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Your Partner in Global Business
APRIL 2020
Business Partners in countries, including: Australia: Sydney., Czech Republic: Prague, Hong Kong, Italy: Milan Japan: Tokyo, Osaka, Fukuoka, Nagoya, Matsumoto, Luxembourg: Peoples Republic of China; Beijing, Hanhzhou, Nanning, Ningbo, Shenzen, Shanghai, Shenyang, Xiamen, Singapore, Slovakia, South Korea: Seoul, Switzerland Zurich, Lugano, Spain: Madrid,
Barcelona, Seville, Bilbao and 12 other offices, Thailand: Bangkok and 7 locations, United Arab Emirates: Dubai, United Kingdom: London, U.S.A.: New York, Denver, Aspen and San Francisco.
2
OUR PHILOSOPHY
• We are a People Business: Our team is discreet, internationally experienced and of the highest calibre.
• Our Culture is focused on Innovation: Our edge lies in a relentless pursuit of new and more effective tools … for a better way to do business.
• We believe good Partnerships lead to Success: Our clients are our partners. We work towards common goals.
• Global network, local delivery: We have an international portfolio of local and international partners and clients …we have an extensive global reach and distribution network.
• Transparency and Strong Corporate Governance are key: We have strict controls and are accountable for what we deliver.
• We look to be invited back: Much of our part business has been with existing clients … repeat business is a strong recommendation!
ABOUT MAC CAPITAL ADVISORS
• MAC Capital Advisors Limited (“MACCA”) is an advisory group, providing specialist advice to a select group of international clients in a wide variety of sectors.
• It was founded in early 2006 by its Chairman, Robert W. McMillen. He is also one of the Founders and is a Director of Global Alliance Partners, a group of stockbrokers, fund managers, investment banks and advisors which operate in 120 countries worldwide.
• MACCA has already developed a reputation as a specialist in mid-tier, cross border transactions.
OUR SERVICES
Working with our international and licenced partners, we consult on;
• Mergers and Acquisitions: cross-border mergers and acquisitions, buy and sell side, joint ventures and strategic alliances, introducing technical partners and finding financial partners.
• Private Equity Placements: capital raising using our global network. We specialize in cross border transactions.
• Sales and Distribution: secondary placements of large share blocks, private placements of new and existing equity.
• Structured Products: development of new financial products, warrants, options and derivatives, convertible debentures, quasi-debt/equity products, advising on how these products can assist clients.
3
Partner Countries and Offices were GAP’s members operate
AP Securities Manila (Philippines)
Aris Prime Singapore, U.A.E. and Switzerland
Capital Partners Securities Tokyo and two branches (Japan), Hanoi (Vietnam)
China TongHai International Financial Limited Part of China Oceanwide Group and Formerly, Quam Financial Services Group: Hong Kong: Head office and two branches China: Ningbo, Shanghai, Shenzhen, Shenyang, Dalian, Beijing, Suzhou, Chengdu, Hangzhou, Xian)
Cornhill Management United Kingdom, United Arab Emirates, Luxembourg, Slovakia and Czech Republic
Country Group Securities Pcl Bangkok and 7 branches
Equitas SIM SpA Milan (Italy)
GVC Gaesco Group Spain (Barcelona, Madrid, Seville, Bilbao and 12 other offices is Spain)
Ho Chi Minh City Securities Vietnam
Imara Zimbabwe Zimbabwe
KTB Private Equity South Korea (Seoul)
MAC Capital Advisors Limited Dubai (United Arab Emirates)
Petra Capital Pty Ltd. Sydney (Australia)
Seal Consulting Lugano, Switzerland, Dubai
TerraNova Capital Equities New York, San Francisco, Aspen and Denver (U.S.A.)
WHO IS GLOBAL ALLIANCE PARTNERS? GAP’s Services;
MACCA offers its clients full access to the network of Global Alliance Partners, allowing them to transact in multiple jurisdictions. GAP is an international network of like-minded financial
services and advisory companies that leverage local execution and distribution capabilities to expand cross-border services in private equity, mergers and acquisitions, private placement, advisory, pre-IPO, funds management, capital raising and wealth management. Snapshot of GAP;
• Has 13 Member Firms in 66 offices in 11 countries.
• Around USD 18 billion under management.
• Completed corporate finance transactions worth almost USD 88 billion (over 800 transactions).
• Able to execute trades in over 20 countries.
• Over 300 research analysts worldwide How GAP helps MACCA’s Clients? GAP provides the bridge between mid-sized companies and the international financial markets. MACCA’s Clients have full access to this network, allowing them to transact in multiple jurisdictions.
