aegis capital corp
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Aegis Capital Corp.
Established 1984
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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
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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.
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
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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
810 Seventh Ave, 11th Floor
New York, NY 10019