aegis capital corp

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Aegis Capital Corp. Established 1984

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Page 1: Aegis Capital Corp

Aegis Capital Corp.

Established 1984

Page 2: Aegis Capital Corp

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Corporate Overview

Full service boutique brokerage operation

Middle market corporate finance, research, and valuation services

Retail accounts with over $2 billion of retail customer assets

Registered investment advisor totaling 200 reps in 8 offices

Aegis Capital Corp. is a member of the FINRA/SIPC

Clearing agents are J.P. Morgan and Penson Financial

Page 3: Aegis Capital Corp

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History

Aegis Capital Corporation was founded in 1984 by Robert Eide, the Current CEO and Chairman.

  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.

Aegis’ clients are located in all 50 States and overseas.  

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.  

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.

Page 4: Aegis Capital Corp

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Robert Eide, President and Chief Executive Officer

George Kott, Chief Operating Officer

Kevin McKenna, Chief Compliance Officer

Ed Cabrera, Head of Investment Banking

Key Personnel

Page 5: Aegis Capital Corp

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Robert Eide - CEO and President of Aegis Capital Founded Aegis Capital in 1984,   Serves on the board of directors of Vector Group which trades on NYSE (VGR) since 1993, Founded and owns Nathan’s Famous, Inc. (an international fast food chain),  Serves as director of Ladenberg Thalmann Financial Services, Member of the New York State Bar Association since 1979.

Howard Lorber – Co-Owner of Aegis Capital 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, Chairman and owner of Douglas Elliman, the largest residential real estate brokerage in the

New York metropolitan area, Chairman of Nathan's Famous (an international fast food chain), Member of the Board of Directors at Borders Group Inc. (national bookseller), Associated with New Valley Corporation (formerly Western Union), United Capital

Corporation (real estate), and Ladenburg Thalmann Financial Services.

Aegis Ownership

*Source Wikipedia

Page 6: Aegis Capital Corp

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Ed Cabrera – Head of Investment Banking Worked on Wall Street for over 23 years with investment banks such as Merrill Lynch,

PaineWebber and Raymond James & Associates. • He has held many positions including investment banker, equity analyst, market strategist and portfolio

manager.

Since 2003, Ed has been focused on providing advisory services and capital market access for emerging and growth companies.

Prior to Aegis, Ed was Head of Investment banking for Jesup & Lamont which had over 340 financial consultants in 48 retail offices.

Ed worked at Merrill Lynch for 11 years as Managing Director and Head of Latin America • Built the top ranked team for the region, according to Greenwich Associate surveys and Latin Finance

magazine polls. • 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.

Ed has an extensive technical and educational background. • Graduated with Honors from the University of Florida in Engineering and Material Services with a

Bachelor of Science degree.• Worked for General Electric in the materials laboratory and manufacturing operations.• Received his MBA from Harvard Graduate School of Business in 1987.

Extensive Investment Banking Experience

Page 7: Aegis Capital Corp

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Approximately 200 registered representatives

8 retail offices throughout the United States

Branch offices in 3 states

Over 10,000 client accounts

Total assets under management of $2.0 billion

Brokers provide asset management, mutual funds, fixed income, and equities

Retail and small institutional customers

Retail Brokerage

Page 8: Aegis Capital Corp

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National distribution with superior client service, providing tailor-made product solutions

Exemplified by a non-bureaucratic, relationship-based approach to investment banking

Extensive portfolio of experience allows us to operate with integrity and responsiveness

Investment Banking

Page 9: Aegis Capital Corp

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Recently Completed OfferingsAegis 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

Page 10: Aegis Capital Corp

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Institutional Overview

West CoastCapital Research

Capital International

Franklin Advisors

TCW

Brandeis

Summit Global

Hotchkiss & Wiley

Dodge & Cox

MidwestJanusMarsicoDuff & PhelpsUBS Asset ManagementNorthern TrustOhio TeachersOhio PERSKennedy CapitalConfluence InvestmentFAF AdvisorsRiversource

Mid-Atlantic & SoutheastT. Rowe PriceTurner PartnersFederatedDelaware InvestmentsKalmarFreissPNC Wealth ManagementState of GeorgiaDePrince Race & Zello

New York/New Jersey/CTAllianceJennisonTIAA-CrefDeutsche AssetCohen & SteersLord AbettBlackrockMorgan StanleyJP MorganGoldman SachsPerella WeinbergGabelliWater Asset ManagementLazardRS InvestmentsOppenheimer FundsRoyce Associates

EuropePictetKBCUBS ManagementScottish WidowsMercury Asset

BostonFidelityAdageCrowpoint/EvergreenPutnamMFSWellingtonMFC GlobalColumbiaEatonVanceWestfield Capital MgmtPioneer

