Nile/SNAPP Presentation
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  • First slide of presentation – Make introductions
  • Why do people care using minority operated business Is there a percentage? Or can we find the law


  • 1. This presentation is a high level summary of Lucite Advisor’s SNAPP Program available through Nile Capital. For more information, contact: Bob Roach (617) 641-2865 or Bilal Basrai (312) 475-0104 Presented by Nile Capital, LLC. & Lucite Advisors, LLC.
  • 2.
    • Nile Capital, LLC, (“Nile”) is a minority owned, boutique investment firm focused upon closely held and publicly traded microcap companies (
    • Nile facilitates access to capital, exit/liquidity events, corporate finance advisory, business development and strategic planning
    • The principals of Nile have broad and varied experience in private placements, venture capital, corporate finance, M&A, investor relations and operations
    • Nile proactively works with clients in a variety of industries to create and enhance shareholder value utilizing a strategic, operating and balance sheet perspective
  • 3.
    • Facilitate access to acquisition and growth capital for select companies with defined markets and extraordinary growth and ROI potential
      • PIPE, venture capital, private equity and mezzanine debt financings
      • Industry agnostic, but specific analytical capabilities in Life Sciences and technology companies
    • Accelerate the achievement of business and financial objectives
      • Provide hands-on strategic, financial, & operational expertise and assistance
      • Utilize Nile’s internal resources as well as Nile’s strategic partner relationships to enhance and maximize shareholder value
    • Develop, drive and execute viable exit/liquidity scenarios
    • Wealth creation for principals and investors
  • 4.
    • Strategic Advisory Services
      • Consult to business owners regarding Financings, Divestitures, and Mergers & Acquisitions
    • Corporate Finance
      • Raise debt and equity capital to fund projected uses
      • Raise debt and equity for the acquisition of an existing business
    • Business Plan Development
      • Create business plans for companies seeking equity capital, debt financing, or to attract potential buyers or strategic partners
  • 5.
    • Nile’s primary business focus is to identify promising growth or acquisition opportunities that fit the risk/return profile for a variety of accredited investors
      • Promising companies at attractive valuations possessing good management
    • Targeted investment opportunities include:
      • Private and publicly traded microcap companies with superior, risk adjusted ROI prospects below the radar screen of traditional private equity sources
      • Selective early stage venture capital situations
    • As an asset class, the microcap segment provide risk diversification as well as attractive risk-adjusted returns
  • 6.
    • Lucite Advisors, LLC is an investment advisory firm that assists both public and private companies raise growth capital ( )
    • Lucite partners with management teams and leading financial institutions to provide the capital, expertise, and strategic relationships necessary to build market-leading businesses
    • Lucite Advisors developed the SNAPP program to significantly increase a company’s shareholder base while providing accredited investors with investment opportunities at a discount to current market values
    • Lucite Advisors conducts all securities-related activity through Nile Capital
  • 7.
    • Nile has partnered with the principals of Lucite Advisors, LLC to offer a unique program called SNAPP – Shareholder Net Acquisition Placement Program
      • SNAPP provides a platform to significantly increase the shareholder base of promising, microcap companies (market capitalization less than $300 MM) with defined markets, proven revenue and business models
      • Through Nile, approved microcap companies offer up to $1 million of common equity shares to SNAPP investors at a significant discount to current market value
    • Accredited investors who participate in the SNAPP program are provided the opportunity to build a diverse portfolio of promising microcap companies with an initial cost basis below the then current market value plus potentially other enticing investment terms
    • A simple, cost effective process that benefits both investors and companies
  • 8.
    • Many small companies seek a more robust shareholder base
      • A limited shareholder base makes it more difficult for companies to raise sufficient capital to grow operations, move to a higher-level public exchange, and ultimately bring increased liquidity to their stock.
    • While as an asset class, the microcap market offers investors risk & asset allocation diversification, price volatility is often a mitigating factor
      • As with many investments, cost basis is a key factor to generating superior, risk adjusted returns
  • 9.
    • Shareholder Net Acquisition Placement Program (SNAPP)
      • Issuer Benefits
        • Increases shareholder base
        • Raises additional capital
        • May qualify company for listing with a higher exchange
        • Positions company for more trading volume
        • Provides an investor relations function
      • Investor Benefits
        • Cost basis at a significant discount to current market value
        • Relatively low, per company investment exposure (up to $5,000)
        • Complete control of investment decision making and exit process
        • Ability to build a portfolio of SNAPP investments
  • 10.  
  • 11.
