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MicroCapClub Invitational: Abtech Holdings (ABHD)

The EPA estimates that 40-60% of contamination pouring into oceans, streams, and rivers is caused by storm water runoff. For the first time ever, the EPA is now forcing municipalities to do something about it. EPA consent decrees have created $30+ billion in mandated municipal spending of storm water/sewer overflow improvements. Abtech’s (ABHD) Smart Sponge technology is the first antimicrobial application for storm water registered with the EPA for outdoor use. Waste Management (WM) has partnered with Abtech to market and sell a stormwater runoff solution directly to municipalities. The company announced they have 80+ municipal proposals in various stages of progress. Listen to CEO Glenn Rink and VP Bjurnolf White as they talk about the municipal opportunity as well as many other applications for the technology.

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Total Solutions and Innovative Technologies to Clean Water
                   (OTC QB: ABHD)




                MicroCapClub Invitational
                  Investor Presentation
                    January 10, 2013


                                                             1
Safe Harbor Statement
The statements contained in this presentation that are not purely historical are forward-looking statements
within the meaning of applicable securities laws. Forward-looking statements include statements regarding
our “expectations,” “anticipation,” “intentions,” “beliefs,” or “strategies” regarding the future, whether or
not those words are used. Forward-looking statements also include statements regarding revenue, margins,
expenses, anticipated levels of future revenues and earnings from operations, projected costs and expenses
related to our operations, liquidity, capital resources, and availability of future equity capital on
commercially reasonable terms. Forward-looking statements in this presentation are based upon a number
of assumptions, some of which may not materialize, and unanticipated events may occur which could affect
the actual results achieved by the Company during the periods covered by the forward-looking
statements. All forward-looking statements included in this presentation are based on information available
to us as of the date of the presentation, and we assume no obligation to update any such forward-looking
statements. Our actual results could differ materially from the forward-looking statements.



                             Abtech Holdings, Inc. (OTC QB: ABHD)
                                  4110 North Scottsdale Road
                                     Scottsdale, AZ 85251
                                       www.abtechindustries.com



                                                                                                                2
Corporate Profile
• AbTech is an environmental company dedicated to providing innovative solutions to clean water.
• AbTech is a manufacturer and developer of the patented Smart Sponge® and Smart Sponge Plus
  technology to solidify hydrocarbons and reduce coliform bacteria (EPA Registration # 86256-1)
  contained in storm water, produced water and industrial waste water.
• Industry catalyst/trend – Clean Water Act and subsequent evolving regulations and increased
  enforcement.


                     STORM                 PRODUCED                  INDUSTRIAL
                     WATER                   WATER                  WASTEWATER




                                                                                                  3
Key Developments
12/27/12       Signs First Letter of Intent with California Municipality for Stormwater Public-Private Partnership.
12/19/12       Announces Distributorship in Australia and New Zealand and Receives First Orders.
9/20/12        Awarded 2012 Technology Innovator at World Shale Oil & Gas Convention.
9/13/12        Appoints Oil & Gas and Water Investment Expert to Its Strategic Advisory Board.
8/16/12        Creates Technical Advisory Board; Appoints Seasoned Nuclear Power Plant Expert.
8/15/02        Appoints Prominent Financial Expert to Its Board of Directors.
8/15/12        Babylon and ABHD Announce Results of a 5-Year Study Exploring the Efficacy of AbTech’s Smart Sponge®.
8/13/12        Appoints Governor Edward G. Rendell of Pennsylvania to its Strategic Advisory Board.

