Aegis Capital Corp. Established 1984
<ul><li>Full service boutique brokerage operation </li></ul><ul><li>Middle market corporate finance, research, and valuati...
<ul><li>Aegis Capital Corporation was founded in 1984 by Robert Eide, the Current CEO and Chairman. </li></ul><ul><li>  </...
<ul><li>Robert Eide,  President and Chief Executive Officer </li></ul><ul><li>George Kott,  Chief Operating Officer </li><...
<ul><li>Robert Eide  - CEO and President of Aegis Capital   </li></ul><ul><ul><li>Founded Aegis Capital in 1984,    </li><...
<ul><li>Ed Cabrera – Head of Investment Banking   </li></ul><ul><ul><li>Worked on Wall Street for over 23 years with inves...
<ul><li>Approximately 200 registered representatives </li></ul><ul><li>8 retail offices throughout the United States </li>...
<ul><li>National distribution with superior client service, providing tailor-made product solutions </li></ul><ul><li>Exem...
Recently Completed Offerings Aegis Capital Corp. CleanTech Innovations, Inc.                                              ...
Institutional Overview West Coast Capital Research Capital International Franklin Advisors TCW Brandeis Summit Global Hotc...
<ul><li>Institutional Private Placements (PIPEs) </li></ul><ul><li>Registered Direct Transactions </li></ul><ul><li>Initia...
<ul><li>Corporate Restructuring </li></ul><ul><li>Debt Advisory </li></ul><ul><li>Tender Defense Advisory </li></ul><ul><l...
<ul><li>Alternative Energy </li></ul><ul><li>Biotechnology </li></ul><ul><li>Consumer Goods </li></ul><ul><li>Entertainmen...
<ul><li>We work with you to develop optimal solutions </li></ul>Mid-Market and Emerging Growth Solutions Public Offerings ...
<ul><li>Timely and efficient transaction facilitation reduces legal costs, management efforts, and closing time. </li></ul...
Corporate Finance Approach Corporate Finance Approach ANALYSIS STRATEGY PREPARATION NEGOTIATION IMPLEMENTATION <ul><li>Com...
<ul><li>STRATEGIC ADVICE </li></ul>Aegis Commitment EXECUTION STRENGTH SELECTIVE ENGAGEMENTS EXPERIENCED TEAM <ul><li>Stra...
<ul><li>Investment products are made available through Aegis Capital Corp. (Aegis), member FINRA ( www.finra.org ) & SIPC ...
810 Seventh Ave, 11 th  Floor New York, NY 10019
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Aegis Capital Corp.

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Aegis Capital Corp.

  1. 1. Aegis Capital Corp. Established 1984
  2. 2. <ul><li>Full service boutique brokerage operation </li></ul><ul><li>Middle market corporate finance, research, and valuation services </li></ul><ul><li>Retail accounts with over $2 billion of retail customer assets </li></ul><ul><li>Registered investment advisor totaling 200 reps in 8 offices </li></ul><ul><li>Aegis Capital Corp. is a member of the FINRA/SIPC </li></ul><ul><li>Clearing agents are J.P. Morgan and Penson Financial </li></ul>Corporate Overview
  3. 3. <ul><li>Aegis Capital Corporation was founded in 1984 by Robert Eide, the Current CEO and Chairman. </li></ul><ul><li>  </li></ul><ul><li>Aegis’ origins were based on servicing the specific needs of an extremely affluent customer base specializing in complex Real estate transactions.  As Aegis clients needs broadened so did our product base and today we have become a premiere full service East Coast Regional Investment Firm with locations stretching from Florida to Rochester, NY. </li></ul><ul><li>Aegis’ clients are located in all 50 States and overseas.   </li></ul><ul><li>Aegis management team serves on boards of NYSE, AMEX and NASDAQ companies so we have the real time experience on the challenges facing today’s industry leaders.   </li></ul><ul><li>We pride ourselves on being able to provide the attention that our very diverse client base expects. This is why world class institutions have picked Aegis Capital as a place to do business. </li></ul>History
  4. 4. <ul><li>Robert Eide, President and Chief Executive Officer </li></ul><ul><li>George Kott, Chief Operating Officer </li></ul><ul><li>Kevin McKenna, Chief Compliance Officer </li></ul><ul><li>Ed Cabrera, Head of Investment Banking </li></ul>Key Personnel
