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Newbridge Securities CorporationInvestment Banking & Firm Overview
April 2017
Corporate Headquarters: 5200 Town Center Circle, Suite 306, Boca Raton, FL 33486Website: www.newbridgesecurities.com
Page 2
▪ Firm Overview▪ Investment Banking Services▪ Distribution Platform
▪ Full service Investment Banking platform▪ Focused on financing small-cap / emerging growth companies▪ Public and private financings▪ M&A and corporate advisory
▪ Institutional distribution capabilities ▪ Equity and fixed income Trading Desks
▪ Retail Distribution Capabilitieso Approximately 200+ Registered Representatives(1)
o 70 offices in 18 states throughout the U.S. (1)
o Over 15,000 active institutional, corporate and retail clients(2)
o Over $1.5 billion in client assets under management(3)
▪ Established in 1997, Newbridge Securities Corporation (“NSC”) provides full service securities brokerage and investment banking services to a broad based group of individuals and corporate clients.
▪ The firm derives its strength from its distribution capabilities through its Institutional Investor network as well as its proprietary national retail platform of approximately 200+ registered representatives.
Firm Overview
Investment Banking
Capital Markets
Private Wealth Management
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1) FINRA Central Registration Depository (CRD) 7/22/20152) COR Clearing LLC 7/22/20153) Thomson One – COR Clearing LLC & DST Vision as of 8/17/2015
Investment Banking Services
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Capital Raising
▪ Initial Public Offerings (IPOs) ▪ Follow-On Offerings / Secondary Offerings▪ Private Placements (PIPEs) for public companies▪ Private Placements for private companies▪ Alternative Public Offerings / Reverse Mergers▪ Form 10 Filings▪ At-the-Market Offerings (ATMs)▪ Retail Syndicate Participation
Mergers & Acquisitions
▪ Mergers▪ Acquisitions▪ Sell-side Advisory▪ Buy-side Advisory▪ Spin-Outs▪ Divestitures
Corporate Advisory
▪ Strategic Consulting▪ Fairness Opinions▪ Valuations
▪ Newbridge Securities Corporation’s team of senior professionals provides a broad array of Investment Banking services.
▪ We work closely with every corporate client to understand its business plan, how it will be executed, the breadth and depth of the management team and that its capital needs are realistic and sufficient.
▪ We strive to provide a customized solution for each of its corporate clients.
Investment Banking Services (continued)
Page 5
Capital Raising
▪ Initial Public Offerings (IPOs) ▪ Follow-On Offerings / Secondary Offerings▪ Private Placements (PIPEs) for public companies▪ Private Placements for private companies▪ Alternative Public Offerings / Reverse Mergers▪ Form 10 Filings▪ At-the-Market Offerings (ATMs)▪ Retail Syndicate Participation
Mergers & Acquisitions
▪ Mergers▪ Acquisitions▪ Sell-side Advisory▪ Buy-side Advisory▪ Spin-Outs▪ Divestitures
Corporate Advisory
▪ Strategic Consulting▪ Fairness Opinions▪ Valuations
▪ Newbridge offers our clients a variety of ways to access the U.S. capital markets
▪ If the client is currently publicly traded, Newbridge can assist it in obtaining the necessary growth capital through a PIPE, a Registered Direct or a Follow-On offering.
▪ If the client is private, Newbridge can go to investors with a private placement, a traditional Initial Public Offering (IPO) or Alternative Public Offering (APO).
▪ Newbridge can assist the client with the timely preparation and dissemination of marketing materials, and the creation of due diligence packages (or data rooms) to be distributed to potential investors.
▪ Following the initial distribution of marketing materials, Newbridge will organize an investor road show to afford the client access to our retail offices and qualified institutional or accredited investors.
▪ Newbridge will further facilitate a transaction by working with both management and the funding sources to satisfy information requests as investors make their investment decisions and ultimately close the contemplated transaction.