The Global Network; The fast-growing network is composed of partner firms whose local expertise and global reach span strategic markets in Africa, Asia, Europe, the Middle East and North America.
4
LEADING INNOVATION IN ASIA… OUR AWARD WINNING TEAM
The MACCA team members have introduced many new financial products to Thailand:
• The first Initial Public Offering under the SEC Act.
• The first Conditional Application to conduct an Initial Public Offering.
• The first Public Tender Offer under the SEC Act.
• The first Underwritten Debenture with Warrant by Rights under the SEC Act.
• The first Non-public Offering of a Pre-IPO Convertible under the SEC Act.
• The first five-year Call Warrant issued by Rights.
• The first ESOP Scheme where more than 5 per cent of the Company’s capital was issued to employees.
• Called the first (and second) Call Warrants in Thailand.
• The first Rights Issue with Concurrent Special Dividend.
• The first Rights Issue coupled with a Special Dividend and Warrants.
• The first Rights Issue with Warrants issued below par.
• The first Warrant Issue in Thailand with a 10-year term.
• The first pre-approved exemption from Clause 30 (Delisting) regulations.
• The first capital reduction, simultaneous with a rights issue.
• The first IPO and listing on the MAI.
• The first IPO with Warrants attached in Thailand (and on the MAI).
• The first IPO with Warrants attached on the SET
We have a very strong team and its members have an enviable track record;
• Multi-national Award-Winning Team - The Team has won 13 awards from such institutions as Forbes Magazine,
Asset Magazine, FinanceAsia Magazine, The Stock Exchange of Thailand, the Institute of Directors and IFR Magazine
• A History of Developing New Products in New Markets - With over 17 new products introduced for the first time into emerging
financial markets
• Multi-billion-dollar Execution Track Record - Covering products such as Merger and Acquisitions, Debt and Quasi-Debt
Capital Raising, On Market Acquisitions, New Listings, Private Placement, Convertible Bonds and Specialist Advice
• International Top-Level Experience - Our team has been drawn from such international houses as Deutsche
Morgan Grenfell, Ernst & Young, and Hambros Bank. They have worked in London, Hong Kong, Dubai, Thailand, India and Australia.
• We Build Businesses - Led Seamico Securities from US$ 7.5 million market capitalization (60
staff) to US$ 280 million (600 staff) in ten years. - Led Raimon Land from US$ 2.5 million value to US$ 100 million market
capitalization in four years (and then arranged its sale to Middle East investors)
• Our international network is substantial - Finance institutions in seven different countries as shareholders and
partners. - Stockbrokers, merchant banks, fund managers and private banks as
shareholders and partners.
• Our team is very much committed to the business - Incentive based options means our team is the very foundation the
Company’s development.
AND IN THE GCC…
In the U.A.E. our team also developed a reputation for innovation;
• The first ‘start-up’ firm to obtain a Category 2 license in the DIFC
• Advised on the first Chinese Company to list on the NASDAQ Dubai
• Advised on the first NYSE listed Company to list on the NASDAQ Dubai
• The first broker to trade on Australian dual-listed stocks
• The first broker to trade on U.S.A. dual-listed stocks
• One of only 14 brokers who were able to arrange trades on all three UAE stock markets.
Our history of innovation and willingness to help new markets develop is well known in Asia and the GCC
We have a very experienced product development team with a great track record
5
PAST INVESTMENT BANKING DEALS COMPLETED BY THE CURRENT MACCA TEAM
INVESTMENT BANKING TRANSACTIONS ALL OVER THE WORLD MULTI-BILLION DOLLAR EXECUTION TRACK RECORD Our Team has been involved in a multitude of transactions covering countries such as;
• Australia
• Bahrain
• Canada
• China
• Cuba
• Egypt
• France
• Germany
• Hong Kong
• Japan
• Kazakhstan
• Kenya
• Kuwait
• Malaysia
• Myanmar
• Nepal
• New Zealand
• Oman
• Qatar
• Russia
• Rwanda
• Samoa
• Saudi Arabia
• Singapore
• South Africa
• Spain
• Sweden
• Thailand
• U.A.E.
• Uganda
• U.S.A.
