WFLLC Overview / Management

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Wakabayashi Fund Overview / Management

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WFLLC Overview / Management

  1. 1. wilSets                    Wakabayashi Fund LLC     Overview 2011                                  Page 1 of 15  
  2. 2.       Guiding principles   Clear policies   All with the samephilosophies, visions and goals The Wakabayashi Fund Overview Wakabayashi Fund LLC., a private equity family fund with offices in Tokyo, Japan and New York, NY, provides corporate capitalization and institutional investor relations consulting services. Wakabayashi Fund may invest on a principal basis and acts in an agency capacity to procure capital for both profitable and emerging small‐cap and mid‐cap companies, identifying institutional funding sources for its clients and further develops the investor relations activities. Wakabayashi Fund is committed to providing our clients with an uncompromising level of service to assist them in realizing both their immediate and long‐term objectives. We believe the success of any organization lies in the ability to effectively execute the business plan at each stage of development, and our role is to assist in completing the business plan goals. Corporate development, corporate governance, short term and long term financing, institutionally driven sponsorship, business development and management consulting services are our areas of expertise. OVERVIEW From time to time, numerous owners and managers of small businesses consider the option of selling all or part of their companies for capital procurement purposes. They become anxious about having most, if not all, of their net worth at risk in the business. A multitude of concerns often conspire to make them postpone taking any action. They worry that they might not get the maximum price if they sell now and more importantly, they sense that they are not finished with their work. The builder in them wants to keep expanding the business, not just to create greater value but also to satisfy the innate entrepreneurial urge to enlarge the vision. Succinctly, the desire is to preserve their accumulated wealth and keep building for the future. Wakabayashi Fund has developed a specialty in associating with such owners and managers and helping them resolve the conflict between their personal financial goals and the needs of the business. Wakabayashi Fund may invest on a principal basis and acts in an agency capacity to procure capital for profitable small‐cap and mid‐cap companies. We will also entertain unprofitable companies that are close to break‐even or EBITDA positive status. We attempt to structure a financing so that owners and managers continue to lead their enterprises and participate in the rewards of future growth, while at the same time achieving the liquidity to diversify their personal holdings and fund the next round of company expansion. We help build value by working with professional managers and entrepreneurs to achieve liquidity, to implement operating improvements for the businesses and to realize short Page 2 of 15  
  3. 3. and long term strategic and financial goals. Wakabayashi Fund’s goal is to provide or arrange for liquidity and private equity capital for managers and owners of companies with revenues of $500,000 or more. We will also review smaller capitalized companies and view each transaction on its underlying merit, case by case. We provide senior management and operating experience in a variety of industries with the financial and investment know‐how of private equity professionals. We bring to a portfolio company sophisticated financial acumen combined with valuable operating insight. We afford experience in building companies along with a history and lengthy track record in raising capital and providing short‐term liquidity. Additionally, we would like to think of ourselves as an ongoing asset for owners and managers, providing them with assistance and instructions in the following areas:  Market making assistance and support in dealing with broker / dealers  “Buy‐side / Sell‐side” coverage  Corporate development strategy  Incorporating best practices from other industries  Making the introductions that help companies grow and succeed Wakabayashi Fund’s principals have successfully invested in a wide range of industries with particular focus on buildup and consolidations. Our objective is to provide short / long term liquidity and recapitalize companies in cooperation with professional management, thereby building long‐term value. Our preference is for profitable companies or those that possess trajectory technologies. Additionally, at the other end of the spectrum, we are drawn to basic manufacturing, service and distribution businesses in fragmented industries