                                                        History
 1996      •   Founded – CEO raised $20 million personally 1996 – 2011 to fund early stage development.
 2000      •   First of 17 Patents Issued
 2005      •   First Large-Scale Federal Funded Installation of Stormwater Filter (Norwalk, CT)
 2009      •   First Field Installation of Large Vault Design
 2010      •   Advisory Board Appointed: Robert F. Kennedy Jr. (November); Congressman Jim Saxton (November)
 2011      •   Executive Management Appointments: Jonathan Thatcher, COO; Bjornulf White, EVP Strategy/BD
           •   Reverse Merged into Public Entity (February)
           •   EPA Approval for Smart Sponge®Plus Antimicrobial (August)
           •   Signed N. America Distribution Agreement with Waste Management
 2012      •   Commenced marketing of produced water and industrial waste water treatment
           •   Closed two financings $2.6 mil (Feb) and $3.7 mil (Sept)
           •   Established Engineering Subsidiary - AEWS Engineering
           •   Waste Management Announces Commercial Rollout (June)
           •   Begins Department of Defense Installations (June)
                                                                                                                       4
Snap Shot
      Headquarters:                                         Scottsdale, AZ
      Manufacturing:                                        Phoenix, AZ
      Employee Count:                                       24
      Market Cap:                                           $53 million (@$0.85 per share)
      Shares Outstanding:                                   62.2 million
      Fully Diluted:                                        90.7 million(1)(2)
      Options/Warrants:                                     8.2 million (Avg. $0.55); 8.3 million (Avg. $0.65)
      Insider Ownership:                                     13% fully diluted
      NOLs:                                                 $28 mil (Fed) $12.5 mil (State) – expire 2016-2031
      Patents/EPA registration:                             17 U.S.+16 International Patents / EPA Registered (Antimicrobial)



                       Total Smart Sponge® Installations to date: 15,000 locations

                        Transitioned from development phase to commercial stage in 2012


(1)   Assumes full conversion of all convertible debt
(2)   Completed a $3.73 million equity funding to pay down debt on September 13, 2012
                                                                                                                                5
TECHNOLOGIES




               6

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MicroCapClub Invitational: Abtech Holdings (ABHD)

