HAUCK & AUFHÄUSER PRIVATBANKIERS: INDEPENDENT CORPORATE FINANCE ADVISORY

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1 HAUCK & AUFHÄUSER PRIVATBANKIERS: INDEPENDENT CORPORATE FINANCE ADVISORY

2 Confidence arises from responsible actions WHO WE ARE We like to refer to our founders. The spirit and tradition in which Hauck & Aufhäuser Private Bankers support their clients have essentially remained the same since INDEPENDENT - PERSONAL - ENTREPRENEURIAL We see our independence as the basis for a trusting longterm cooperation A personal and integrated analysis precedes every investment decision. Entrepreneurial thinking and responsible actions determine our business philosophy KEY FIGURES 220 HISTORY 530 EMPLOYEES 9,000 CUSTOMERS 160 Mio. EUR CORE CAPITAL 2,813 Mio. EUR BALANCE SIZE 80 Bn. EUR AUM Since more than 200 years, we as independent private bankers have been at our clients' site currently with approx. 530 employees. 7 BRANCHES IN GERMANY, LUXEMBURG, UK & SWITZERLAND NO.1 POSITIONING IN MID-CAP SEGMENT OF INVESTMENT BANKING 2

3 Hauck & Aufhäuser trusted partner since / / / / History Friedrich Michael Hauck was founding partner of Gebhart & Hauck, German security- and commission-company based in Frankfurt am Main. The company was renamed Georg Hauck & Sohn. The bank Aufhäuser & Scharlach was founded in Munich and became one of the leading Private Banks in South Germany. The companies Georg Hauck & Sohn and H. Aufhäuser have taken an important part in financing the leading German industrial enterprises. Both banks were pioneers in the fund-, leasing- and forfeitingbusiness. Georg Hauck & Sohn was co-founder of the leading German global Asset Management company DWS. Both banks have nominated presidents for the German Stock Exchange. In 1998 the merger between the two banks was achieved successfully. Since then, It operates under the new name Hauck & Aufhäuser Privatbankiers KGaA and becomes a leading Private Bank in Germany. In September 2016 successful completion of the purchase of the bank by the Chinese subsidiary Fosun. Thereby opening new markets and growth prospects. In addition, the bank holds holdings in easyfolio and the NAGA Group, in order to step up their own digitalization Over the last 220 years we have developed a strong relationship with our clients not only in financial matters 3

4 Why Hauck & Aufhäuser Privatbankiers? WHO WE ARE STRONG EUROPEAN TEAM WITH GLOBAL REACH We are a leading independent financial advisor with integrated excellence across the full banking spectrum, solving challenging and complex problems following a holistic approach. One stop shop everything under one roof High degree of flexibility New York Shanghai Individuality and absolute discretion Team of specialists with a high level of seriousness and seniority Rapid decision process due to flat hierarchies Complete solutions in the regulated and unregulated sectors In-depth understanding of client needs enables swift response to changing market conditions Global reach with local people and local knowledge Hamburg London Frankfurt Luxemburg Munich Zurich Paris Hong Kong 4

5 Hauck & Aufhäuser Privatbankiers: Our service offering Hauck & Aufhäuser Privatbankiers Private Banking Asset Management Investment Banking Capital Markets Asset Servicing Discretionary Portfolio Management Managed Accounts Advisory Service Private Equity Corporate Lending Successor Financing Digital Wealth Management Fixed Income / Equities / Commodities / Certificates Mutual Funds / Special Funds Multi-Asset Strategies and Alternative Investments Conservative / Balanced / Dynamic / Market independent Capital Preservation- and Overlay Methods Private and Institutional clients Equities Institutional Research Equity Sales Equity Sales Trading Designated Sponsoring Corporate Finance Equity Capital Markets Debt Capital Markets M&A-Advisory Securities Trading Institutional Cross-Asset Execution Futures Trading Fund Trading Fund Trading/Pooling FX Trading Fixed Income Fixed Income Sales Trading Institutional Sales Trading Client Solutions Custodian (Depotbank) for UCITS and Alternative Investment Funds such as Real Estate or Private Equity (AIFs) in Germany and Luxembourg Fundadministration of UCITS and AIFs in Luxembourg with own fund administration companies Cooperation with well known leading investment companies Back Office 5