where technology development is not the key requirement for success. The aforementioned criteria permit Wakabayashi Fund to invest and procure capital in a broad cross‐section of companies and industries. Wakabayashi Fund is dedicated to assisting managers and owners in achieving their financial, operating and liquidity goals. We accomplish this by working closely with a portfolio company to:  Develop strong relationships with all levels of management  Set strategic and operating objectives with management and the board  Add to shareholder base, thus potentially adding to liquidity and increased market capitalization  Incorporate market‐maker support both retail and wholesale  Facilitate and introduce industry experts and appropriate outside resources to management  Assist with acquisitions and other corporate finance needs Through extensive operating and venture capital investing experience, we have access to a network of contacts in professional organizations and financial institutions that are often useful to the client. Our financial network includes other venture capitalists, private equity, hedge funds, bankers, asset‐based lenders and investment banking firms. SMALL COMPANY FOCUS There are a substantial number of small‐cap and mid‐cap market companies in the United States as well as off‐shore. Many were founded several decades ago and now the owners or their children want to liquefy their holdings. Some expect to cash out completely while others plan to sell a portion for company cash needs. Unfortunately, for these owners and managers, small companies do not necessarily enjoy the liquidity and ready access to the capital markets that their larger counterparts do. Fewer buyers are interested in these smaller transactions and many of these companies are managed in ways that make them less attractive to outside investors. Commercial bank financing is usually available to small concerns in limited amounts, but it often requires the personal guarantee of the principals. As a result, companies of this size must rely chiefly on their owner’s capital to support their growth and make acquisitions or capital expenditures. This dependence frequently conflicts with the principals’ desire to take capital out of the business after many years of investing. A number of internal factors can also affect the value of small companies. Because of their size, they may lack strong financial controls and information systems, depth of management and geographical reach. Their status as Sub S corporations, while beneficial in terms of tax treatment, may mean they do not have standard cost systems or books that Page 3 of 15  
  4. 4. conform to generally accepted accounting principles. Moreover, the principals may be hesitant to assume the additional risks of making acquisitions, adding product lines, expanding production capacity or investing in capital equipment and systems. PORTFOLIO COMPANY The type of Client Company we choose to align ourselves with will be able to create and sustain its market position with superior products, services, cost structures and / or proprietary skills of its employees. A typical company we invest in or procure capital for has the following qualities:  Revenues of $500,000 or more and operating cash flow of $100,000 or more (we will entertain smaller criteria)  Dedicated and capable managers willing to take steps necessary to improve the value of their business  A leading market position and a valuable franchise  Predictable cash flows and opportunity for growth  Low exposure to the risks of technological obsolescence  Identifiable opportunities to enhance financial performance by improving growth, operating margins and capital efficiency FINANCING TYPES Investments take a variety of forms ranging from straight equity, hybrid, or debt. All of our principal and agency transactions involve a significant degree of equity participation, which is commensurate with the risk and is essential to achieving our objective of capital appreciation. Our transactions fall within four general categories: Expansion Financing Rapidly growing companies usually require outside capital to fund their growth. Adequate bank financing is often unavailable, and secondary public offerings may be premature. Wakabayashi Fund provides capital from an agency / principal basis to support growth and improve growing companies’ access to financing from banks or other institutions. Early Stage Financing Wakabayashi Fund provides capital to early stage companies with innovative products or services and strong potential for rapid growth. Such companies should have strong indications of customer demand and a seasoned management team that can quickly and efficiently produce significant sales and earnings. Management Buyouts Managers who have the opportunity to acquire businesses usually