Page 11: Aegis Capital Corp

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Institutional Private Placements (PIPEs)

Registered Direct Transactions

Initial Public Offerings and Secondary Offerings

Merger and Acquisitions as well as Financial Advisory

Broad-based Private Equity, Debt, and Mezzanine Financing

Corporate Consulting

Real Estate Financing and Structuring

Going Private

Investment Banking Products

Page 12: Aegis Capital Corp

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Corporate Restructuring

Debt Advisory

Tender Defense Advisory

Buy-side, Sell-side Advisory

General Merger and Acquisition Advisory

Fairness Opinions and Valuations

Advisory Services

Page 13: Aegis Capital Corp

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Alternative Energy

Biotechnology

Consumer Goods

Entertainment

Healthcare

Industrial Goods

Medical Devices

Metals & Mining

Oil Services

Real Estate

Special Situations

Utilities

Mid-Market and Emerging Growth Focus

Strong Management Team Equity-oriented management Proven operating experience

Substantial Market Opportunity Market leadership Large addressable market Market position: strong & defensible Highly scalable business model

Financial Fundamentals Existing or near-term profitability Strong revenue, cash flow and net

income growth potential Exit strategy: well-defined path to

realization and appreciation of investor’s capital

Support Board of directors: independent,

industry experienced, leadership experienced

Shareholders and sponsors: strong and supportive with long-term outlook

Value-added strategic partnership

Page 14: Aegis Capital Corp

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Mid-Market and Emerging Growth Solutions

We work with you to develop optimal solutions

Public Offerings

Financial Advisory

Private Placements

IPO

BCC – Blank Check Companies

Follow-on Offerings

Restructuring and Re-Capitalizations

Mergers, Acquisitions, and Divestitures

Leveraged and Management Buyouts

Fairness Opinions

Common Equity

Preferred Stock

Convertible Debt

PIPEs

Subordinated Debt

144A Placements

Asset Securitization

Preferred Stock

Subordinated Debt

Convertible Debt

High-Yield Debt

Page 15: Aegis Capital Corp

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Timely and efficient transaction facilitation reduces legal costs, management efforts, and closing time.

A wide array of securities and terms allow specific customization to every company’s unique profile and objectives.

Fundraising can enable companies to:• Fund internal growth• Facilitate accretive acquisitions• Expand shareholder base through targeted marketing• Reduce costly debt• Increase institutional ownership• Improve market liquidity

Deal Advantages

Page 16: Aegis Capital Corp

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Corporate Finance ApproachCorporate Finance Approach

ANALYSIS

STRATEGY

PREPARATION

NEGOTIATION

IMPLEMENTATION

• Competitive Assessment• Core Competencies• Valuation• Strategic Alternatives

• Shareholder Value Enhancement• Divestiture Opportunities• Acquisition Opportunities• Partnership Opportunities

• Strategic Plan Development• Financial Analysis and Modeling• Negotiating Strategy• Strengths and Weaknesses• Internal Communications and Gossip Management

• Pro Forma Analysis• Valuation Rationale• Coordination of Financial, Business, and Legal Issues• Push Process to Completion• Close Transaction

• Contact Strategic Partners• Provide Fairness Opinion• Assist in Preparation of Regulatory Filings• Communicate Transaction Benefits to Financial Community

Page 17: Aegis Capital Corp

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Aegis Commitment

STRATEGIC ADVICEEXECUTION STRENGTH

SELECTIVE ENGAGEMENTS

EXPERIENCED TEAM Strategically partner with client

Create and explore alternatives

Anticipate Wall Street reaction

Create shareholder value

Know when to accept a proposed transaction

Understand client business ad industry metrics

Commitment to completing deals

Full range of M&A capabilities

Value-added from introduction through closing

Aegis professionals have a history of successful transactions

Aegis only accepts engagements where it believes it can add value

Recognize and appreciates strategic opportunities

Understand client objectives and align client expectations with transaction goals

Commitment and attention of senior professionals

M&A professionals offer transaction expertise

Dedicated investment banking professionals

Extensive industry, legal and accounting experience

Page 18: Aegis Capital Corp

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Investment products are made available through Aegis Capital Corp. (Aegis), member FINRA (www.finra.org) & SIPC (www.sipc.org).

These documents are for informational purposes only. The information does not constitute a solicitation or an offer to buy or sell any security.

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.

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.

Past performance is no guarantee of future results. The investment return and principal value of an investment will fluctuate with changes in market conditions.

Disclosure

Page 19: Aegis Capital Corp

810 Seventh Ave, 11th Floor

New York, NY 10019