  • 1. Total Solutions and Innovative Technologies to Clean Water (OTC QB: ABHD) MicroCapClub Invitational Investor Presentation January 10, 2013 1
  • 2. Safe Harbor Statement The statements contained in this presentation that are not purely historical are forward-looking statements within the meaning of applicable securities laws. Forward-looking statements include statements regarding our “expectations,” “anticipation,” “intentions,” “beliefs,” or “strategies” regarding the future, whether or not those words are used. Forward-looking statements also include statements regarding revenue, margins, expenses, anticipated levels of future revenues and earnings from operations, projected costs and expenses related to our operations, liquidity, capital resources, and availability of future equity capital on commercially reasonable terms. Forward-looking statements in this presentation are based upon a number of assumptions, some of which may not materialize, and unanticipated events may occur which could affect the actual results achieved by the Company during the periods covered by the forward-looking statements. All forward-looking statements included in this presentation are based on information available to us as of the date of the presentation, and we assume no obligation to update any such forward-looking statements. Our actual results could differ materially from the forward-looking statements. Abtech Holdings, Inc. (OTC QB: ABHD) 4110 North Scottsdale Road Scottsdale, AZ 85251 www.abtechindustries.com 2
  • 3. Corporate Profile • AbTech is an environmental company dedicated to providing innovative solutions to clean water. • AbTech is a manufacturer and developer of the patented Smart Sponge® and Smart Sponge Plus technology to solidify hydrocarbons and reduce coliform bacteria (EPA Registration # 86256-1) contained in storm water, produced water and industrial waste water. • Industry catalyst/trend – Clean Water Act and subsequent evolving regulations and increased enforcement. STORM PRODUCED INDUSTRIAL WATER WATER WASTEWATER 3
  • 4. Key Developments 12/27/12 Signs First Letter of Intent with California Municipality for Stormwater Public-Private Partnership. 12/19/12 Announces Distributorship in Australia and New Zealand and Receives First Orders. 9/20/12 Awarded 2012 Technology Innovator at World Shale Oil & Gas Convention. 9/13/12 Appoints Oil & Gas and Water Investment Expert to Its Strategic Advisory Board. 8/16/12 Creates Technical Advisory Board; Appoints Seasoned Nuclear Power Plant Expert. 8/15/02 Appoints Prominent Financial Expert to Its Board of Directors. 8/15/12 Babylon and ABHD Announce Results of a 5-Year Study Exploring the Efficacy of AbTech’s Smart Sponge®. 8/13/12 Appoints Governor Edward G. Rendell of Pennsylvania to its Strategic Advisory Board. History 1996 • Founded – CEO raised $20 million personally 1996 – 2011 to fund early stage development. 2000 • First of 17 Patents Issued 2005 • First Large-Scale Federal Funded Installation of Stormwater Filter (Norwalk, CT) 2009 • First Field Installation of Large Vault Design 2010 • Advisory Board Appointed: Robert F. Kennedy Jr. (November); Congressman Jim Saxton (November) 2011 • Executive Management Appointments: Jonathan Thatcher, COO; Bjornulf White, EVP Strategy/BD • Reverse Merged into Public Entity (February) • EPA Approval for Smart Sponge®Plus Antimicrobial (August) • Signed N. America Distribution Agreement with Waste Management 2012 • Commenced marketing of produced water and industrial waste water treatment • Closed two financings $2.6 mil (Feb) and $3.7 mil (Sept) • Established Engineering Subsidiary - AEWS Engineering • Waste Management Announces Commercial Rollout (June) • Begins Department of Defense Installations (June) 4
  • 5. Snap Shot Headquarters: Scottsdale, AZ Manufacturing: Phoenix, AZ Employee Count: 24 Market Cap: $53 million (@$0.85 per share) Shares Outstanding: 62.2 million Fully Diluted: 90.7 million(1)(2) Options/Warrants: 8.2 million (Avg. $0.55); 8.3 million (Avg. $0.65) Insider Ownership: 13% fully diluted NOLs: $28 mil (Fed) $12.5 mil (State) – expire 2016-2031 Patents/EPA registration: 17 U.S.+16 International Patents / EPA Registered (Antimicrobial) Total Smart Sponge® Installations to date: 15,000 locations Transitioned from development phase to commercial stage in 2012 (1) Assumes full conversion of all convertible debt (2) Completed a $3.73 million equity funding to pay down debt on September 13, 2012 5
  • 7. Smart Sponge® Core Technology Polymer-based Filtration Media Absorbing capabilities makes Smart Sponge® highly effective as a filtration platform to remove hydrocarbons and other pollutants from flowing or pooled water. Smart Sponge ® has the ability to be molded in various shapes and sizes for endless applications. 7