need outside capital and financial expertise to complete such transactions. Wakabayashi Fund may assist in providing the required equity capital as well as leadership in organizing additional financing. Recapitalizations Owners of small‐cap and mid–cap companies often need liquidity but do not necessarily desire to sell their companies. Wakabayashi Fund organizes and arranges financing recapitalizations to provide liquidity and address the financial issues facing owners of such businesses. ARRANGING FINANCING Written communication is the best way to contact us initially. After a cursory review and discussion of your business, we can provide an indication of how we might work together. If the opportunity is not aligned with our investment interests, we may be able to refer you to other financial sources. If, on the other hand, the opportunity matches our interests, we will want to spend time with company management to gain a thorough understanding of the following areas:  Feature of your product service and space  Market strategy  Characteristics of the market served and competition  Expansion plans Page 4 of 15  
  5. 5.  Management teams  Financial data‐historical projections  Use of funds The time required to complete a financing/increased liquidity including initial screening, due diligence, legal documentation and closing varies, but can generally be accomplished within week WAKABAYASHI FUND RESOURCES Wakabayashi Fund maintains relationships with a large group of equity investors with whom we may co‐invest and also with lenders who can provide senior and subordinate debt. The firm enjoys established relationships with a large number of commercial banks, venture capital firms and hedge funds and has extensive experience structuring and managing equity and debt financings. Not only do we draw from our principals’ direct experience but also on an extensive network of relationships in the industry. The firm can bring considerable resources to bear on business problems ‐ resources that are rarely available to small companies. The firm is committed to generating superior returns for company owners and management teams by building on strategic, operating and financial expertise of the principals. Once a transaction is executed, Wakabayashi Fund maintains and agreed upon involvement with the portfolio companies and their owners and managers, keeping close track of financial performance and strategic progress. INVESTOR RELATIONS As one of 43,000+ publicly traded companies, you know that stock is as valuable as key personnel or great ideas. But, often, a firm’s stock remains hidden or overlooked by brokers, market makers and financial analysts. It is Wakabayashi Fund’s Investor Relations mission to bring your enterprise before the proper institutional audience while, at the same time, bracketing out any market vagaries that might hinder raising capital, commencing acquisitions or increasing visibility. Most of our customers are found in the small‐cap and mid‐cap sectors and they tend to be undercapitalized and show low performance in liquidity and volume while trading. They are not closely followed by the professional investment community and, almost always, there is very limited sell‐side analytical coverage and retail market making support. To bring a client into the spotlight Wakabayashi Fund introduces company representatives to both sell‐side and buy‐side analysts. Further introductions are made to retail brokers, market makers and larger corporate finance entities. These activities are bolstered by direct contact with fund managers, telephony, news releases, e‐mail and fax campaigns, Internet presence and road shows. Over the past 25 years, Wakabayashi Fund has compiled a database of personal contact information for over 48,000 broker / dealers in corporate and branch offices, venture capital firms, private equity, most domestic and offshore hedge funds, registered market makers and traders within the OTC community. Through vertical integration Wakabayashi Fund delivers utility in many areas both on and off the balance sheet. Our constant objective is to maximize a client company’s shareholder value and we never waiver from this one purpose. INSTITUTIONAL RELATIONSHIPS Our entire premise is based on established relationships and our reputation for consistently delivering relevant information and insight. Our extensive database is the product of our efforts over the last 25 years. We develop and maintain personal, one‐to‐one contact with each person / institution within our database. The continuous cultivation of our institutional relationships positions Wakabayashi Fund as a strategic and useful resource‐and keeps our clients on the radar screens of influential decision makers on a consistent and ongoing basis. We aspire to develop customized campaigns in perfect alignment with our clients’ objectives that help increase visibility and research coverage, build and augment institutional ownership and generate higher trading volume. Page 5 of 15  
