Philosophy and Representative Sample of Investment Banking Activities
The firm’s philosophy on private placements is that we do not get
involved unless some of us individually are willing to invest our own
personal funds in the placement. Only then do we bring a placement to
the attention of institutional and accredited investors. We do not do a
transaction just because it is possible to do a transaction. We take
pride and pleasure in seeing companies grow and prosper. On public
offerings, of course, our staff’s participation is not possible due to
securities regulations.Since the firm opened its doors on August 1,
2005, we have built a small team of seasoned investment bankers
(average
age about fifty) in the extractive industries (oil and gas exploration
and production, energy services, precious- and base-metals mining), and
consumer services and health care. The firm has led or participated in
the following types of assignments (amounts approximate), among others:
Private Placement: Sole placement agent for a US-based private
extractive industries client in the amount of $17 mm.
Private Placement:
US placement agent for a US-based private extractive industries client
(public within seven months) in the amount of $5 mm.
Private Investment
in Public Equity: A placement agent for a London-listed extractive
industries client in the amount of £7 mm.
Private Investment in Public
Equity: Sole placement agent for a US-based bulletin board-traded
extractive industries client in the amount of $3 mm.
Private Investment
in Private Debt: Sole placement agent for convertible debentures in a
publicly traded US-based extractive industries client in the amount of
$10 mm.
Public Offering: A selling group participant for a US-based
services company in extractive industries in a combination
primary/secondary public offering of common stock with firm’s
participation in the amount of $7 mm (on indications of $25 mm).
Our
distribution network includes North America, the United Kingdom, Europe,
and Asia. |