  • 8. Patented Technology • Oleophilic – Chemically selective towards hydrocarbons. • Hydrophobic – Will not absorb water. • High Porosity – Provides a very large surface area, increasing performance over competing technologies. Contaminant molecules diffuse into the network and become absorbed into the voids until the matrix is saturated. Smart Sponge will not release any contaminant molecules, even after saturation. • High Flow Rate – Due to its highly porous design, Smart Sponge can pass 80 gpm/ft2 with a one-foot media depth. • Absorption vs. Adsorption – With Absorption the contaminant is solidified within the structure, with Adsorption the contaminant is attracted only to the surface of the structure and will leach. • Non-Leaching – Creates a permanent bond with the hydrocarbon, it will not leach. Has completed TCLP testing finding “no detectable levels of leachable analytes.” • Total Absorption – Smart Sponge will generally absorb 2 to 3 times its weight in hydrocarbons prior to replacement. • High BTU Value – BTU value and can be reused as fuel in waste-to-energy facilities or cement kilns. Base polymer is 18,000 BTU, 320 lbs would produce 1 megawatt of power which could power 140 homes for 1 hour. • Disposal and Re-use – Multiple waste disposal and resource recovery industries have accepted spent Smart Sponge products for disposal and reuse: Waste-To-Energy Facilities - a participant in the Department of Energy’s National Renewable Energy Program; Cement Kilns - above average BTU values; Landfill Disposal - accepted at Subtitle D Landfills. Recycle – ability to melt down the used smart sponge for 90% recovery of used oil. 8
  • 9. Patent and Trademark Summary Patent Summary • The United States Patent Office has issued AbTech 17 patents related to the Smart Sponge technology and products, plus 16 patents pursued internationally issued in Australia, Belgium, Canada, China, France, Germany, Israel, Italy, Japan, Korea, Mexico, and Singapore. • Patents filed by AbTech generally protect the underlying polymer structure, the manufacturing process, certain finished products, and the integration of the antimicrobial solution. File dates for the patents span from 1996 to 2004. Issue dates for the patents span from 2000 to 2007. Trademark Summary • Smart Sponge® – which denotes the Smart Sponge material itself in its various shapes and sizes. • Ultra-Urban ® Filter – which denotes AbTech’s line of storm drain filtration devices. • Smart Pak ® – which describes Smart Sponge material compacted into blocks, bricks or other pre- shaped forms. • Smart Drum™ - which describes Smart Sponge material deployed in low flow rate 55 gallon portable drums. 9
  • 10. Smart Sponge® Plus Advanced Antimicrobial Filtration Media EPA Reg. #86256-1 Smart Sponge® Plus First antimicrobial application of this agent for storm water registered with EPA for outdoor use. Canadian “Antimicrobial” Application No. 2460511 granted June 15, 2012 – Dual-Action Decontamination System. Contains an antimicrobial agent that is effective in reducing coliform bacteria found in storm water, industrial waste water, and municipal waste water. Antimicrobial technology synergistic with the Smart Sponge® and does not reduce ability to remove hydrocarbons or sediment. Process permanently binds this antimicrobial agent. Smart Sponge® Plus is a key approach for reducing beach closures. Physical Inactivation of Bacteria by Biostatic Rupture of the Cell Wall 10
  • 11. Research & Development Heavy Metals Removal • Multiple bench scale studies completed by third-party laboratories. Retention times of 1,3, 5 and 10 minutes completed. • Removal rates are good across time spectrums ranging from 76 New ground-breaking to 96%. • Heavy metal testing for storm water completed showing efficacy filtration media technology with cadmium, chromium, copper, iron, lead, and zinc. for heavy metals and PCB • Total absorption data nearing completion. removal. Deployed in same • Planning field validation studies. engineered systems as Phosphorous Removal used for Smart Sponge • Initial treatability testing completed with 97.5% removal. filtration media. Can be • Additional bench scale testing planned and total absorption used in conjunction with testing thereafter. Smart Sponge®/Smart PCB Removal Sponge® Plus for • Treatability testing completed with 45% removal. hydrocarbon/oils/greases • Additional bench scale testing planned, but not yet underway. and antimicrobial efficacy. Radionuclides • Treatability testing planned, but not yet completed. 11
  • 12. Manufacturing Current Manufacturing Capacity • Current manufacturing capacity on a blended basis between wholesale and retail sales is $15 million annually. • Physical facilities are approximately 15,000 sq/ft. Manufacturing Expansion • Additional production lines may be added within 10-weeks at a cost of approximately $175,000/line. • Each production line added can add an additional $3 million in revenue. • Multiple lines can be added concurrently. • Contiguous and adjacent physical space available for 2-3x expansion. • Testing new production technique that would increase capacity 5-10x within existing facility. Contract Manufacturing • Periodic analysis based on volume to justify contract manufacturing. • Relationships have been identified and potential partner assessment continues. Product Cost Reduction • New polymer manufacturer and cryogenic grinder selected that can meet our grinding standards and reduce costs. • Overall cost reduction per pound of the ground polymer is 31%. 12