• United Kingdom
• Vietnam
The MAC Team has significant in-house expertise in the following sectors:
Sector No. Of Transactions
Total transactions volume (US$ millions)
Automotive 5 14.74
Banking, finance and securities 56 1,770.26
E-Commerce and Telecommunications 18 57.12
Electronic Components 7 573.85
Mining, Energy and Petrochemical 14 572.92
Healthcare 5 4.34
Insurance 26 232.26
Manufacturing and Industrial 34 332.22
Media, entertainment, printing and
publishing
27
345.25
Property and Hotels 50 1,071.53
Steel and construction 23 1,017.79
Transportation 4 15.94
………….and the following transaction types:
Products
No. Of Transactions
Total transactions volume (US$ millions)
Capital raisings 73 1,306.36
Debt and Quasi-Debt 18 632.08
M&A Transactions 72 1,989.09
New listings 54 1,397.07
Rescues, rehabilitation, reorganizations and
De-listings
27
2,281.11
Specialist advice and valuations 84 2,305.27
The Team has completed over US$ 12 billion of Investment Banking Transactions in over 32 Countries………
6
OUR TEAM HAS ADVISED A WIDE RANGE OF CLIENTS……
PROPERTY, CONSTRUCTION, HOTELS AND HOSPITALS
FINANCE, BANKING AND INSURANCE
ENERGY, CHEMICALS, OIL, GAS AND TRANSPORT
• Aikchol Hospital Pcl* (Thailand)
• Bangkok Land Pcl* (Thailand)
• Bangkok Nursing Home (Thailand)
• Christiani & Nielson (Thailand) Pcl* (Thailand)
• Country Group Holdings Pcl* (Thailand)
• DEPA Limited* (U.A.E.)
• Grande Asset Development Pcl* (Thailand)
• Hemaraj Land and Development Pcl* (Thailand)
• IFA Hotels & Resorts* (Kuwait)
• Impact Exhibition and Management Co. Ltd. (Thailand)
• Leisure Canada* (now 360 VOX)* (Canada)
• Lend Lease Global (Hong Kong)
• Raimon Land Pcl* (Thailand)
• Sikarin Hospital Pcl* (Thailand)
• Sunplay Asia Limited (Thailand)
• Thai Nakarin Hospital Pcl* (Thailand)
• Thai Wah Group* (Thailand & Singapore)
• Thai Wah Resorts (Singapore & Thailand)
• Zinc Hotels* (Glow and Zinc Brands) (Thailand)
• AMAL Bank (Qatar)
• AXA Life (France)
• Bangkok Bank Pcl* (Thailand)
• Commercial Union Insurance (United Kingdom)
• Guardian Insurance (United Kingdom)
• International Finance Company* (Kuwait)
• John Hancock Insurance (U.S.A.)
• Krung Thai AXA Life (Thailand & France)
• Kuwait Holding Company (Kuwait)
• KGI Securities* (Thailand)
• QBE Insurance (Australia)
• Overseas Trust Bank (investigation) (Hong Kong)
• Standard Chartered Bank* (United Kingdom)
• UOB Radanasin Bank* (Singapore)
• Thai Military Bank* (Thailand)
• Bangchak Petroleum Pcl*(Thailand)
• Electricity Generating Authority of Thailand
• Green Earth Power (Myanmar)
• Indorama Polymers* (Thailand)
• Mermaid Maritime *(Singapore)
• Oil Optimisation Inc* (Canada)
• Oman Oil (Oman)
• Padaeng Industries Pcl* (Thailand)
• Solvay, (Belgium)
• Tethys Oil AB* (Sweden)
• Tethys Petroleum* (Canada)
• Thoresen Thai Agencies Pcl* (Thailand)
SOVEREIGN WEALTH FUNDS AND OTHER FUNDS
MEDIA, PUBLICATIONS, TELECOMMUNICATION AND E-COMMERCE
INDUSTRIALS AND MANUFACTURING
• ASK Indian Emerging Entrepreneurs Fund (India)
• Brooker Dunn Sukhothai Fund (Thailand)
• Dubai Group
• Istithmar World Group and its affiliates (Dubai)
• The Children’s Investment Master Fund (UK)
• Kuwait Investment Authority
• Government of Singapore Investment Corporation (Singapore)
• SCAPE (Student Housing)
• Business Online Pcl* (Thailand)
• Digital Onpa international Pcl* (Thailand)
• First Information Security, (UAE)
• Media Distribution Network, (GCC),
• Newscorp* (USA/Australia)
• NetSol Technologies*
• The Post Publishing (sale to South China Morning Post)
• SVOA Pcl* (Thailand)
• Calcomp Electronics Pcl* (Taiwan)
• China Security & Surveillance* (P.R.C.)