  6. 6. Our philosophy is based on solid financial experience integrated with investment research and strategic marketing. Using a coordinated and customized approach, we strive to create long‐term relationships with shareholders and prospective investors. We discover and then disseminate highly targeted detailed reports to key institutional contacts within the professional investment community consisting of pension funds, hedge funds, private equity, venture funds, securities analysts (buy‐side/sell‐side), stockbrokers and institutional investors. Utilizing established relationships, we inspire investment interest and generate quantifiable results.   Page 6 of 15  
  7. 7.                           Wakabayashi Fund LLC Management   Tadaharu Wakabayashi, Chairman / Director / Co‐Founder      Janette Dillerstone, CEO / Director/ Co‐Founder      Technology / Marketing / IR  Institutional Sales, Private Equity  Administrative / Compliance      William Dillerstone, CIO / Director Shruti Khurana, President   John Castillo, Sr. VP Institutional    Institutional Sales  Sales  Dexter Daran, Chief Technology Officer    Accounting  Bernadeth Daran, Blog Editor  Koji Hanazawa, Sr. VP Institutional Sales   Mhervie Claire Castillo, Sr. VP  Paul Pintor, Sr. VP Institutional Sales Business Development Asia   Cherrie Tongko, Business Development    Manager  Michelle Perillo, Sr. VP Institutional Sales Hiroshi Sakuma, CPA, Accountant,    Tim Bergquist, Researcher / Writer  Advisory Board   Jacque Tongko, Sr. VP Institutional Sales   Mercy Serapio, Translator    Mahesh Shah, Sr. VP Institutional Sales     Tom Eck, Sr. VP Institutional Sales   David Van Vort, Sr. VP Institutional Sales     Curtiss Parker, Sr. VP Institutional Sales     Joseph Ede, Sr. VP Institutional Sales   Johannes Woelders, VP Institutional Sales     Joseph Choi, VP Institutional Sales     Bhaskar Singh Negi, VP Institutional Sales   Ric Perillo, VP Institutional Sales      Jeff Kusumoto, VP Institutional Sales      Yeshwant Trasi, VP Institutional Sales Page 7 of 15 Mike De Kleer, VP Institutional Sales   John Harter, VP Institutional Sales
  8. 8.                         Our firm is a global network of offices and practices led not by one person, but by our partnership group. We are not a corporation tied to earnings pressures, but a firm free to take a long‐term perspective on issues like expansion and client service. Leadership in the firm is not about rising above the rest, but helping others – Consultants and Clients – to exceed their own expectations; We are all equal. Impact, Reach, Influence are direct traces to the Wakabayashi Fund’s vision, energy, relentless determination and our selfless commitment to our clients.   Tadaharu Wakabayashi Chairman / Director / Co‐Founder / Philanthropist Mr. Wakabayashi establishes and maintains client relationships with clients of Wakabayashi Fund LLC. Formerly Director and Co‐Owner of Miyuki Hotels and Real Estate throughout Japan, Mr. Wakabayashi affiliations with numerous civic and charitable organizations and committees have been proven through his philanthropic activities and sponsorship. In September 2009, Mr. Wakabayashi was appointed as the Ambassador of Okinawa from the Chura Islands in Okinawa. Mr. Wakabayashi holds a Bachelor’s Degree in International Business, Banking and Finance from   Meiji University, Tokyo, Japan. He is fluent in Japanese and English. He resides in Tokyo and his most enjoyable time is spent with his grandchildren, Tyler and Madeleine Diller‐Stone.   Janette Dillerstone CEO / Director / Co‐Founder / Philanthropist Janette Dillerstone is one of the initial co‐founders of Wakabayashi Fund and is responsible for the fund’s marketing and trading as well as originating new investments, provides analytical and strategic support, research analysis and Marketing/IR on all industry sectors. She is responsible for all marketing at the brand, product, industry, service and field content level as well as being responsible for the delivery / execution of marketing plans / content and ensuring that all programs interface smoothly. Janette Dillerstone was formerly Director of Marketing and Public Relations for Giorgio Armani and Simint Inc., Italy / USA. With her background in marketing and public relations and her   fluency in seven languages (English, Japanese, Mandarin, Taiwanese, Spanish, Portuguese, and semi‐fluent in Cantonese, Arabic and Farsi), she has represented some of the following: The U.S. Chamber of Commerce at the World Fashion Trade Fair The United States Board of Cosmetic Surgeons throughout Asia and Latin America Page 8 of 15  