  • 14. Storm Water Market Estimates range from 40% to 60% of contamination pouring into oceans, streams and rivers is caused by storm water runoff. 14
  • 15. Storm Water Market Overview AbTech addressable market (annual) - $5 billion First Commercialized Business Line • Newly regulated market. EPA Consent Decrees have created $30 Billion+ in mandated Municipal spending of storm water / sewer overflow improvements. New broader storm water regulations on the horizon. • DOJ officials on record that enforcement of storm water compliance is new focus initiative. • AbTech systems have been heavily tested and validated over many years. It’s storm drain inserts are EPA recognized as a Best Management Practice. Product installation totals over 15,000 locations across 36 states with international installation in the UK, France, Italy, South/Central America, Switzerland, Canada, and Russia. Storm Water Sample Treatment Systems Storm drain inserts End of Pipe treatment vault Large Treatment Systems (Norwalk, CT) (long Island Sound) (Outerbanks) 15
  • 16. Storm Water Customer Potential Municipalities: Increasing regulations, aging infrastructure, and increased attention to water quality issues are expanding this market segment rapidly. The EPA has brought many larger metro areas under consent decree to improve their storm water/sewer combined overflows – already $30+ billion of mandated spending has come under consent decree. Waste Management Agreement AbTech and Waste Management, Inc. (WM) have 5-year marketing and distribution agreement for municipalities in North America. The Pilot Market Phase lasted 10 months in length and commenced on April 7, 2011. In the summer of 2012, WM announced the roll-out of AbTech's full-service storm water solutions offerings. Currently, the program is focused on the west coast and east coast U.S. states, British Columbia, and Ontario. Current Business Status: The first P3 LOI was signed with Monrovia, California 12/27/12. 80+ proposals are at various stages of progress. Revenue Opportunity: AbTech estimated revenue from a typical smaller municipality should generate approximately $500,000 to $1.5 million per year. Federal Facilities/Department of Defense: Natural fit for AbTech’s engineered retrofit applications where infrastructure constraints, cost constraints, or other security concerns prohibit traditional elaborate waste water treatment/control systems. Increasing attention towards deploying storm water controls – Q2 2012 first DoD vault system and storm drains were installed at several bases. Private Industry/Commercial Properties: Increase regulatory enforcement and required storm water permits acting as market driver; corporate Green initiatives. Facilities – Airports, Marinas, Transfer Stations: Dual regulatory drivers – Storm water Compliance and Spill Control; focused strategy towards Smart Sponge core technology; typically require low-profile engineered solutions. Currently installed in several large and regional airports. 16
  • 17. Produced Water Market Oil & Gas / Fracking Opportunity “The biggest wild card for the future of oil and gas may be shale and other tight rocks…but the water requirements for fracking will be a high hurdle absent a technological breakthrough.” - Clifford Kraus, New York Times, October 25, 2011 17
  • 18. Oil & Gas industry generates 214 billion barrels (34 billion cubic meters) of produced water each year with $51 billion in annual water management costs. • 75% of the produced water is reinjected and does not undergo tertiary treatment, that leaves 25% of total produced water as the target for AbTech products totaling approximately 53.5 billion barrels of water (8.5 billion cubic meters). Treatment Train Process Remove Remove Oil Water De-oiling Suspended Dissolved Separation Solids Solids • De-oiling is a critical step to remove free oil, emulsified hydrocarbons and dissolved AbTech hydrocarbons to <5 mg/L. This protects downstream treatment technologies, thereby reducing Value the overall cost of the process. Proposition • Cost of using Smart Sponge ® to remove free oil can be less than $0.10 per barrel. • The spent Sponge has significant renewable energy value. • AbTech can also deliver a Pre-treatment System Integration Package 18
  • 19. AbTech’s Produced Water Pre‐Treatment Systems combine the best‐of‐breed  available technologies, innovative systems engineering, and AbTech’s unique Smart  Sponge® de‐oiling technology. Stage 1 Stage 2 Stage 3 OIL RECOVERY DE‐OILING &  AIR STRIPPING OF ENERGY VOCS RECOVERY Liquid/Liquid  Air Stripper System  Hydrocyclone Oil  Smart Sponge®  to Remove Water  Separation System Hydrocarbon Soluble  Absorptive  Hydrocarbons (GRO  (SSHA) contactor & BTEX) OPTIONAL Vapor Phase Granular Activated Carbon (VGAC) contactors to remove residual GRO and BTEX compounds 19
