leaders to consult on product growth/launch roadmap

• VCM Securities SVP (’10-’13), FinTech Fixed Income Sales & Product Development Leadership Built & scaled FinTech startups Electronic Corporate Bond Trading division, developing & executing platform ops & go-to-market client sales strategy for the first session-based, electronic bulk bond execution alternative trading system (ATS)

• Early Career Vice President, Fixed Income Trading (’83-‘04): Merrill Lynch (’83-’98), Spear Leeds & Kellogg (’98-

’01), Goldman Sachs (’01-’04) Credit Dealer Sales (’05-’10): FTN Financial (’05-’07), Amherst Securities (’07-’10)

• Diverse Wall Street Stakeholder & Client Relationship Network: Institutional Asset Managers, Global/Regional Banks & Broker Dealers, Investment Managers, Hedge funds, Insurance Co. PROFESSIONAL EXPERIENCE

DELPHX CAPITAL MARKETS New York, NY

(TSXV: DELX) (OTCQB: DPXCF): Fintech company providing innovative alternatives & new classes of structured product for the fixed income market, via special purpose vehicle Quantem & broker-dealer DelphX Services. Managing Director, Credit Sales 2015 - 2024

Role Scope: Credit Market Sales Advisor & Relationship Manager, applying deep fixed income product & services acumen & leveraging global institutional client network relationships to introduce & advance DelphX Capital Market’s Collateralized put options (CPOs) & Credit Risk Notes (CRNs) proprietary product solutions to credit market.

• Successfully introduced 30+ new Global Institutional Account relationships to DelphX during tenure (Buy side/Sell Side Asset managers, Hedge funds, Insurance Co./Family offices) o Spearheaded rigorous target client review, competitor assessment & client segmentation process to determine DelphX’s comprehensive sales & client relationship management strategy o Proposed to DelphX's senior leadership team an exclusive product pilot program to attract & target client account partners

o Guided complex fixed-income sales product strategy to mitigate client credit risk, potential losses and safeguard investments

• Developed, assembled & launched DelphX Capital Markets Advisory Board, comprised of Wall Street Fixed Income/Credit Leaders to advise on the company's credit risk product solution launch for CPO/CRNs CLASON POINT CONSULTING Managing Member New York Metro 2014 - 2024 Role Scope: Founder & Managing Member of fixed income market advisory services & e-trading activities spanning: Innovative structured products development & credit market offerings; Product growth roadmap & credit market sales strategy; Wall Street industry network activation, engagement & independent Advisory Board formation; Global institutional client relationship management services; and Founder/Executive Management team strategic planning. VCM SECURITIES Securities subsidiary of Vyapar Capital Market Partners New York, NY Senior Vice President (SVP), Head of Electronic Corporate Bond Trading 2010 - 2013 Role Scope: Reporting to VCM Securities Founder/CEO & recruited to Head Electronic Corporate Bond Trading division. Joined 60+ person securities subsidiary start-up of Vyapar Capital Market Partners in 2010 as an integral Management team member, launching full operation of a revolutionary electronic, bond bulk execution platform. Co. closed business operations in fall ‘13, however session-based trading technology (Swarms) remains industry best practice today.

• Spearheaded build & launch of the first session-based, electronic bulk bond execution alternative trading system

(ATS), including formation & scaling of platform operations & the conceptual, innovative algorithmic risk system

• Steered distribution channel sales/marketing team strategy formation & deployment, as well as assembly, hiring, coaching & development of US sales team from 2-to-6 members to effectively target & drive market penetration

• Expanded Institutional client portfolio growth +200% to 50 broker-dealers & asset managers (i.e., Goldman Sach, Deutsche Bank, JPMorgan, Credit Suisse)

• Established the company's first central limit order book, facilitating improved price discovery and order matching, resulting in equalizing of the market landscape & increased market transparency and liquidity. AMHERST SECURITIES Vice President (VP), Credit Dealer Sales New York, NY 2007 - 2010 Role Scope: Directed wholesale distribution of Mortgage-Backed Securities (MBS), as well as US Agency Backed Securities & Private Label Securities for vertically integrated real estate investment, development & operating platform leveraging its proprietary technology to create innovative, disruptive solutions across the real estate ecosystem. FTN FINANCIAL GROUP Vice President (VP), Credit Dealer Sales New York, NY 2005 - 2007 Role Scope: FTN acquired assets & operations of the fixed-income business of Spear, Leeds & Kellogg, a division of Goldman Sachs & Co. in Nov. 2004, to drive the expansion of its customer base for its sale of municipal securities. As Credit Dealer Sales VP, activated & expanded regional dealer network sales to leading financial institutions, steering the advancement & distribution of corporate bonds (high yield and investment grade) as well as structured notes. GOLDMAN SACHS SPEAR, LEEDS & KELLOGG Vice President (VP), Fixed Income Trading 1998 - 2004 Role Scope: Goldman Sachs acquired Spear, Leeds & Kellogg in ‘00 for $6.5BN+ to become a leading market maker of equities & options in US marketplace. As a GS Credit Trader, directed trading of corporate investment grade bonds, reset notes & floating rate notes. At legacy firm Spear, Leeds & Kellogg (’98-01), traded Investment-grade corporate bonds

(fixed and floating rate notes) & headed syndicate bond effort & trading of commercial paper and corporate reset notes. MERRILL LYNCH Vice President (VP), Fixed Income Trading New York, NY 1983 - 1998 Role Scope: Recognized over 15+ year tenure with expansive trading roles across credit product suite including but not limited to retail corporate investment grade bonds, institutional zero coupon & sinking fund bonds, retail Yankee/Canadian & Euro bonds. Additionally, forged strategic internal revenue-producing partnerships with middle markets sales & trading/structured investments group (SIG) to activate & maximize multi-trader/multi-security transactions & extra cross-selling credit solutions, resulting in 25% increase in the secondary corporate business. INDUSTRY LEADERSHIP & ENGAGEMENT

• Monmouth University (January 2020): Guest Industry Speaker, The Evolution of Bond Trading for Finance & Economics club

• Merrill Lynch NY Alumni Reunion Events Leadership (2010, 2019): Led planning, communications outreach & execution for 2010 NY Corporate HQ’s Alumni Fixed Income Trading & Sales divisional employees (200+ attendees), which expanded to 350+ (Fixed Income, Munis, Equities) attendees in ’19 reunion

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