  5. 5. <ul><li>Robert Eide - CEO and President of Aegis Capital </li></ul><ul><ul><li>Founded Aegis Capital in 1984,   </li></ul></ul><ul><ul><li>Serves on the board of directors of Vector Group which trades on NYSE (VGR) since 1993, </li></ul></ul><ul><ul><li>Founded and owns Nathan’s Famous, Inc. (an international fast food chain),  </li></ul></ul><ul><ul><li>Serves as director of Ladenberg Thalmann Financial Services, </li></ul></ul><ul><ul><li>Member of the New York State Bar Association since 1979. </li></ul></ul><ul><li>Howard Lorber – Co-Owner of Aegis Capital </li></ul><ul><ul><li>CEO and major owner of Vector Group Ltd., a cigarette producer listed on the New York Stock Exchange with a market capitalization of $2 billion, </li></ul></ul><ul><ul><li>Chairman and owner of Douglas Elliman, the largest residential real estate brokerage in the New York metropolitan area, </li></ul></ul><ul><ul><li>Chairman of Nathan's Famous (an international fast food chain), </li></ul></ul><ul><ul><li>Member of the Board of Directors at Borders Group Inc. (national bookseller), </li></ul></ul><ul><ul><li>Associated with New Valley Corporation (formerly Western Union), United Capital Corporation (real estate), and Ladenburg Thalmann Financial Services. </li></ul></ul>Aegis Ownership *Source Wikipedia
  6. 6. <ul><li>Ed Cabrera – Head of Investment Banking </li></ul><ul><ul><li>Worked on Wall Street for over 23 years with investment banks such as Merrill Lynch, PaineWebber and Raymond James & Associates. </li></ul></ul><ul><ul><ul><li>He has held many positions including investment banker, equity analyst, market strategist and portfolio manager. </li></ul></ul></ul><ul><ul><li>Since 2003, Ed has been focused on providing advisory services and capital market access for emerging and growth companies. </li></ul></ul><ul><ul><li>Prior to Aegis, Ed was Head of Investment banking for Jesup & Lamont which had over 340 financial consultants in 48 retail offices. </li></ul></ul><ul><ul><li>Ed worked at Merrill Lynch for 11 years as Managing Director and Head of Latin America </li></ul></ul><ul><ul><ul><li>Built the top ranked team for the region, according to Greenwich Associate surveys and Latin Finance magazine polls. </li></ul></ul></ul><ul><ul><ul><li>Selected for the 2000 Millennium edition of Who's Who in Finance and has been named to the All-America team by Institutional Investor Magazine for the quality of his work. </li></ul></ul></ul><ul><ul><li>Ed has an extensive technical and educational background. </li></ul></ul><ul><ul><ul><li>Graduated with Honors from the University of Florida in Engineering and Material Services with a Bachelor of Science degree. </li></ul></ul></ul><ul><ul><ul><li>Worked for General Electric in the materials laboratory and manufacturing operations. </li></ul></ul></ul><ul><ul><ul><li>Received his MBA from Harvard Graduate School of Business in 1987. </li></ul></ul></ul>Extensive Investment Banking Experience
  7. 7. <ul><li>Approximately 200 registered representatives </li></ul><ul><li>8 retail offices throughout the United States </li></ul><ul><li>Branch offices in 3 states </li></ul><ul><li>Over 10,000 client accounts </li></ul><ul><li>Total assets under management of $2.0 billion </li></ul><ul><li>Brokers provide asset management, mutual funds, fixed income, and equities </li></ul><ul><li>Retail and small institutional customers </li></ul>Retail Brokerage
  8. 8. <ul><li>National distribution with superior client service, providing tailor-made product solutions </li></ul><ul><li>Exemplified by a non-bureaucratic, relationship-based approach to investment banking </li></ul><ul><li>Extensive portfolio of experience allows us to operate with integrity and responsiveness </li></ul>Investment Banking
  9. 9. Recently Completed Offerings Aegis Capital Corp. CleanTech Innovations, Inc.                                                                                      $10,000,000 PIPE Financing Placement Agent Aegis Capital Corp. Fusion $3,000,000 PIPE Financing Placement Agent Aegis Capital Corp. SK                                           $20,000,000 PIPE Financing Placement Agent Aegis Capital Corp. Tianyin Pharmaceutical                          $15,200,000 PIPE Financing Placement Agent Aegis Capital Corp. Omnialuo                                                                                             $6,150,000 PIPE Financing Placement Agent Aegis Capital Corp. Metalline Mining Co.                                                                                           $2,040,000 PIPE Financing Placement Agent Aegis Capital Corp. Dais-Analytik                                                                                             $3,700,000 Convertible Debt Offering Placement Agent Aegis Capital Corp. Viskase                                                                     $10,000,000 PIPE Financing Placement Agent Aegis Capital Corp. ICAHN                                                                  $300,000,000   PIPE Financing Placement Agent Aegis Capital Corp. Epitome Systems                                                    $24,000,000 PIPE Financing Rights Offering Placement Agent