Investment Banking Services (continued)
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Capital Raising
▪ Initial Public Offerings (IPOs) ▪ Follow-On Offerings / Secondary Offerings▪ Private Placements (PIPEs) for public companies▪ Private Placements for private companies▪ Alternative Public Offerings / Reverse Mergers▪ Form 10 Filings▪ At-the-Market Offerings (ATMs)▪ Retail Syndicate Participation
Mergers & Acquisitions
▪ Mergers▪ Acquisitions▪ Sell-side Advisory▪ Buy-side Advisory▪ Spin-Outs▪ Divestitures
Corporate Advisory
▪ Strategic Consulting▪ Fairness Opinions▪ Valuations
▪ Newbridge advisory engagements include comprehensive buyer or seller screening and evaluation in addition to industry analysis.
▪ Newbridge will spearhead the process of compiling, housing and managing the circulation of collateral marketing materials and diligence items including the maintaining of online data rooms, which will ease the burden on management and create a more efficient means to share information.
▪ Following the selection of a business partner, Newbridge can assist negotiations, deal structuring and legal guidance to ensure a smooth transition from transaction inception to closing.
Investment Banking Services (continued)
Page 7
Capital Raising
▪ Initial Public Offerings (IPOs) ▪ Follow-On Offerings / Secondary Offerings▪ Private Placements (PIPEs) for public companies▪ Private Placements for private companies▪ Alternative Public Offerings / Reverse Mergers▪ Form 10 Filings▪ At-the-Market Offerings (ATMs)▪ Retail Syndicate Participation
Mergers & Acquisitions
▪ Mergers▪ Acquisitions▪ Sell-side Advisory▪ Buy-side Advisory▪ Spin-Outs▪ Divestitures
Corporate Advisory
▪ Strategic Consulting▪ Fairness Opinions▪ Valuations
▪ The Newbridge IB Team has expertise in opinion and valuation work; delivering fairness and solvency opinions as well as valuations in a number of scenarios across an assortment of industry verticals.
▪ Successful companies frequently encounter complex fair value issues when evaluating strategic business decisions. Newbridge assists companies by delivering an accurate and supportable work product utilizing proven and generally accepted valuation methodologies.
▪ The firm provides Fairness Opinions in privatization transactions, M&A transactions and arms-length financing transactions
▪ The firm also provides independent third-party valuations and solvency opinions.
▪ Intensive selection and due diligence screening▪ Attention from senior bankers▪ Focus on quality execution▪ Close coordination with Sales/Trading▪ Post-Transaction Services
Newbridge Offering Process
▪ Objective second source of market knowledge▪ Objective second source of valuation / structuring▪ Team Player - Focus on getting deal done▪ Experience in coordinating with lead managers▪ Distribution power to US Intuitions and US Retail Investors
Co-ManagerIndustry Knowledge & Powerful Distribution
▪ Analyzing market conditions▪ Preparation of offering document▪ Preparation of all marketing materials▪ Selection of syndicate members▪ Coordination of Investor presentations▪ Presentation to investors
Lead ManagerAdvisory Focus
▪ Newbridge designs a customized strategy to allow our clients to achieve their objectives˗ The execution of their business model, and the ˗ enhancement of long term shareholder value
▪ We form a partnership with our clients˗ Our professionals leverage their industry
knowledge and experience to ensure that our clients' objectives are met.
˗ Providing our corporate clientele with financing that spans the capital structure including equity, subordinated debt, convertible debt, mezzanine financing, senior debt and project financing.
˗ Using our years of experience and contacts to guide our corporate clientele in selecting the appropriate legal counsel, auditors, investor relations firms, potential independent board members and other professionals that will add value to the enterprise.
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Investment Banking Process
U.S. Institutions• Coverage of financial Institutions
– Private Equity Funds– Managed Pension Funds– Mutual Funds– Proprietary Bank Funds– Sovereign Wealth Funds– Hedge Funds
▪ Newbridge has powerful distribution capabilities˗ Multi-channel platform that focuses on U.S. Institutions and its proprietary base of U.S. Retail Investors
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U.S. High Net Worth Accredited Investors• Proprietary Retail Network
– 70 offices located in 18 states throughout the U.S.