  • 20. Produced Water Smart Sponge® De-oils Frac Water and supports the industry’s goals for corporate responsibility, sustainability, and protection of discharges to surface water. Current Business Status: • Oil & Gas vertical announced late 2011 after highly successful AbTech field trials. • AbTech Houston office opened in November 2012. • Aggressively working to place onshore and offshore technology at oilfield services companies, sign distributor agreements and deploy AbTech designs to key shale basins across the US. Addressing international opportunity as it arises. 2012 Technology Innovator of the Year at Third Annual World Shale AbTech System installed at a Wyoming Shale Fracking Site Oil & Gas Awards 20
  • 22. Industrial Waste Water Market Opportunity AbTech addressable market (annual) - $1 billion Disposal of waste water from industrial operations is highly regulated and expensive. Regulations set by the Clean Water Act and related amendments, Nuclear Regulatory Commission regulations, international marine regulations, marine and other water quality regulations. Opportunities for industrial water treatment operations available to AbTech: • Metals Machining e.g. waste cutting oils, waste coolant oils, waste degreasing solutions. • Chemical tankers. • Nuclear power generation. • Pulp and paper processing. • Power generation, coal fired, natural gas fired or hydroelectric. • Steel manufacturing and recycling processes e.g. waste cutting oils, waste coolant oils, waste degreasing solutions. • AbTech has focused its efforts in three main product areas: pressure vessels, gravity filters, and specialty and custom engineered solutions. Current Business Status: • Several industrial systems have been developed or are under development; first treatment system has been sold. • Major business development activities include: (1) Smart Sponge spec’d in several major proposals globally; (2) Design/systems integration underway for mobile multi-contaminant treatment system with global market applicability. 22
  • 23. Leadership – Financials Growth Strategy 23
  • 24. Management Team Glenn Rink, Founder, President, CEO and Director (1995) Since AbTech’s inception June 1995, Mr. Rink has led AbTech through its transition from start-up R&D venture to commercialization. Earlier, Mr. Rink served as the president and founder of HydroGrowth International, an agricultural products company specializing in aqueous absorption polymer technology. The advancement of this technology at HydroGrowth expanded into the development and application of polymer technologies to hydrocarbons and fostered the founding of AbTech. Glenn serves as the chairman of the Board of Trustees (7 years) and member of the Board of Directors of Waterkeeper Alliance, Inc., a nonprofit organization working to protect water resources. Lane J. Castleton, Chief Financial Officer and Treasurer (1998) Over 28 years in managing accounting and finance functions. Previously, Mr. Castleton managed the finance, accounting, and administrative functions of Marine Preservations Association (1992 – 1997), an oil industry trade association that funded the establishment of a national catastrophic oil spill response capability. For nine years, Mr. Castleton served as the Controller and Chief Financial Officer of Symbion, Inc., a publicly traded medical device manufacturing company. Earlier Mr. Castleton was an auditor for Coopers & Lybrand. Mr. Castleton is a CPA with a Masters in Accounting. Jonathan Thatcher, Chief Operating Officer and Director (2011) 12 year Director and President of Exeter Life Sciences Inc. where he served as Chairman of Arcadia Biosciences, Inc., an innovative plant biotechnology firm focused on nitrogen use efficiency, water use efficiency, and salinity tolerance; co-founded Kronos - The Optimal Health Company focused on preventative healthcare; served as Chairman of ViaGen, Inc., an animal biotechnology company focused on commercializing somatic cell nuclear transfer methods; Chairman and Interim President of Start Licensing, Inc., which manages and licenses a broad portfolio of intellectual property rights related to animal reproductive technologies. Mr. Thatcher serves as a Director of AbTech Industries Inc.; formerly served on the Board of One Touch Systems, Inc,; Past Chair of Governance Committee for the Arizona Chapter of the National Multiple Sclerosis Society. Bjornulf White, EVP of Corporate Strategy and Business Development (2011) Previously, Portfolio manager at Lockheed Martin Corporation where he was responsible for identifying, incubating, and expanding new technologies and markets for the corporation, such as the energy and water technologies sector. Prior to joining Lockheed, Mr. White worked as an attorney and business strategy consultant in Washington, DC. JD degree - George Washington University Law School, MPA - Cornell University's Institute for Public Affairs, BA – Cornell University. 24