    • Q: What is the typical investment size for a SNAPP transaction?
      • A: We anticipate an initial range between $2,500 and $5,000 per investor.
    • Q: May I decide how much to invest in each SNAPP transaction?
      • A: No, each offering will be a fixed amount for all investors. However, investors will be able to decide (on a company by company basis) whether or not to invest.
    • Q: May I decide which SNAPP offerings I’d like to invest in or is this a series of offerings to which I’m obligated?
      • A: You may decide which offerings you’d like to invest in and which ones you will reject. Each transaction will be a separate offering.
    • Q: How many SNAPP offerings can investors expect to see?
      • A: Eventually we hope to facilitate as many as one to two offerings per month.
  • 12.
    • Q: What is the waiting period from the time a SNAPP investor funds an investment until the shares are tradable?
      • A: Typically it will take 6 months, although it could be sooner, depending upon the type of transaction. Again, you will be able to manage the shares in your individual brokerage account.
    • Q: Why would a company be willing to sell shares at a discount?
      • A: Many quality companies have a substantial need to add new shareholders to their base.  Because of this, companies are willing to offer enticing terms in order to attract a large and diverse accredited shareholder base.
    • Q: Please describe the model SNAPP company?
      • A: A typical SNAPP target company may be traded on the Over-the-Counter Bulletin Board (OTCBB), have a strong & experienced management team, solid earnings & operational history, clean balance sheet, compelling product/service and in need of additional accredited shareholders.
  • 13.
    • Q: How does a SNAPP investor’s small investment help a high-growth company?
      • A: By making a small investment, SNAPP investors become shareholders of the company and thereby increase the shareholder base and public float. Many of the higher-level exchanges, such as the NYSE AMEX or NASDAQ National Markets, have minimum corporate shareholder size requirements of 400-800 public shareholders. Once the company has acquired additional shareholders, they are able to move to a higher-level exchange, thereby increasing the company’s exposure to a larger universe of investors and analyst coverage. These types of moves to higher level exchanges may result in improved market valuations and acceptance.
  • 14.  
  • 15.
    • Benefits to Investors/Shareholders:
      • Favorable investment terms for the participating investors at a significant discount to the public market price of a growth oriented microcap company
      • Risk is mitigated due to a relatively small amount of money invested in each transaction (up to $5,000)
      • Normally a 6-month lock-up, then shares may be sold at your discretion – this is NOT a fund, investors manage their own account
      • Nile identifies suitable companies with solid fundamentals, good growth trajectories, clean balance sheet, good management, reasonable valuation
      • Target to offer one opportunity per month, thus increasing portfolio diversification – investors are NOT obligated to invest in any of the transactions
    • Interested investors will need to fill out an accredited investor questionnaire. Please contact Bob Roach ( [email_address] ), Bilal Basrai ( [email_address] ) or your Nile relationship manager
  • 16.
    • Benefits to Company Receiving Funds:
      • Over-arching goal is to increase both the company’s shareholder base and public awareness of the stock
      • Facilitates accredited investor interest and following of a microcap company 
      • Helps to enable a microcap company to qualify for a broader stock exchange (NASDAQ National/ NYSE AMEX), with hopefully a better reflected share price 
      • Prospects for greater liquidity and increased average daily volume
      • Ability to provide post-transaction, investor relations support
      • Dilution is minimal – typically 7% or less
    •   Interested companies should contact Bob Roach ( [email_address] ), Bilal Basrai ( [email_address] ) or your Nile relationship manager
  • 17. Robert G. Roach, Jr. CEO & Managing Director [email_address] Boston, MA
    • SNAPP
    • Venture Capital Opportunities
    • Acquisitions/roll ups
    • PIPES
    • Hedge Fund Marketing
    • Contract CFO
    Graham Phillips Managing Director [email_address] Los Angeles, CA
    • Acquisitions/roll ups
    • PIPES
    • Later Stage Opportunities
    • Hedge Fund Marketing
    • Contract CFO
    Mary Lecca Vice President &Compliance Officer [email_address] Boston, MA
    • Compliance & Operations
    • Transaction Support
    Bilal Basrai Vice President [email_address] Chicago, IL
    • SNAPP Program Manager
    • PIPES
    • Equity Lines of Credit
    Debra Goundrey Vice President [email_address] New York, NY
    • Hedge Fund Marketing
    • Acquisitions/roll ups
    Henry Noel Vice President [email_address] Boston, MA
    • SNAPP
    • Venture Capital Opportunities
    • Acquisitions/roll ups
    • PIPES