– 200+ Registered Representatives
Capital Markets – Distribution Capabilities
▪ Newbridge’s Capital Markets tailors solutions to our clients specific needs
˗ In-depth understanding of our client’s expectations enabling us to pinpoint appropriate institutional buyers for your company
˗ Ability to place large blocks of securities in a few hands or to achieve large distribution as needed
˗ Industry knowledge, years of experience, and deep relationships allow us to operate discreetly with minimal market impact if necessary
▪ Synthesize client’s message
▪ Identify Investor universe
▪ Execute Road Show
▪ Timely and consistent flow of information to our clients and investors
▪ Powerful & Targeted Distribution
▪ Sales & Trading Follow Up
Newbridge Process
▪ Clients need and deserve the support of the firm
˗ To maximize exposure to the public markets
˗ To drive shareholder value
Newbridge Philosophy
Page 10
Capital Markets – Process
Page 11
Capital Markets – Proprietary Retail Distribution
▪ Newbridge also has the capacity to access its proprietary retail investor base, differentiating it from other investment banking firms˗ The company has over 200+ Registered Representatives ˗ 70 offices in 18 states throughout the U.S.
Newbridge Securities – National Retail Distribution
Offices of Supervisory Jurisdiction States with Newbridge OfficesBoca Raton, Florida New York, New York Tom's River, New Jersey
5200 Town Center Circle 211 East 43rd Street 411 Hooper Avenue
Tower One, Suite 308 Suite 1300 Floor 1
Boca Raton, FL 33486 New York, NY 10017 Toms River, NJ 08753
Fort Lauderdale, Florida New York, New York Scottsdale, Arizona
1451 W. Cypress Creek Road 17 Battery Place 2266 South Dobson Road
Suite 300 Suite 625 Suite 200
Ft. Lauderdale, FL 33309 New York, NY 10004 Mesa, AZ 85022
Chicago, Illinois Woodbury, New York
125 S Wacker Drive 6800 Jericho Turnpike
Suite 300 Suite 204E
Chicago , IL 60606 Syosset, NY 11791
States with NSC Offices
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▪ Investment Banking Team – Corporate Bios
Page 13
Investment Banking Team Biographies
Bruce Jordan – Managing Director of Investment Banking | Newbridge Securities Corporation▪ Over 20 years of investment banking experience.▪ Former President of Vista 21 Advisors, a business consulting firm focusing on the needs of emerging business entities. ▪ Former President of Midtown Partners & Co., LLC., an investment banking firm that consistently ranked as one of the top 10 in
number of private placements completed.▪ Former Equity Research Analyst covering the Auto Parts sector, at Merrill Lynch.▪ MBA from Georgia State University, Major in corporate finance; Bachelor’s from Emory University, Major in accounting.
John McAuliffe – Managing Director of Investment Banking | Newbridge Securities Corporation▪ Over 30 years of investment banking experience. ▪ Previously worked at H.J. Meyers, where he worked as an investment advisor, branch manager, ran the institutional sales
department, and was an Investment Banker focused on Biotech and Technology.▪ Bachelor of Science degree from the State University of New York (Brockport).
Jody Eisenman – Senior Director of Corporate Finance | Newbridge Securities Corporation▪ Over 20 years of investment banking experience.▪ Former Managing Director of corporate finance at Legend Securities, CEO of PHD Capital, and SVP at Lehman Brothers and
Oppenheimer, and former Managing Partner of the Centaurian Fund.▪ MBA in Finance and International Business from New York University.
Sol Saad – Director of Investment Banking | Newbridge Securities Corporation▪ Over 40 Years of investment banking experience.▪ Former Managing Director of Investment Banking at Ladenburg Thalmann & Co. Inc., a leading middle-market investment bank.▪ Former Director at Salomon Brothers Inc. / Salomon Brothers International Limited.▪ Regional Managing Director of International Banking at Wells Fargo Bank Group.▪ MBA from the University of Pennsylvania (Wharton), BA from Colgate University.