  9. 9. The United Nations as interpreter for Chinese Trade and Commerce Director of Trade Expansion between Brazil, France and the United States on behalf of President F. Collor De Mello (Brazil) and President Francois Mitterand (France) Director of Public Relations – Chamber of Commerce, Westport, CT Janette Dillerstone has served / serves on the board and committees or is a member of the following: Amnesty International, Japan Chapter Founder of Invest in Japan Junior League of Fairfield County Junior League of La Jolla Young Women’s League Scripps Institute of Oceanography Cornell University’s Baker Institute Fund Raising Committee Chairman and Director of La Casa De La Esperanza Orphanage in Mexico Adopt a Dog Organization, Greenwich CT A Director and honorary member of the Westport Teen Youth Commission Honorary Lifetime Member of WIZO (Women’s International Zionist Organization) for her exemplary contributing efforts to women and children in need She was appointed as a nominee for the 2007 International Asian‐American Leadership Awards. Ms. Dillerstone volunteers in fundraising and marketing with various orphanages and foster care programs throughout Japan and Asia.   William Tyler Diller‐Stone Chief Information Officer / Director Mr. Diller‐Stone’s background, grounded in IT, web marketing and research, includes traditional and internet marketing experience with a wide variety of sectors. Mr. Diller‐Stone manages the IT / Web Marketing for Wakabayashi Fund. He has extensive experience with website design, analysis, functionality, e‐commerce and profitable business relationships with clients. He speaks English fluently and semi‐fluent in German and Japanese. He obtained his Masters of Information Systems Management from Carnegie Mellon University; Bachelors of Science in Information Systems from Carnegie Mellon University.   Dexter V. Daran Chief Technology Officer Mr. Daran’s primary responsibilities are overseeing website marketing and ecommerce development for all clients. Additional responsibility is call center management for our proprietary call center based in Manila, Philippines. Mr. Daran has experience in call center management for many large companies including HSBC. Mr. Daran is fluent in English and Tagalog. He manages all advertising for Wakabayashi Fund LLC as well. Mr. Daran received his B.S. in Business Administration, Dela Salle University / College of Saint   Benilde. Page 9 of 15  
  10. 10. Shruti Khurana President, Institutional Sales (International) Mrs. Khurana’s primary responsibility for Wakabayashi Fund, LLC. is business development / Institutional Sales internationally. Additionally, she helps lead our marketing agenda for the firm. Mrs. Shruti has deep international marketing skills that she brings to Wakabayashi. Formerly, Mrs. Shruti was the Marketing Manager for IMI Norgren Herion Pvt. Ltd., a motion and fluid control technology firm for various industry sectors. Prior to IMI Norgren, she was a part of the global graduate programme of IMI plc., whereby, she undertook various marketing and project management roles and initiatives while placed in Poland, China, US and India. IMI plc. is a dynamic, global company providing engineering solutions to its customers worldwide.   Ms. Khurana has received her Professional Diploma in Marketing, Chartered Institute of Marketing (CIM), UK; Bachelors in Business & Management Studies, University of Bradford, UK; Advanced Diploma in Business & Management Studies from the Management Development Institute of Singapore   Koji Hanazawa Senior Vice President, Institutional Sales (Asia) / Business Development (Japan) Mr. Hanazawa’s principal activity with the firm is head of Asia’s Business Development Operations. Mr. Hanazawa has spent over 30 years with Mitsubishi prior to joining Wakabayashi Fund LLC. His role with Mitsubishi was expansive entailing leading one of the world’s largest trading conglomerates expansion efforts to many overseas countries and was charged with all financial analysis and corporate finance activity. Mr. Hanazawa brings a wealth of managerial experience and a substantial international network of contacts to Wakabayashi Fund LLC. Mr. Hanazawa is fluent in English and Japanese. He received his B.A. in Commerce from Keio University, Tokyo, Japan     John Castillo Sr. Vice President, Institutional Sales / Accounting Mr. Castillo’s principal responsibility is Business Development within Asia. He oversees Institutional Sales as well as research and analysis including business evaluation and corporate finance. Mr. Castillo has a deep experience within the global banking and marketing industry throughout the Pacific Rim from his years at the Bank of the Philippine Islands and BPI Bank in the Philippines. Based in our Tokyo office, Mr. Castillo’s principal objective is heading the accounting department, institutional sales and business development for the firm. He is fluent in English, Tagalog and semi –fluent in Japanese.   