Capital for Entrepreneurs since 1956

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Legal Notice

• This is not an offer to sell or a solicitation of an offer to buy securities.

• Securities are offered through Corporate Finance Securities, Inc.

• Corporate Finance Securities, Inc. is a member firm of FINRA and SIPC.

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Corporate Finance Associates- Worldwide

• Locally based: entrepreneurial spirit with “boutique” firms operating as separate businesses supported by lean corporate staff

– Leverage relationships thru worldwide network

– CFA Industry Groups to focus on areas of expertise & experience

– Strong presence and “mindshare” with Private Equity groups and sources of institutional capital

• Global Presence: highly networked

– Regional offices: North America; India

– Affiliated firms (thru International Corporate Finance Group): Western & Eastern Europe, Brazil, Hong Kong

– Worldwide: over 30 offices and more than 90 dealmakers

• Most dealmakers have operational experience leading businesses

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Corporate Finance Associates

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Considerations for selecting your Advisory Team

• People – Technical acumen

– Industry knowledge

– Expertise & Experience

• Resources – Knowledge of sources

– Creative thinking

– Securities Licensed

• Network – Access to sources of capital

– Locally based…global network leverage

– Relationships and reputation within industry

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CFA- Houston • CFA- Houston office

– Each dealmaker has operations background having previously run businesses

– Work as a team…access to everyone

– Industry experience and expertise • Industrial Manufacturing

• Energy-related

• Technology commercialization

• Principal deal makers – George Walden

– Matt Register

– Jim Gerberman

People

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CFA- Houston • Our engagement process begins with

alignment to your specific goals

• Our experience and expertise helps to: – Consider and assess alternatives

– Develop strategy and implement plan to optimize results

• Substantial experience in all types of engagements and deal structures

• Corporate Finance Securities – Firm is licensed by FINRA as broker dealer

– Deal makers are licensed by FINRA (as needed: General Securities Principal, Registered Representative, Uniform Securities Agent)

Resources

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CFA- Houston

• Locally based and entrepreneurial…with the leverage of a highly-networked global presence

• Strong relationships within industry: – Private Equity groups

– Traditional and non-traditional funding sources

– Trusted Advisors

– Industry Associations

– Strategic Players

• Access to capital sources

• Additional trusted advisor resources as needed

Network

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Choosing an Advisor

People

Network Resources

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In summary…

• We see our relationship as

a partnership, working

with you to:

– Identify and evaluate

alternatives

– Think creatively

– Accelerate your decisions

and implement actions

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Attachments

• CFA- Houston deal maker bio’s

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George Walden

George Walden is a Principal in CFA’s Houston office with twenty years experience as a middle-market investment banker.

Raised with a family firm in the plastics industry, he has worked extensively with family-owned and private companies throughout his career. In fact, George has analyzed and valued hundreds of businesses for presentations to private equity groups, strategic industry buyers, and individual investors. Some of his transactions include:

• Oilfield OEM businesses

• Valves and actuator companies

• Pump and compressor manufacturing and service

• Instrumentation and controls

• Metal fabrication and machining

• Pipeline integrity and maintenance

• Industrial services

• Plastic blending, molding, and machining

• Patented industrial technology

George is a member of CFA’s equipment industry practice group and an expert in the precision machining industry with special emphasis on manual machining, CNC precision machining, and gun drilling services and has been responsible for several industry-leading transactions. In 2010 George participated in several turnarounds as well as a completed a transaction in an out of favor industry. In a recent transaction, George completed a 1202 private placement that involved game changing technology in sub-sea drilling and exploration.

Professional

• Association for Corporate Growth, Houston Chapter

• CFA Equipment Practice Group

• Vistage International

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Matt Register

Matt Register is a Principal in the Houston office. With more than 13 years experience in operations and strategic planning, he draws on a depth of experience and brings important insights to bear on the issues faced by clients.

Matt joined CFA after managing the successful sale of his family’s industrial manufacturing business to a Fortune 500 company. In the years prior to the acquisition, he was instrumental in executing a culture change to a high precision parts manufacturer. This resulted in 250% growth in less than four years.

Prior to joining his family’s company, Matt served for over six years as an officer in the US Army, including combat tours in Afghanistan and Iraq.

Matt’s operational experience provides added perspective and an enhanced ability to execute transactions, serving clients through a thorough understanding of their business and what it takes to run a successful company. Most importantly, Matt’s capabilities make him a highly skilled negotiator who is analytical and tenacious. He has a track record of creative solutions to tough problems.

Matt and his wife also own Register Real Estate Advisors, a fast-growing real estate firm in Spring TX, and RREA Media, an audio/video production and digital marketing firm.

Matt has a BS from the United States Military Academy at West Point and an MBA from the Jones Graduate School of Management at Rice University in Houston. He sits on the boards of several non-profits and is very active in the business start-up community in Houston.

Community Involvement

• Houston Angel Network

• West Point Society of Greater Houston

• Gottlieb Foundation of Texas

• Association for Corporate Growth, Houston Chapter

• Co-Founder of Forward Results

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Jim Gerberman

As Managing Director with CFA’s Houston office, Jim is a proven business leader with multiple successes in President/CEO/GM positions with emerging technology companies serving a broad array of industries and markets. He is known for transforming businesses by building value in turnarounds and by growing market share under intense competition. With extensive and direct hands-on experience in all aspects of acquisitions from initial strategic planning through assessment, negotiations, due diligence and post-acquisition integration of businesses, he has worked from both the buy-side and sell-side of many transactions in small as well as large multi-national company environments. His work experience also includes:

• broad functional and operational experience in manufacturing and materials management, worldwide sales and distribution, marketing and business development, engineering and multi-site project management

• increasing responsibilities with the US Army, Texas Instruments, Baker Hughes, Thermo Electron and VMETRO

• management consulting focusing on strategic transformation of businesses through development and implementation of growth and turnaround strategies

Jim’s educational background includes a Bachelor of Science degree in General Engineering from the US Military Academy at West Point, a Master’s in Business Administration from Saint Edward’s University in Austin, Texas, and a Ph.D in Management Science/ Operations Research from The McCombs Business School at The University of Texas at Austin.

Professional Affiliations

• Association for Corporate Growth, Houston Chapter

• Rice Alliance for Technology and Entrepreneurship

• Houston Technology Center

• MIT Enterprise Forum New Ventures Clinic

• M&A Forum- Houston

• Mentor, SURGE Accelerator

• West Point Society of Greater Houston

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www.cfaw-houston.com

One of America’s oldest and largest mid-market M & A advisory firms

“We put money to work for people buying, building, selling, or investing in businesses

so that we help create value In deploying capital”

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