Private capital markets for companies and investors in energy, technology and fintech.

Transcription

1 Private capital markets for companies and investors in energy, technology and fintech equityfor.com. All rights reserved.

2 DISCLAIMER This platform is operated by equityfor Private Securities, LLC ("equityfor"), which is not a registered broker-dealer. equityfor does not give investment advice, endorsement, analysis or recommendations with respect to any securities. All securities listed here are being offered by, and all information included on this site is the responsibility of, the applicable issuer of such securities. equityfor has not taken any steps to verify the adequacy, accuracy or completeness of any information. Neither equityfor nor any of its officers, directors, agents and employees makes any warranty, express or implied, of any kind whatsoever related to the adequacy, accuracy or completeness of any information on this site or the use of information on this site. By accessing this site and any pages thereof, you agree to be bound by the Terms of Use and Privacy Policy. All securities-related activity, including, but not limited to private placement offerings under Regulation D are conducted by North Capital Private Securities Corporation ( NCPS ), an unaffiliated entity, and a registered broker-dealer, and member FINRA/SIPC, located at 2825 E Cottonwood Pkwy, Salt Lake City, Utah NCPS do not make investment recommendations and no communication, through this website or in any other medium should be construed as a recommendation for any security offered on or off this investment platform. This website is intended solely for accredited investors. Investments in private placements and start-up investments in particular are speculative and involve a high degree of risk and those investors who cannot afford to lose their entire investment should not invest in start-ups. Companies seeking startup investments tend to be in earlier stages of development and their business model, products and services may not yet be fully developed, operational or tested in the public marketplace. There is no guarantee that the stated valuation and other terms are accurate or in agreement with the market or industry valuations. Additionally, investors may receive restricted stock that may be subject to holding period requirements. In the most sensible investment strategy for start-up investing, start-ups should only be part of your overall investment portfolio. Further, the start-up portion of your portfolio may include a balanced portfolio of different start-ups. Investments in startups are highly illiquid and those investors who cannot hold an investment for the long term (at least 5-7 years) should not invest. 1 // equityfor.com

3 A sector focused equity marketplace backed by the power of a global investment banking brand. At equityfor, our sector focused equity marketplace provides opportunities to invest in highly vetted companies and projects across energy, technology and fintech. The platform is backed by the Saxon Weber Group s international investment banking brand which collectively has participated in over $12b in transactions. Leading companies that meet the very highest technical and financial standards are brought through a proprietary 3X vetting system; (1x) best in class due diligence provided by CrowdCheck; (2x) a TRL (Technology Readiness Level) assessment adapted from NASA; and (3x) expert reviews and curation by industry insiders. Accredited investors are able to participate in equity and debt opportunities with early and growth stage technology companies hand picked by industry leaders, independent experts, venture capital veterans and investment professionals. equityfor.com // 21

4 equityfor is the leading investment bank backed equity platform for private capital markets in energy, technology and fintech. TECHNOLOGY For managing offerings and investments, built upon secure and scalable architecture,with thousands of transactions already processed with NCPS companies. COMPLIANCE End-to-end back office management provides value add to platform users andallows companies to focus on running their businesses. NETWORK Providing a robust network of accredited, institutional investors and advisors a platform where they can invest directly or on behalf of clients.»digital Marketing/SEO»Offering Management»Online Investments»Automated Transaction Processing»Investment Management»Books andrecords» Due Diligence»KYC, AML, OFAC, Bad Actor Checks»Suitability, Accreditation»Escrow Administration» Syndicate Management»Distribution Services»Regulatory Filings»SPV creation & Management»110,000 sector organized investors network and growing»advisors diversify client portfolios with fully-vetted offerings»companies expand their intermediary and investor networks 3 // equityfor.com

5 equityfor.com // 4 1 TECHNOLOGY A better way to get your next raise up and running or complete a fundraising round already underway. Our fully compliant technology platform saves you time and money by reducing paperwork and streamlining back-office processes. Upload, organize and store current offering documents in one convenient location.»our dashboard allows you to know exactly what information needs to be provided for offer setup.»get organized by uploading all of your offering documentation in one secure location.»once your offering is finalized and you re ready to go live, all information is reviewed by our compliance experts to ensure your offering is compliant.»get your offering in front of accredited investors, RIAs, broker-dealers and other network members allowing to get to closing even faster.»track all investments brought in via one centralized location.

6 COMPLIANCE Focus on running your business and we will fundraise. Our team of compliance experts in specializing in Reg D 506(b) and 506(c) offerings are here to take care of the time-consuming back office activities involved with raising private capital. This allows you to focus on the people and relationships that are important to advancing your business.» Optimized workflows developed by a managing broker-dealer to help speed up the overallprocess.» Expertise in 506(c) offerings giving you the ability to more widely promote yourdeal.» A dedicated point of contact for investor questions about the process. FULL SERVICE DILIGENCE INCLUDING: AML, OFAC, FinCEN, and Bad Actorchecks Suitability and KYCapproval Investor accreditation Escrow administration 5 // equityfor.com