Mr. Castillo received his B.S. in Banking and Finance from Polytechnic University of the   Philippines. Mhervie Claire Castillo Sr. Vice President, Business Development, Asia / Institutional Sales Mrs. Castillo is a seasoned business operation professional with experience implementing effective communications and marketing to the Asian market. She specialized in overseeing the transfer of intellectual property portfolios between companies and conducting necessary due diligence activities. She is fluent in English, Japanese and Tagalog. Mrs. Castillo received her B.S. in Banking and Finance from Polytechnic University of the Philippines.   Page 10 of 15  
  11. 11. Paul Pintor Senior Vice President, Institutional Sales (North America) Mr. Pintor brings over 25 years of industry experience to Wakabayashi Fund, LLC. Mr. Pintor’s expansive career entails Investment Banking, Real Estate and Oil and Gas. Formerly, Mr. Pintor was an OSJ Branch Owner‐Operator for Morgan Spaulding Securities and worked as a Series 7, 22 and 63 Registered Representative for La Jolla Capital. Mr. Pintor’s primary responsibilities are largely skewed to business development throughout North America. Further responsibilities are directed to negotiating transactions and corporate strategy.   Michelle Perillo Sr. Vice President Business Development / Institutional Sales Ms. Perillo manages operations and provides overall support to the Wakabayashi Fund Team. She is responsible for program launches, competitive positioning and client presentation material. She is fluent in English and Tagalog. Ms. Perillo received her B.S. in Business Administration in Business Management from the Philippine School of Business Administration. She is actively involved in numerous charitable organizations and committees in the Philippines.    Jacque Tongko Senior Vice President, Institutional Sales Ms. Tongko’s primary responsibilities include new client lead generation. Ms. Tongko works with the Executive team with clients from startups to leading global teams. Ms. Tongko has a substantial background in managing in‐bound / out‐bound international call centers. Previously, she worked with Mellon Investor Services as an Investor Representative and an analyst with US Airways. She is fluent in English and Tagalog. Ms. Tongko received her B.S. in Tourism at ABE International College.     Mahesh Shah Senior Vice President, Institutional Sales Mr. Shah brings 20 years experience to Wakabayashi in the areas of business development, audit and tax and corporate finance acumen. He has attained bottom‐line profitability for companies throughout North America, Europe and the Middle East, working both autonomously as well in dynamic team environments. Mahesh has deep experience and knowledge in the public listing process for companies on the NYSE, NASDAQ and S&P 500 as well as Merger’s & Acquisitions. Previously, Mr. Shah has owned and operated High Point, LLC., a Business of Finance Consulting firm. Prior to High Point, LLC., he worked as CFO for Info Systems, Inc., in the U.S. and Bombay and was chief accountant for Howard Johnson, Dubai UAE. Throughout the later part of the 1980s till 1995, he served as Internal Auditor for Khimji Ramdas, Muscat, Oman, a business import/export company with over $1B USD in sales. Mahesh’s primary responsibility is business development/institutional sales for Europe and the Middle East. Mr. Shah received his Bachelor of Commerce from Mumbai University, India, He is a member of the Institute of Chartered Accountants of India / CPA Certification in process. Page 11 of 15  
  12. 12. Tom Eck Senior Vice President, Institutional Sales (West & Southern Africa) Mr. Eck brings expertise in operations’ due diligence and risk management to Wakabayashi Fund. He has extensive experience in risk management in West Africa with international credit rating agencies and multinational financial institutions who specialized in providing services to small‐medium size companies. He is based in Ghana and his principal responsibility is business development/institutional sales in West Africa and Southern Africa. His principal objective is to source deals from public companies listed on the stock exchanges in Sub‐Sahara and also work as placement agent. He is fluent in English and currently learning French. He studied public relations and multinational corporate finance and currently he is an   online student of Chartered Alternative Investment Analyst (CAIA) of USA.   