  10. 10. Institutional Overview West Coast Capital Research Capital International Franklin Advisors TCW Brandeis Summit Global Hotchkiss & Wiley Dodge & Cox Midwest Janus Marsico Duff & Phelps UBS Asset Management Northern Trust Ohio Teachers Ohio PERS Kennedy Capital Confluence Investment FAF Advisors Riversource Mid-Atlantic & Southeast T. Rowe Price Turner Partners Federated Delaware Investments Kalmar Freiss PNC Wealth Management State of Georgia DePrince Race & Zello New York/New Jersey/CT Alliance Jennison TIAA-Cref Deutsche Asset Cohen & Steers Lord Abett Blackrock Morgan Stanley JP Morgan Goldman Sachs Perella Weinberg Gabelli Water Asset Management Lazard RS Investments Oppenheimer Funds Royce Associates Europe Pictet KBC UBS Management Scottish Widows Mercury Asset Boston Fidelity Adage Crowpoint/Evergreen Putnam MFS Wellington MFC Global Columbia EatonVance Westfield Capital Mgmt Pioneer
  11. 11. <ul><li>Institutional Private Placements (PIPEs) </li></ul><ul><li>Registered Direct Transactions </li></ul><ul><li>Initial Public Offerings and Secondary Offerings </li></ul><ul><li>Merger and Acquisitions as well as Financial Advisory </li></ul><ul><li>Broad-based Private Equity, Debt, and Mezzanine Financing </li></ul><ul><li>Corporate Consulting </li></ul><ul><li>Real Estate Financing and Structuring </li></ul><ul><li>Going Private </li></ul>Investment Banking Products
  12. 12. <ul><li>Corporate Restructuring </li></ul><ul><li>Debt Advisory </li></ul><ul><li>Tender Defense Advisory </li></ul><ul><li>Buy-side, Sell-side Advisory </li></ul><ul><li>General Merger and Acquisition Advisory </li></ul><ul><li>Fairness Opinions and Valuations </li></ul>Advisory Services
  13. 13. <ul><li>Alternative Energy </li></ul><ul><li>Biotechnology </li></ul><ul><li>Consumer Goods </li></ul><ul><li>Entertainment </li></ul><ul><li>Healthcare </li></ul><ul><li>Industrial Goods </li></ul><ul><li>Medical Devices </li></ul><ul><li>Metals & Mining </li></ul><ul><li>Oil Services </li></ul><ul><li>Real Estate </li></ul><ul><li>Special Situations </li></ul><ul><li>Utilities </li></ul>Mid-Market and Emerging Growth Focus <ul><li>Strong Management Team </li></ul><ul><ul><li>Equity-oriented management </li></ul></ul><ul><ul><li>Proven operating experience </li></ul></ul><ul><li>Substantial Market Opportunity </li></ul><ul><ul><li>Market leadership </li></ul></ul><ul><ul><li>Large addressable market </li></ul></ul><ul><ul><li>Market position: strong & defensible </li></ul></ul><ul><ul><li>Highly scalable business model </li></ul></ul><ul><li>Financial Fundamentals </li></ul><ul><ul><li>Existing or near-term profitability </li></ul></ul><ul><ul><li>Strong revenue, cash flow and net income growth potential </li></ul></ul><ul><ul><li>Exit strategy: well-defined path to realization and appreciation of investor’s capital </li></ul></ul><ul><li>Support </li></ul><ul><ul><li>Board of directors: independent, industry experienced, leadership experienced </li></ul></ul><ul><ul><li>Shareholders and sponsors: strong and supportive with long-term outlook </li></ul></ul><ul><ul><li>Value-added strategic partnership </li></ul></ul>
  14. 14. <ul><li>We work with you to develop optimal solutions </li></ul>Mid-Market and Emerging Growth Solutions Public Offerings Financial Advisory Private Placements <ul><li>IPO </li></ul><ul><li>BCC – Blank Check Companies </li></ul><ul><li>Follow-on Offerings </li></ul><ul><li>Restructuring and Re-Capitalizations </li></ul><ul><li>Mergers, Acquisitions, and Divestitures </li></ul><ul><li>Leveraged and Management Buyouts </li></ul><ul><li>Fairness Opinions </li></ul><ul><li>Common Equity </li></ul><ul><li>Preferred Stock </li></ul><ul><li>Convertible Debt </li></ul><ul><li>PIPEs </li></ul><ul><li>Subordinated Debt </li></ul><ul><li>144A Placements </li></ul><ul><li>Asset Securitization </li></ul><ul><li>Preferred Stock </li></ul><ul><li>Subordinated Debt </li></ul><ul><li>Convertible Debt </li></ul><ul><li>High-Yield Debt </li></ul>
