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Ben Shealy

Managing Director

Summary: 

Ben is an accomplished senior management and finance executive with extensive experience in fund-raising, accounting, FP&A, and business systems design, implementation and refinement. Highly proficient written and oral presenter of data, analytics and recommendations to a wide variety of corporate, public, private and regulator stakeholders.

Specialization:

  • Business system design, implementation and refinement
  • Business development and fund raising (private and public equity and debt)
  • Extensive business and financial planning experience
  • Strategic cash flow forecasting
  • Seasoned advisor to CEOs and Board of Directors
  • Operational and financial dashboards
  • Private to public transitioning
  • SEC reporting
  • PCAOB audits
  • SOX compliance and internal control design, implementation, review
  • Corporate governance
  • Acquisition due diligence and integration

Bio:

DIFFUSION PHARMACEUTICALS INC. (Nasdaq: DFFN) Charlottesville, VA

Senior Vice President Finance, Treasurer & Secretary (reported to CEO) (2016-2018)

  • Raised US$43M of public equity (convertible preferred and common)
  • Principal Financial Officer/Principal Accounting Officer; signatory for public company compliance (all SEC filings)
  • Guided and streamlined all controller and audit functions; supervised compilation of SEC filings
  • Managed all FP&A, treasury, tax, corporate insurance, HR, IT and investor relations activities
  • Implemented and maintained Sarbanes-Oxley best practice internal control environment
  • Attended, interfaced and led Audit Committee meetings; attended and supported Board of Directors meetings
  • Furnished analytical support, counsel and negotiation assistance to CEO/CBO during business development efforts

DIFFUSION PHARMACEUTICALS LLC Charlottesville, VA

Chief Financial Officer, Treasurer & Secretary (2004-2016)

  • Raised US$42M consisting of a mix of private equity, convertible debt and non-dilutive government funding
  • Directed all FP&A, treasury, tax, accounting, insurance, HR and investor relations functions
  • Led effort to identify, negotiate and close a buyside M&A transaction: reverse merger with RestorGenex Corp (RESX)
  • Managed and directed all accounting/audit/M&A/banking/legal professionals during successful private to public transition
  • Established and drove corporate policies and procedures to improve efficiency and reduce enterprise risk exposure

REBAR LLC Boulder, CO

Vice President Finance (2000-2003)

  • Led all corporate financial planning and analysis activities
  • Oversaw and managed corporate investments totaling US$150M+ in software start-up ventures
  • Managed the compilation and reporting of a US$1.2B global budget (19 countries)
  • Co-managed corporate-wide upgrade of the firm’s accounting/budgeting IT system
  • Prepared and delivered presentations to senior management, board of directors and outside investors

JOHN HANCOCK BOND & CORPORATE FINANCE GROUP Boston, MA

Senior Portfolio Analyst (1998-2000)

  • Spearheaded and managed UK/European collateralized bond obligation (CBO) equity marketing efforts
  • Supervised CBO deal-structuring process among legal, banking, rating agency, accounting and trustee professionals
  • Compiled strategic oversight document to benchmark and streamline Hancock’s anticipated future securitization offerings

CORPSOFT INC. Norwood, MA

Senior Planning & Budget Analyst (1995-1998)

  • Supervised compilation of US$20M information technology budget
  • Led analytical team studying conversion of manufacturing facilities from profit centers to cost centers
  • Analyzed channel segment opportunities by competitor, market and customers
  • Conducted closure/spin-off analyses for seventeen manufacturing facilities in the Americas and overseas
  • Budget/finance representative on SAP conversion team (US$30M global implementation.

Representative clients and past experience:

  • Diffusion Pharmaceuticals Inc.
  • Rebar LLC
  • John Hancock Bond & Corporate Finance Group
  • Corpsoft Inc

Education:

  • Columbia University, MBA, Finance
  • San Jose State University, BS, Accounting
  • CFA, 2001

The Company We Keep