David Van Vort Senior Vice President, Institutional Sales / Investment Banking Mr. Van Vort brings over 30 years of corporate finance and Investment Banking experience to Wakabayashi Fund. His primary areas of concentration are deal structure and placement emphasis. Currently, Mr. Van Vort is President of Capital Group Advisors, Inc. a private investment banking network with offices and affiliates in the USA, Canada and Australia. He has advised numerous companies on going public, securing funding, and post trading media campaigns to secure further investor attention. More recently, he ran a 200 man private placement funding group that raised funds for European companies seeking to go public in the U.S.A.    Curtiss Parker Senior Vice President, Institutional Sales Mr. Parker brings a wealth of 25 years of experience within the Investment Banking arena. Previously, Mr. Parker was Managing Director of Bear Sterns Co. and prior to Bear Sterns, Mr. Parker was associated with Donaldson, Lufkin & Jenrette and Lehman Brothers, both, as a corporate officer. Most recently, Mr. Parker was a partner at the Boston Group.   Joseph Ede Senior Vice President, Institutional Sales Joseph Ede brings a deep international track record to Wakabayashi Fund LLC. He has consistently delivered measured profitability by identifying operational improvements for Fortune 500 companies, including Tyco, Simplex Grinnell, Sun Trust, Swatch, Nestle, Tetra Pak and RJ Reynolds. Previously, he was V.P. Finance Asia for Swatch Group Asia, Hongkong, Singapore. The world’s largest manufacturer and seller of branded fashion, luxury watches and jewelry. Most recently, Mr. Ede was CFO for Safemark Systems, USA & China. Prior to Safemark, he was employed with Resources Global & CRC Results, Los Angeles‐ Big 4 CPA consulting firms as Senior Project Manager. Prior to Swatch Group, he was Chief Financial Officer for R.J. Reynolds International in Russia whereby, he was charged with the turnaround of R.J. Reynolds various business investments. Before R.J. Reynolds, He was General Manager and Financial Controller for Nestle Companies International, Uzbekistan, Pakistan, China and Malaysia and also worked as Finance Director for Tetra Pak in Switzerland, England, Turkey and the Czech and Slovak Republics. Education: Doctorate, Major: Corporate Governance Business School Lausanne, Lausanne, Vaud, Switzerland Master of Business Administration‐Management Advance Institute of Management, Nyon, Vaud, Switzerland Fluent in French, English, German, conversational Chinese and Spanish Page 12 of 15  
  13. 13. Johannes Woelders Vice President, Institutional Sales Mr. Woelders comes to Wakabayashi Fund as a recent Master graduate student from the University of Twente, Enschede, and the Netherlands with the completion of his MSc course in Business Administration‐ MBA. His primary responsibility is business development throughout Europe. He brings complete acumen in financial analysis and econometrics. He is fluent in Dutch, English and semi‐fluent in German and Japanese. Mr. Woelders received his MBA at the School of Management and Governance, University of   Twente, Enschede, the Netherlands. He received his BSc in Business Administration at the School of Economics and Business Administration, VU University Amsterdam, Amsterdam, the Netherlands.   Joseph Choi Vice President, Institutional Sales Mr. Choi brings an extensive track record of success within the Banking Industry – successfully originating loans and structuring financing for public and private companies globally. His primary area of concentration for the firm is business development throughout the U.S. and Asia. Previously, Mr. Choi was employed with Union Bank of California, V.P. Business Development Officer, California Bank & Trust, Mission Oaks National Bank and Commerce Bank of Temecula Valley as V.P. Business Development Manager and corporate officer which led to structuring and launching of the banks SBA department. Mr. Choi received his B.A. from the University of   California, Irvine. Bhaskar Singh Negi Vice President, Institutional Sales Mr. Negi brings a confluence of industry expertise to the firm. Mr. Negi has been involved in the capital markets and analytical side of the business and partner of Fortune Capital Services. His primary concentration with Wakabayashi is institutional sales and business development throughout India, Asia and North America. Mr. Negi received his B.E. (Electronics & Communication Engineer) from G.B. Pant Engg. College PGDM, T.A. Pai Management Institute       Ric Perillo Vice President, Institutional Sales Mr. Perillo works with the executive team handling all rules, regulations and compliance policies of the Wakabayashi Fund LLC. He has extensive managerial experience in Human Resources and Accounting / Payroll. Mr. Perillo studied at the University of Manila with an emphasis on Hotel and Restaurant Management. Mr. Perillo has an extensive and successful history in Hotel Management. He is fluent in English and Tagalog.    Page 13 of 15  