  15. 15. <ul><li>Timely and efficient transaction facilitation reduces legal costs, management efforts, and closing time. </li></ul><ul><li>A wide array of securities and terms allow specific customization to every company’s unique profile and objectives. </li></ul><ul><li>Fundraising can enable companies to: </li></ul><ul><ul><li>Fund internal growth </li></ul></ul><ul><ul><li>Facilitate accretive acquisitions </li></ul></ul><ul><ul><li>Expand shareholder base through targeted marketing </li></ul></ul><ul><ul><li>Reduce costly debt </li></ul></ul><ul><ul><li>Increase institutional ownership </li></ul></ul><ul><ul><li>Improve market liquidity </li></ul></ul>Deal Advantages
  16. 16. Corporate Finance Approach Corporate Finance Approach ANALYSIS STRATEGY PREPARATION NEGOTIATION IMPLEMENTATION <ul><li>Competitive Assessment </li></ul><ul><li>Core Competencies </li></ul><ul><li>Valuation </li></ul><ul><li>Strategic Alternatives </li></ul><ul><li>Shareholder Value Enhancement </li></ul><ul><li>Divestiture Opportunities </li></ul><ul><li>Acquisition Opportunities </li></ul><ul><li>Partnership Opportunities </li></ul><ul><li>Strategic Plan Development </li></ul><ul><li>Financial Analysis and Modeling </li></ul><ul><li>Negotiating Strategy </li></ul><ul><li>Strengths and Weaknesses </li></ul><ul><li>Internal Communications and Gossip Management </li></ul><ul><li>Pro Forma Analysis </li></ul><ul><li>Valuation Rationale </li></ul><ul><li>Coordination of Financial, Business, and Legal Issues </li></ul><ul><li>Push Process to Completion </li></ul><ul><li>Close Transaction </li></ul><ul><li>Contact Strategic Partners </li></ul><ul><li>Provide Fairness Opinion </li></ul><ul><li>Assist in Preparation of Regulatory Filings </li></ul><ul><li>Communicate Transaction Benefits to Financial Community </li></ul>
  17. 17. <ul><li>STRATEGIC ADVICE </li></ul>Aegis Commitment EXECUTION STRENGTH SELECTIVE ENGAGEMENTS EXPERIENCED TEAM <ul><li>Strategically partner with client </li></ul><ul><li>Create and explore alternatives </li></ul><ul><li>Anticipate Wall Street reaction </li></ul><ul><li>Create shareholder value </li></ul><ul><li>Know when to accept a proposed transaction </li></ul><ul><li>Understand client business ad industry metrics </li></ul><ul><li>Commitment to completing deals </li></ul><ul><li>Full range of M&A capabilities </li></ul><ul><li>Value-added from introduction through closing </li></ul><ul><li>Aegis professionals have a history of successful transactions </li></ul><ul><li>Aegis only accepts engagements where it believes it can add value </li></ul><ul><li>Recognize and appreciates strategic opportunities </li></ul><ul><li>Understand client objectives and align client expectations with transaction goals </li></ul><ul><li>Commitment and attention of senior professionals </li></ul><ul><li>M&A professionals offer transaction expertise </li></ul><ul><li>Dedicated investment banking professionals </li></ul><ul><li>Extensive industry, legal and accounting experience </li></ul>
  18. 18. <ul><li>Investment products are made available through Aegis Capital Corp. (Aegis), member FINRA ( www.finra.org ) & SIPC ( www.sipc.org ). </li></ul><ul><li>These documents are for informational purposes only. The information does not constitute a solicitation or an offer to buy or sell any security. </li></ul><ul><li>This information is confidential and intended solely for the use of Aegis and the client or prospective client to who it has been delivered. It is not to be reproduced or distributed to any person except to the client’s professional advisor. </li></ul><ul><li>Before making an investment decision, you should carefully read the offering memorandum or prospectus which contains important disclosures regarding risks, fees, and expenses. Any third party information used in this document has been obtained from various published and unpublished sources considered to be reliable. However, Aegis cannot guarantee its accuracy or completeness and thus, does not accept liability for any direct or consequential losses arising from its use. </li></ul><ul><li>Past performance is no guarantee of future results. The investment return and principal value of an investment will fluctuate with changes in market conditions. </li></ul>Disclosure
  19. 19. 810 Seventh Ave, 11 th Floor New York, NY 10019

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