  • 25. Board of Directors (Independent) Olivia H. Farr, Director and Secretary (1999) Environmentalist. CEO of Best Movies by Farr; trustee of the John Merck Fund, St. Mark’s School ; actively involved in efforts to lower greenhouse gas emission. Past employment - Partner at First Funding Associates (Stamford, CT), Research Associate at Natural Resources Defense Council and Assistant Director of the Mrs. Giles Whiting Foundation. MBA - Pace University, MPA.- NYU; BA - Univ. of Pennsylvania. David Greenwald, Director (1999) Expert in distribution and logistics. Chairman of Lansco Colors; President of Shoot the Moon Productions (TV series produced with Warner Bros.); Board of Directors for Northern Westchester Center For the Arts (1995 -1999); Board of Directors of The Boys and Girls Clubs of Northern Westchester (2000 – present). BA - Connecticut College. A. Judson Hill, Director (2004) - Compensation Committee Chair Globally recognized water industry expert. Managing Director of NGP Energy Capital Management. Previously, Managing Partner of Summit Global Management Inc. Formerly a Partner with The Halifax Group and Aqua International Partners, L.P., a private equity fund (global water focus). Earlier, HSBC Managing Director Investment Banker focused on water technology/services and water utilities; 15 years operational management at Westinghouse Electric Corp. and Atlantic Richfield Corp. B.S./M.S. (Civil/Environmental Engineering) - University of Pittsburgh, BS ( Biology & Chemistry) - Edinboro University. Steven W. Kohlhagern Director (2012) Financial expert who has served as advisor to the Federal Reserve Board, the United States Treasury and the Council of Economic Advisors. University of California, Berkeley professor of International Finance and Economics. Lehman Brothers, Bankers Trust , Stamford Financial Group , and First Union National Bank where he built and managed all fixed income and derivative businesses. Ph.D. and MA economics – Stanford University; BA - College of William and Mary. Boards of Directors of Ametek, Inc. and Reval, Inc. In his retirement, Mr. Kohlhagen writes mystery novels. Karl Seitz, Director (2007) – Audit Committee Chair Past President of Deimos Ventures, LLC, a private equity fund focused on investing in early stage technology companies relative to water, bio fuels, and genetics. Previously, 20 years with Mars, Inc. in a number of domestic and international financial positions; Controller for Kawasaki Motors USA (1977-1984 ); Senior Tax Advisor at Arthur Andersen (1973 - 1977). Earned CPA; BA (Economics and Political Science ) - UCLA. Formerly active in community non-profit organizations in Southern California. 25
  • 26. Strategic and Technical Advisory Board Robert F. Kennedy, Jr. (2010) Founded and serves as president of the Waterkeeper Alliance, a non-profit environmental organization that connects and supports over 150 groups focused on protecting rivers, lakes, bays, sounds, and other water bodies around the world; Clinical Professor of Environmental Law and co-director of the Pace Environmental Litigation Clinic at Pace University; Bachelor of Arts in American History and Literature from Harvard University, JD from University of Virginia and a Masters of Law degree from Pace University. Congressman James Saxton (2010) Member of the U.S. House of Representatives from New Jersey from 1984-2009; served on the Armed Services Committee, the Natural Resources Committee (Subcommittee on Fisheries, Wildlife and Oceans) and the Joint Economic Committee where he services as chairman; recognized and awarded for his work in environmental protection, he founded the Congressional Wildlife Refuge Caucus. Governor Edward G. Rendell (2012) Two term Governor of Pennsylvania from 2003-2011; two term Mayor of Philadelphia from 1992-2000; District Attorney of Philadelphia for two terms from 1978-1985. He currently serves as a distinguished senior fellow at the Brookings Institute and served as chairman of the Democratic National Committee (2000 presidential election). Governor Rendell serves as a consultant and board member for Own Energy, Element Partners and Ocean Thermal Energy. Also works with Government Sourcing Solutions, Public Financial Management and Greenhill Advisors. Governor Rendell is a U.S. Army veteran; BA - University of Pennsylvania, where he teaches courses in government and politics, and J.D. - Villanova Law School. William S. Brennan (2012) Principal of Summit Global Partners, a RIA managing the oldest water investment platform globally; adjunct professor at Villanova University (College of Commerce & Finance Graduate) and Cabrini College. Previously, President of Brennan Investment Partners, a water & infrastructure investment firm managing the Kinetic Water Infrastructure Fund from inception to June 2010; Pacific Growth Equities analyst - environmental services. Mr. Brennan serves on the advisory boards of The Water Initiative, the School of Engineering at Colorado State University and Jabil Circuits. He is on the Board of Bringing Hope Home (non-profit cancer charity). BS (Mechanical Engineering and Biology) Lehigh University; MS (Biomedical/Mechanical Engineering) – Colorado State University; MBA – Villanova University. Series 63, 65 securities licenses. Michael Shea (2012) (Technical Advisory Board) Director of Industrial Safety and Safety Culture for Palo Verde Nuclear Generating Station (1987 to present). Palo Verde is the largest nuclear generation facility in the United States, generating over 4 gigawatts of electrical power to 4 million people in CA, AZ, NM, and TX. During his tenure, Mr. Shea has served in several senior management capacities in which he created and implemented performance and safety standards, as well as establishing cost effective procedures while ensuring critically heightened adherence to regulatory guidelines. BS in engineering technology and physics - University of the State of New York; Executive MBA from Arizona State University. 26