  14. 14. Jeff Kusumoto Vice President, Institutional Sales Mr. Kusumoto’s primary responsibility with Wakabayashi Fund LLC is business development with a primary concentration within the South Korean and Japanese markets. Jeff brings a significant operating and management history to Wakabayashi Fund. He has served in managerial roles over the past 15 years with companies Apple Japan K.K., Intel Japan K.K., and Toshiba Corporation Japan. Mr. Kusumoto is fluent in English and Japanese. Mr. Kusumoto attended the University of California, Santa Cruz and eventually received his BA in International Economic from the International Christian University, Tokyo Japan. Yeshwant Trasi Vice President of Business Development, India Mr. Trasi brings a wealth of consulting experience & venture capital private equity experience to Wakabayashi Fund LLC. Mr. Trasi’s demographic concentration is in India. Yeshwant has hands‐ on senior management and board level cumulative work experience spanning 41 years providing strategies to execution in various functional disciplines in a multitude of sectors. Mr. Trasi’s responsibilities will be Business Development for India. Mr. Trasi holds a number of distinguished and professional designations along with Certified Management Consultant / CMC, also a United Nations consultant and Freelance Development Journalist and Editorial contributor for the United Nations and has also served as a U.N. Special Human Rights Reporter.   John Harter Vice President, Institutional Sales John Harter brings to Wakabayashi Fund extensive Investment, Banking, trading and consulting experience. His primary area of concentration is institutional sales – business development throughout North America as well as negotiating transactions. John was previously an Investment Banker at Drexel, Burnham, Lambert & Co. as well as Sr. V.P. First Boston. Also, Mr. Harter was National Sales Director for Sears and Roebuck and Managing Director, La Jolla Arbitrage, La Jolla, CA. Mr. Harter received his B.S. in Business Management from Ohio University and his MBA from Ashland College (Ashland Ohio) Mike De Kleer Vice President, Institutional Sales Mr. De Kleer brings to Wakabayashi Fund experience in Investment Banking and currency trading. He also has a depth of experience in the HR Industry with post graduate qualifications in Human Resource Management. He was previously employed with Monaco Securities Ltd. and Tokiwa Investments Co. (Tokyo). His primary area of concentration is Institutional Sales throughout Asia and North America. He is fluent in Japanese and English.   Mr. De Kleer received his Post graduate Degree Human Resources Management, Murdoch University Business School and Bachelor’s Degree from Murdoch University. Page 14 of 15  
  15. 15. Bernadeth Daran Blog Editor Mrs. Daran brings a deep level of skillset to Wakabayashi Fund LLC. The primary concentration is to develop our marketing and communication agenda for Wakabayashi Fund’s clients over the internet through blogging and story journaling coupled with website optimization for client press releases. Mrs. Daran has authored a book, “Simplified, Exemplified Algebra,” and is also a Mathematics Professor for the University of Makati. Mrs. Daran has received her Master’s in Mathematics from De La Salle University; Master of Arts in Instructional Media and Design from the University of Makati; Master of Science in Teaching   Mathematics from the Ateneo de Manila University; and a BS in Math for Teachers from the Philippine Normal University. Cherrie Lynn Tongko Business Development Manager Ms. Tongko’s primary responsibility for Wakabayashi Fund is global business development for the Institutional Sales group of Wakabayashi Fund, LLC. Her areas of concentration is largely conveyed to English speaking nations and is one of Wakabayashi Fund, LLC.’s leading business development managers. Ms. Tongko received her B.S. in Computer Information, AMA Computer College Tim Bergquist Consultant Mr. Bergquist brings to Wakabayashi Fund a strong level of marketing and web development and database management experience. His primary focus is marketing, research and e‐marketing applications for our portfolio companies. Mr. Bergquist received his education from Warren Wilson College in North Carolina. Hiroshi Sakuma CPA / Accountant / Advisory Board Mr. Sakuma manages all accounting, payroll, bookkeeping and tax services for Wakabayashi Fund LLC. He was previously employed by NEC Corporation, Arthur Andersen, Coopers & Lybrand, Smith Barney International Inc. and Salomon Brothers Asia LTD. Mr. Sakuma owns and operates his own company, The Sakuma CPA Office and AC Outsourcing Co. Ltd (Tokyo, Japan). Mr. Sakuma is fluent in English and Japanese.                       Page 15 of 15  

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