7 NETWORK The equityfor platform marketplace is one of the most advanced ever built. 1 Global A proprietary domestic and international network of accredited investors, institutional investors and wealth advisors acting directly or on behalf of their clients. 2 Sector Focused Investor networks with deep domain expertise in Oil & Gas, Industrial Technology, Software, Financial Technology, IT and Human Capital Management. 3 Investment Bank Network The equityfor platform is more than the aggregate of our marketplace network of investors; it is part of a larger global investment banking brand in the Saxon Weber Group. equityfor.com // 6 1

8 STAGES Accepting Reservations Accepting Investments Oversubscribed 506 (c) vetted WindTec 506 (c) 3x vetted PayCloud 506 (c) 3x vetted Valvturn Subsea Piling Stress Sensor systems for offshore wind Recipient of the Best Sensor award at CES $5.5M+ in pre-sales $1,639,617 Reserved FinTech Premier enterprise technology architecture Recipient of the Best Software at APA National Event $2.5M+ in pre-sales $687,511Raised Smart valve technology with real time measurement capabilities. 500,000 In matching NASA SBIR grants $7.5M in 2016 sales $3,546,089 Raised Indication of Interest Fundraising Launch Oversubscription Offering materials created Due Diligence OK d Round completing Investor base energized Final Offering Docs More Investor Interest Simple Due Diligence Full Digital Marketing Round Extension Option Investment Reservations Reservations-to-Funds Prep for Series N Subscription Tracking Fundraise Tracking 7 // equityfor.com

9 COMPLIANCE Focus on running your business and we will fundraise. Our team of compliance experts in specializing in Reg D 506(b) and 506(c) offerings are here to take care of the time-consuming back office activities involved with raising private capital. This allows you to focus on the people and relationships that are important to advancing your business.» Optimized workflows developed by a managing broker-dealer to help speed up the overallprocess.» Expertise in 506(c) offerings giving you the ability to more widely promote yourdeal.» A dedicated point of contact for investor questions about the process. FULL SERVICE DILIGENCE INCLUDING: AML, OFAC, FinCEN, and Bad Actorchecks Suitability and KYCapproval Investor accreditation Escrow administration 5 // equityfor.com

10 WORKFLOWS Initial Initial Review Issuer Review Initial Review Phase 2 Weeks Go / No Go Sign Placement Agreement. Offering Documents created SignPlacement Agreement Escrow Setup 1-2 weeks 2 weeks Indication of Interest DD Approved 1-2 weeks Forward decision Due Diligence Pre Launch and Due Diligence Phase 4-6 Weeks Launch and Single Funding Phase 9 Weeks Launch Offering Gather Investors Sign / Counter Sign Subscription Documents 60 Day Funding Window Investor KYC Subscription Create SPV / Min Offering Notice Wire Funds to Issuer/Partner Request for Distribution Gather Closing investors Closing Phase 1 Week Verification of SPV CAPITAL RAISE COMPLETE SPV Management* Post Raise Support Post Raise Support 2017 equityfor.com. All rights reserved. equityfor.com // 8 1

11 PLATFORM SELECT US based companies in unsubscribed or undersubscribed offerings; Seed, Series A, B + with experience raising capital. GLOBAL International companies in unsubscribed or undersubscribed offerings; Seed, Series A, B + with experience raising capital. IBX Companies that mix institutional and accredited investors in a dual platform and traditional investment bank offering. $500k $8M typical raise. $500k $8M typical raise. $5 $50M typical raise. Digital Marketing SEO Investor Compliance Chat 9-5 Webinar Management Fundraising I Opportunity Dashboard Digital Marketing II SEO II Investor Compliance Chat 24/7 Webinar Management Fundraising IA Opportunity Dashboard International / Global Markets EF Events Complimentary Content Marketing Social Media Integrated IB Hybrid Institutional Investors Digital Marketing/SEO II Investor Compliance Chat 24/7 Webinar Management Fundraising II Join with other founders, entrepreneurs, startup teams, venture capital and portfolio managers to become one of our select companies. Whether you are early stage, require growth capital or project finance we work with energy, technology and fintech companies raising capital through preferred equity and convertible notes. 9 // equityfor.com

12 A community of companies and investors coming together in an investment bank backed equity marketplace. At equityfor we are creating the premier global marketplace one investor and one company at a time. Investing in technology startups was once reserved for venture capitalists and connected angel investors. Now, equityfor is providing access to individual investors to invest alongside VC and PE firms accessing investments in a backed platform. As a result of the JOBS Act and the work that the SEC, FINRA, and other market participants accredited investors can now make investment under Regulation D 506c offerings providing access to over millions of investors around the world. equityfor.com // 101

13 TEAM Derek Weber Co-founder-CEO at equityfor and Managing Partner Saxon Weber Private Capital Tom McCann Co-founder at equityfor and Managing Partner Saxon Weber Ltd. Brian Clougherty Co-founder at equityfor and Managing Partner COO Saxon Weber Group Jim Dowd Founder-Managing Director North Capital Private Securities (NCPS), a registered broker-dealer Stephanie Holt Chief Financial Officer North Capital Private Securities (NCPS), a registered broker-dealer Dr. Chris Alexander (BOA) Principle at Stress Engineering Services, a leading engineering and testing firm operating across multiple sectors Jay Greenberg (BOA) CEO and Co-founder of LexShares an specialized equity platform focused on funding litigation. 11 // equityfor.com

14 New York 174 Hudson Street 4th Floor New York, New York equityfor.com. All rights reserved. equityfor.com // 1