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Investment Banking Team Biographies (continued)
H.H. (Kin) Houston III – Senior Vice President of Institutional Sales | Newbridge Securities Corporation▪ Over 20 Years of experience in the investment Industry▪ Began his career with Shearson Lehman, and worked at several boutique brokerages including Joseph Charles & Associates and
JW Charles & Co.▪ Former Chairman and CEO of First Continental, Inc., a company which performed back office services for commodity pool
operators and account managers.▪ Attended the University of South Carolina and Coastal Carolina University where he studied business management/finance.
Eric Vallejo – Director of Capital Markets & Syndicate | Newbridge Securities Corporation▪ Over 20 Years of experience in the investment Industry▪ Started and managed the equity and fixed income trading departments at Newbridge Securities. ▪ Founder and Principal of Emerson Bennett, a retail-focused investment banking firm, where he ran the equity and fixed income
trading department.▪ Florida International University, Finance Major.
Craig Pierson – Managing Director | LifeTech Capital▪ 20 Years of experience in biotechnology financing ▪ Former Senior Investment Banking positions at Gruntal & Co., Janney Montgomery Scott, Dawson James, Jesup & Lamont and
Legend Merchant, focused on raising capital for emerging growth healthcare firms.▪ Has been an investor and founder in companies such as Sontra Medical, Adventrx, DTI, and Centauri Surgical Systems. ▪ Rochester Institute of Technology for chemical engineering and completed the executive pharmacology program at MIT.
Tom Masterson – Managing Director | LifeTech Capital▪ 26 Years of Capital Market Experience ▪ Has held senior investment banking roles at Paine Webber Jackson (now UBS), Shearson Lehman Brothers (now Morgan Stanley
Smith Barney), Raymond James Financial Services, and National Financial Partners.▪ BA in Finance from the University of Massachusetts (Amherst).
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Investment Banking Team Biographies (continued)
Stephen M. Dunn – Senior Managing Director | LifeTech Capital▪ 35 years of research, operations and finance experience.▪ Mr. Dunn has previously held several senior equity research roles at LifeTech Capital, Aurora Capital, Jesup & Lamont and
Dawson James Securities. ▪ Has held several management roles in business development, finance and operations at various biomedical companies Beckman
Coulter (Coulter, Danaher), Cordis (Johnson & Johnson, Cardinal Health), and Telectronics (St. Jude Medical, Abbott Laboratories).
Thomas A. Gallo – Founder & Senior Managing Director | Strategic Advisory Group▪ 30 Years Securities Industry/Investment Banking experience ▪ Former Investment Banker at Garden State Securities, a registered broker dealer and investment bank. ▪ Former Managing Director of Investment Banking at Moneta Capital Advisors, a merchant banking organization.▪ Former President of Kirlin Securities, Inc., a New York- based investment banking and financial service firm, with 300 registered
representatives. Purchased M.S. Farrell & Co., Inc., of which Mr. Gallo was a founder.
Constantino Gutierrez – Director, Investment Banking | Sandstone Group▪ 10 years of Investment Banking experience.▪ Former Vice President of Investment Banking at Ladenburg Thalmann & Co. Inc., a leading middle-market investment bank.▪ Former Associate of Investment Banking at Maxim Group, LLC, a retail-focused investment banking firm.▪ BA from the University of Pennsylvania.
Adam Sendik – Managing Director | Sendik Capital▪ Over 25 years of business experience in Investment Banking, Technology, Finance and Real Estate. ▪ Provides advisory services in middle-market M&A and capital raises. ▪ MBA in Finance from the Huizenga College of Business and Entrepreneurship at Nova Southeastern University▪ Bachelor of Science degree from Florida State University.
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▪ Selected Investment Banking & Capital Market Transactionso Lead-Managed / Co-Managed / Placement Agent / Underwriter / Selling Group Membero M&A / Corporate Advisory / Fairness Opinions
Page 17
Selected Recent Transactions | Capital Raises
Matlin & Partners Acquisition Corp.