  • 27. Revenue Dynamics/Business Model • “Razor-RazorBlade” Business Model. Annual Addressable Market Size Storm Water market opportunity: $5.0 Billion Produced Water market opportunity: $1.2 Billion Industrial Waste Water market opportunity: $1.0 Billion • Average replacement matrix. – Replacement cycle – 18 months. – Replacement cost to end user - approx 50% of installation cost. • Renewable energy value of spent sponge – 320lbs = 1 megawatt hour. • Recycle and reuse – ability to melt down the used smart sponge for 90% recovery of used oil. • Engage sector dominant strategic sales and distribution partners, where appropriate, for each AbTech business vertical. Storm Water Treatment Municipal market – Waste Management, Inc. • Australia and New Zealand Distributor – SPEL Environmental • AbTech receives payment from distributor 30 days following product shipment. • AbTech has formed storm water engineering design subsidiary firm to capture previously untapped segment of the value chain. 27
  • 28. Abbreviated Balance Sheet As of September 30, 2012 Cash $ 3,577,436 Receivables 213,108 Inventory, net 413,155 Prepaid and other current assets 134,041 Fixed assets, net 74,006 Intangibles and other 41,364 Total Assets $ 4,453,110 Accounts Payable $ 372,609 Loan from shareholders 9,000 Convertible Promissory Notes 4,575,759 Customer deposits 41,724 Accrued interest , expenses and other 503,317 Total Current Liabilities 5,502,410 Convertible Promissory Notes 1,831,000 Other long term liabilities (Warrant liability) 2,757,726 Total Liabilities 10,091,136 Stockholders’ Equity (5,638,026) Total Liabilities and Stockholders’ Equity $ 4,453,110 September 13, 2012 – AbTech closed a$3.73 million equity funding – proceeds were available to pay down debt.; Terms - Priced at $0.77 per share; 10% warrant coverage @ $0.90. As of October 31, 2012, the principal amount of short term debt outstanding was $2.0 million -- total convertible debt outstanding was reduced from 12/31/11 to 10/31/12 by approximately $5.0 million, requiring only approximately $300,000 of capital to retire debt of holders that opted not to convert into the Company’s common stock. 28
  • 29. Capitalization Table As of November 15, 2012 Avg. Avg. Convertible  Convertible  Fully % Directors and Common Exercise Exercise Promissory  Preferred  Diluted Ownershi Executive Officers Shares Warrants Price Options* Price Notes Stock Shares p G. Rink, CEO 3,173,385 - - 1,867,127 - - - 5,040,512 5.5% Board (non-exec) 1,393,568 24,000 - 4,022,419 - - - 5,439,987 6.0% Exec. Management 10,000 - - 1,410,818 - - - 1,420,818 1.6% Sub-Total 4,576,953 24,000 - 7,300,364 - - - 11,901,317 13.1% Employees - - - 133,094 - - 133,094 0.1% Public Held Shares 57,576,885 8315,599 - 790,000* - 5,463,936 6,563,943 78,710,363 86.8% Total Outstanding 62,153,838 8,339,599 $0.65 8,223,458* $0.55 5,463,936 6,563,943 90,744,774 100.0% * Does not include performance options of 1.0 million to be granted under revenue targets on future technology. 29
  • 30. Potential 12 Month Milestones • Initial orders in all three business segments and associated revenues. • Additional marquee sales and distribution agreements matched to designated company verticals. • Begin marketing product lines in targeted international markets. • Validation and launch of new product development programs to treat heavy metals, PCBs, and radionuclides in the field. • Additional notable advisory and technical board members • Additional hires – Technical sales and support. • Expand manufacturing capabilities and options. • Continued Balance Sheet improvement. • Additional participation at targeted industry conventions and analyst presentations. 30
  • 31. Summary AbTech is an investment with all the elements of success: Smart Sponge® is a highly cost effective, heavily-patented, advanced materials filtration platform that cleans contaminated water thereby addressing rapidly increasing regulatory requirements. • Strong opportunities for revenue growth. • Business model (razor/razorblade) is capable of generating recurring revenue and strong margins. • High Barriers to entry (regulatory and product development expenses/patents) with limited competition and first to market advantage in several markets. • Additional potential value in disposal and/or sale of spent fiber. • Seasoned management. 31
  • 32. Thank You for Your Time and Consideration Contacts: Glenn Rink, CEO 480-874-4000 grink@abtechindustries.com Yvonne Zappulla, Investor Relations 212-681-4108 yvonne@grannusfinancial.com 32