6 International mid-market corporate finance advisory Fully integrated range of financial services addressing all aspects of corporate finance advisory Our approach is based on trusted long term relationships and a good understanding of our clients interests Committed to assist companies in the overall execution of their corporate strategy. Strategic advisory augments transaction advisory Corporate Advisory Strategic analyses and options assessment Development of proprietary strategic opportunities Portfolio reviews Succession planning Entry / exit strategies Market analyses Mergers & Acquisitions Acquisitions, Divestments Management buy-outs/ buy-ins Leveraged buy-outs Strategic alliances / joint ventures Fairness opinions Defense advisory Equity / Debt Equity Capital Markets Capital Markets Capital market consulting IPO Capital Increase and right issues Placements, block trades Public takeovers Delisting Re-financing, -structuring Bond, Convertibles European footprint with global reach Institutional Equity Research Monitoring 140 companies in it s markets Release of publications Equity research Macroeconomic research Asset allocation research Providing investment recommendations Cross border advisory with a dedicated Sino-German Corporate Finance team located in China and Germany New York London Paris Frankfurt Luxemburg Hamburg Munich Zurich Hong Kong Shanghai 6

7 Tailor-made one stop shopping solutions for international clients A comprehensive range of professional services are a commitment to all kinds of Chinese clients: private, corporate and institutional clients. The tailor-made one-stop solution: in combination with core products and the satellites can create added value for the client. Merchant Bank business model: Sell Side Investment Banking plus Private Banking, Buy Side Investment Banking plus Investment (Private Equity Funds) with Fosun supports can max. cross selling opportunities. To achieve Fosun synergies by leveraging Fosun resources in Asia and expertise of H&A in Europe aiming to build up bridge for Asian and European customers. The core satellite concept covering the full value chain of banking Capital Markets Services Company Establishment Advisory Service Alternative Investment Wealth Mgmt Asset Management Asset Servicing Trust Solutions Institutional Research Corp. Finance M&A Advisory Corp. Lending Financial Planning Real Estate Investment Asset Servicing Support 7

8 Why Hauck & Aufhäuser Corporate Finance? Institutional Research Dedicated Sino-German M&A team with Chinese and German professionals located in Shanghai and Frankfurt Broad and deep industry know-how across various sectors Strong and established network to identify potential business opportunities and takeover target companies Leading Research specialist for small- and mid-cap stocks in the German-speaking region (DACH) 12 Analysts covering 140 companies Pro-active, detailed and idea-driven research Institutional Research Global sales team with local presence Located in New York City, London, Zurich, Paris, Frankfurt and Hamburg servicing approx. 400 leading international institutional investors throughout United States, Canada, China, United Kingdom, Germany, France, Swiss, Poland, Spain, Italy, Benelux and Scandinavia Best M&A execution Knowledge of the German M&A rules, market practices and procedures Mergers & Acquisitions Equity Sales Long-term number 1 rated team members for German Mid Caps by Extel Survey Proven track record of numerous Small- and Mid-Cap transactions More than 500 potential institutional investors Broad network and exclusive access to attractive investors as well as fund managers and family offices all over the world Equity Capital Markets Designated Sponsoring Equity Sales Trading Customer-oriented team with tailor-made services for Institutional Clients Long-standing relationships with international investors Access to broad base of company related shareholders Customized Roadshows / Investor Targeting Specialized senior team with more than 15 yrs experience >50 designated sponsoring mandates Consistent overachievement of the requirements for the AA top rating in Germany & Austria Strong market shares for most of the analysed companies 8

9 Your contacts Dr. Helen Liang Member of the Executive Board Head of China Desk Hauck & Aufhäuser Privatbankiers KGaA Phone Philipp Schale Director Mergers & Acquisitions Hauck & Aufhäuser Privatbankiers KGaA Phone

10 Disclaimer This is a marketing communication in terms of the Securities Trading Act. The information included in this document does not constitute investment consulting, but briefly summarises the essential features of the fund. All information was carefully compiled, partly by taking third party information into account. Individual details may turn out to be no longer correct particularly by lapse of time or as a consequence of changes to legislation. Therefore, we do not assume any guarantee for the correctness, completeness and topicality of any details. As far as statements on market developments, returns, gains or other asset growths as well as key risk figures are made, they merely constitute forecasts for the occurrence of which we do not assume any liability. In particular, earlier performances, simulations or forecasts are no reliable indicator for future performance. The Essential Investor Information is accessible at The information there provided may be continuously accessed in its valid version. Furthermore, you can receive this information free of charge at any time via your contact. The complete information on the fund can be found in the Essential Investor Information and the prospectus together with the respectively last audited annual report and additional respective half-year report, if a half-year report newer than the last annual report is available. These documents constitute the sole binding basis of the purchase. As far as tax or legal matters are concerned, they should be discussed by the addressee with their tax adviser and/or lawyer. You can receive the above sales documents in electronic or printed form from the offices of Hauck & Aufhäuser Privatbankiers AG, Kaiserstraße 24, Frankfurt am Main and/or Seidl Forum, Seidlstraße 21, Munich or at Hauck & Aufhäuser Investment Gesellschaft S.A., 1c, rue Gabriel Lippmann, L-5365 Munsbach. 10