(NASDAQ:MPACU)
Initial Public Offering$300,000,000
Selling Group MemberMarch 2017
SPECIAL PURPOSEACQUISITION
CORPORATION
Sachem Capital Corp.(NYSE MKT:SACH)
Initial Public Offering$150,000,000
Selling Group MemberFebruary 2017
Zynex, Inc.(OTCQB:ZYXI)
PIPE$1,000,000
Placement AgentMarch 2017
FinTech Acquisition Corp. II(NASDAQ:FNTE)
Initial Public Offering$153,000,000
Selling Group MemberJanuary 2017
NAC Global Technologies, Inc.(OTCQB:NACG)
PIPE$1,000,000
Placement AgentDecember 2016
Polar Power, Inc.(NASDAQ:POLA)
Initial Public Offering$19,300,000
Selling Group MemberDecember 2016
Pixarbio Corporation (OTCQB:PXRB)
PIPE$23,400,000
Placement AgentOctober 2016
AzurRx BioPharma, Inc.(NASDAQ:AZRX)
Initial Public Offering$5,300,000
Selling Group MemberOctober 2016
RiverNorth/DoubleLine Strategic Opportunity Fund
(NYSE:OPP)
Initial Public Offering$210,000,000
UnderwriterSeptember 2016
Nuveen High Income Nov 2021 Target Term Fund
(NYSE:JHB)
Initial Public Offering$500,000,000
UnderwriterAugust 2016
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Selected Recent Transactions | Capital Raises – (continued)
Atossa Genetics, Inc.(NASDAQ:ATOS)
Follow-On Offering$2,880,000
Selling Group MemberAugust 2016
Monster Digital, Inc.(NASDAQ:MSDI)
Initial Public Offering$12,000,000
Selling Group MemberJuly 2016
Viveve Medical, Inc.(NASDAQ:VIVE)
Follow-On Offering$13,500,000
Selling Group MemberJune 2016
Nuveen High Income Dec 2019 Target Term Fund
(NYSE:JHD)
Initial Public Offering$245,000,000
UnderwriterMay 2016
Echo Therapeutics, Inc. (OTCQB:ECTE)
PIPE$4,470,000
Placement AgentMay 2016
Eaton Vance Corp. (NYSE:EHT)
Follow-On Offering$190,000,000
Selling Group MemberMay 2016
Spring Bank Pharmaceuticals (NASDAQ:SBPH)
Follow-On Offering$11,040,000
Selling Group MemberMay 2016
Cellectar Biosciences, Inc.(NASDAQ:CLRB)
Follow-On Offering$6,980,000
Selling Group MemberApril 2016
Hedge Path Pharmaceuticals (OTCQB:HPPI)
PIPE$5,500,000
Placement AgentApril 2016
Manhattan Bridge Capital, Inc. (NASDAQ:LOAN)
Follow-On Offering$6,000,000
Selling Group MemberApril 2016
Page 19
China Customer Relations Center, Inc.
(NASDAQ:CCRC)
Initial Public Offering$9,600,000
Selling Group MemberDecember 2015
Selected Recent Transactions | Capital Raises – (continued)
RiverNorth Tactical Opportunities Fund, Inc.
(NYSE:RIV)
Initial Public Offering$90,000,000
UnderwriterDecember 2015
MamaMancini's Holdings, Inc. (OTCQB:MMMB)
PIPE$1,600,000
Placement AgentNovember 2015
Nuveen High Income Dec 2018 Target Term Fund
(NYSE:JHA)
Initial Public Offering$261,000,000
UnderwriterNovember 2015
First Trust Dynamic Europe Equity Income Fund
(NYSE:FDEU)
Follow-On Offering$330,000,000
UnderwriterSeptember 2015
AYTU Bioscience, Inc.(OTCQB:ATYU)
PIPE$5,175,000
Placement AgentSeptember 2015
Nuveen High Income 2020 Target Term Fund
(NYSE:JHY)
Follow-On Offering$124,000,000
UnderwriterJuly 2015
Perseon Corporation(NASDAQ:PRSN)
Follow-On Offering$5,175,000
Selling Group MemberJuly 2015
Yulong Eco-Materials, Limited(NASDAQ:YECO)
Initial Public Offering$14,000,000
Selling Group MemberJune 2015
Tekla World Healthcare Fund(NYSE:THW)
Initial Public Offering$580,000,000
UnderwriterJune 2015
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Selected Recent Transactions | Capital Raises – (continued)
BioPharmX Corporation(NYSE MKT:BPMX)
Follow-On Offering$10,000,000
Selling Group MemberJune 2015
Allianz GI Diversified Income& Convertible Fund
(NYSE:ACV)
Initial Public Offering$280,000,000
UnderwriterMay 2015
XBiotech, Inc.(NASDAQ:XBIT)
Initial Public Offering$76,000,000
Selling Group MemberApril 2015
Viking Therapeutics, Inc.(NASDAQ:VKTX)
Initial Public Offering$24,000,000
Selling Group MemberApril 2015
JM WOWO(NASDAQ:JMU)
Initial Public Offering$40,000,000
UnderwriterApril 2015
Tantech Holdings Ltd(NASDAQ:TANH)
Initial Public Offering$12,800,000
Selling Group MemberMarch 2015
Calamos Dynamic Convertible & Income Fund
(NASDAQ:CCD)
Initial Public Offering$555,000,000
UnderwriterFebruary 2015
Miller/Howard HighIncome Equity Fund
(NYSE:HIE)
Initial Public Offering$245,000,000
UnderwriterNovember 2014
Great Basin Scientific, Inc. (OTCQB:GBSN)
Initial Public Offering$8,005,000
UnderwriterNovember 2014
BlackRock Science & Technology Trust
(NYSE:BST)
Initial Public Offering$420,000,000
UnderwriterOctober 2014
Page 21
Selected Recent Transactions | Capital Raises – (continued)
Wheeler Real Estate Investment Trust, Inc.
(NASDAQ:WHLR)
Follow-On Offering$18,000,000
Co-Lead UnderwriterSeptember 2014
Goldman Sachs MLP & Energy Renaissance Fund
(NYSE:GER)
Initial Public Offering$1,400,000,000
UnderwriterSeptember 2014
GWG Holdings, Inc.(NASDAQ:GWGH)
Initial Public Offering$10,000,000
Co-ManagerAugust 2014
American RealtyCapital Properties, Inc.
(NASDAQ:ARCP)
Initial Public Offering$1,440,000,000
Selling Group MemberMay 2014
Tekla Healthcare Opportunities Fund
(NYSE:THQ)
Initial Public Offering$770,000,000
UnderwriterJuly 2014
Duff & Phelps Select Energy MLP Fund Inc.
(NYSE:DSE)
Initial Public Offering$485,000,000
UnderwriterJune 2014
China Commercial Credit, Inc.(NASDAQ:CCCR)
Follow-On Offering$7,000,000
Selling Group MemberMay 2014
Nuveen All Cap EnergyMLP Opportunities Fund
(NYSE:JMLP)
Initial Public Offering$255,000,000
UnderwriterMarch 2014
First Trust New Opportunities MLP & Energy Fund
(NYSE:FPL)
Initial Public Offering$440,000,000
UnderwriterMarch 2014
Wheeler Real Estate Investment Trust, Inc.
(NASDAQ:WHLR)
PIPE$12,160,000
Placement AgentJanuary 2014
Page 22
Selected Recent Transactions | Capital Raises – (continued)
Methes Energies International Ltd.(NASDSAQ:MEIL)
PIPE$2,600,000
Placement AgentDecember 2013
Goldman Sachs MLP Income Opportunities Fund
(NYSE:GMZ)
Initial Public Offering$826,000,000
UnderwriterNovember 2013
Ares Multi-StrategyCredit Fund, Inc.
(NYSE:ARMF)
Initial Public Offering$130,000,000
UnderwriterOctober 2013
Center Coast MLP& Infrastructure Fund
(NYSE:CEN)
Initial Public Offering$290,000,000
UnderwriterSeptember 2013
China Commercial Credit, Inc.(NASDAQ:CCCR)
Initial Public Offering$7,000,000
Selling Group MemberAugust 2013
KKR Income Opportunities Fund
(NYSE:KIO)
Initial Public Offering$305,000,000
UnderwriterJuly 2013
ClearBridge AmericanEnergy MLP Fund, Inc.
(NYSE:CBA)
Initial Public Offering$1,050,000,000
UnderwriterJune 2013
Guggenheim Credit Allocation Fund
(NYSE:GGM)
Initial Public Offering$175,000,000
UnderwriterJune 2013
Principal Real EstateIncome Fund(NYSE:PGZ)
Initial Public Offering$126,000,000
UnderwriterJune 2013
RCS Capital Corporation(NYSE:RCAP)
Initial Public Offering$50,000,000
UnderwriterJune 2013
Page 23
Selected Recent Transactions | Capital Raises – (continued)
Flaherty & Crumrine Dynamic Preferred Income Fund, Inc.
(NYSE:DFP)
Initial Public Offering$450,000,000
UnderwriterMay 2013
Ladenburg Thalmann Financial Services, Inc.
(NYSE:LTS.Pra)
Preferred Stock Offering$115,000,000
Selling Group MemberMay 2013
DoubleLine Income Solutions Fund
(NYSE:DSL)
Initial Public Offering$2,300,000,000
UnderwriterApril 2013
Neuberger Berman MLP Income Fund(NYSE MKT:NML)
Initial Public Offering$1,005,000,000
UnderwriterMarch 2013
Brookfield Mortgage Opportunity Income Fund
(NYSE:BOI)
Initial Public Offering$420,000,000
UnderwriterMarch 2013
Eaton Vance Municipal Income 2028 Term Trust
(NYSE:ETX)
Initial Public Offering$205,000,000
Selling Group MemberMarch 2013
Apollo Tactical Income Fund, Inc.
(NYSE:AIF)
Initial Public Offering$280,000,000
UnderwriterFebruary 2013
BlackRock Multi-SectorIncome Fund
(NYSE:BIT)
Initial Public Offering$720,000,000
Selling Group MemberFebruary 2013
Nuveen Intermediate Duration Quality Municipal Term Fund
(NYSE:NIQ)
Initial Public Offering$187,500,000
Selling Group MemberFebruary 2013
PIMCO Dynamic Credit Mortgage Income Fund
(NYSE:PCI)
Initial Public Offering$3,025,000,000
UnderwriterJanuary 2013
Page 24
Selected Recent Transactions | M&A, Corporate Advisory and Fairness Opinions
Geospatial Corporation(OTCQB:GSPH)
Corporate Advisory
Financial AdvisorMarch 2016
MOBI724 Global Solutions Inc. (OTCQX:FPOTF)
Corporate Advisory
Financial AdvisorMarch 2016
Central Oil & GasCorporation of America
Corporate Advisory
Financial AdvisorFebruary 2016
Zivo Bioscience, Inc. (OTCQB:ZIVO)
Corporate Advisory
Financial AdvisorJanuary 2016
Steele Oceanic Corporation(OTCQB:SELR)
Corporate Advisory
Financial AdvisorJanuary 2016
NAC Global Technologies, Inc.(OTCQB:NACG)
Business Combination with Swiss Heights Engineering S.A.
M&A AdvisorDecember 2016
Kraig Biocraft Laboratories, Inc. (OTCQB:KBLB)
Corporate Advisory
Financial AdvisorDecember 2016
Integral Technologies, Inc. (OTCQB:ITKG)
Corporate Advisory
Financial AdvisorDecember 2016
Catalytec, Inc.
Corporate Advisory
Financial AdvisorNovember 2016
HASCO Medical, Inc.(OTCQB:HASC)
Fairness Opinion
Financial AdvisorAugust 2015
Page 25
Contact Information
Corporate Headquarters: 5200 Town Center Circle, Suite 306Boca Raton, FL 33486Website: www.newbridgesecurities.com
Securities offered through Newbridge Securities CorporationMember FINRA / SIPC
Advisory Services offered through Newbridge Financial Services Group Inc. an SEC Registered Investment Advisor
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