• Detergent Company, (GCC)
• Global Cement Capital Partners* (Brunei)
• Hana Microelectronics Pcl* (Taiwan)
• Jindal Ecosphere
• Nakornthai Stril Mill Pcl* (Thailand)
• Sahaviriya Steel Industries Pcl* (Thailand)
• Sanmar Group, (India)
• Symphony Environmental Technologies* (UK)
• TPI Polene Pcl* (Thailand)
• Loxley Pcl* (Thailand)
7
ENTERTAINMENT, FOOD AND BEVERAGE
SERVICES SECTOR
POWER, RESOURCES AND MINING
• Anheuser Busch (U.S.A.)
• Charoen Pokphand Group (Thailand)
• CG Foods Group (India/Nepal)
• Junoon, a NYC Restaurant Chain (Dubai)
• KarmaKafe (Dubai)
• Mahiki (UAE)
• Ramayana Water Park (Thailand)
• Depa Limited* (U.A.E.)
• Loxley Pcl* (Thailand)
• Citigold Corporation* (Australia)
• City Resources* (Hong Kong)
• Green Earth Power (Myanmar)
• Padaeng Industries Pcl (Thailand)
• Siam Metals (Thailand and Australia)
IN ADDITION, WE HAVE SOLD ASSETS AND BUSINESSES ON BEHALF OF OUR CLIENTS TO SIGNIFICANT INTERNATIONAL GROUPS,
SUCH AS…………
• Asia Pacific Wire and Cable Limited (Taiwan)
• AXA Insurance (France)
• Capital Z (Switzerland)
• HIH Winterthur International Holdings (Australia)
• Istithmar (UAE)
• IFA Hotels & Resorts (Kuwait)
• Koos Group (Taiwan)
• Lend Lease Global (Australia)
• National Mutual (Australia)
• News Corp (Australia/USA)
• NRMA Insurance (Australia)
• Prudential Insurance of the United Kingdom
• QBE Insurance (Australia)
• Quam Group (Hong Kong)
• South China Morning Post (Hong Kong)
AND SOLD THE FOLLOWING ASSETS AND COMPANIES ON BEHALF OF CLIENTS…………
• Brooker Group Pcl (Thailand)*
• Grande Assets Pc*(Thailand)
• Golden Land Pcl* (Thailand)
• Navakij Insurance Pcl* (Thailand)
• Padaeng Industries Pcl* (Thailand)
• Raimon Land Pcl* (Thailand)
• Safety Insurance Pcl* (Thailand)
• Seamico Securities Pcl (Thailand)*
• Thai Carpets (Thailand)*
• White Group Pcl (Thailand)*
,
*Denotes its shares are listed on a recognized stock exchange
8
THE MACCA TEAM
8
he MACCA Team Previous and Other Current Positions Special Achievements
- 15 - May, 2012
THE MAC CAPITAL TEAM
MANAGEMENT AND INVESTMENT BANKING
Team Members Previous and Other Current Positions Special Achievements
Robert W. McMillen
Chairman
Current: Chairman and CEO, MAC Capital Limited
Founder and Chairman, McMillen Advantage Capital Limited.
Chairman, Global Alliance Partners
Vice Chairman, MAC Sharaf Securities (UAE) LLC.
Director and EXCO Member, Brooker Group Plc
Independent Director and EXCO Member, Seamico Securities Plc.
Independent Director, several Asian based Fund Management Companies in the Quam Group Previous:
Country Head, Deutsche Morgan Grenfell, Thailand
Chairman of EXCO and Director, Raimon Land Plc.
CEO, Seamico Securities Plc., Thailand
Principal, Mergers and Acquisitions, Ernst & Young, Hong Kong
Senior Manager, Hambros Bank Limited, Sydney
Founder of MAC Group
Very senior corporate finance and broking professional.
Took Seamico Securities from US$7.5 million market capitalization (60 staff) to over US$280 million (600 staff)
Acquired Raimon Land for US$ 2.5 million and saw it grow to a market capitalization of over US$ 120 million (before arranging its sale to Istithmar and IFA).
Chartered Accountant (Institute of Chartered Accountants, in Australia)
Senior Positions in Europe, Australia, Asia and the Middle East
Lalida Rojanavasee
Director: Investment Banking
Current:
Director: Investment Banking, MAC Capital Limited, UAE
Director, MAC Capital Advisors Limited
Director, McMillen Advantage Capital, Hong Kong Previous:
Executive Vice President, Investment Banking, Seamico Securities PLC, Thailand
Manager: Investment Banking, General Finance and Securities PLC, Thailand
Strong history in corporate finance, particularly cross border M&A and IPO
Highly experienced in the development of new products and the technical aspects of Investment Banking
MBA (Drexel University, USA)
Bachelor Business Administration (Chulalongkorn University, Thailand)
Aamir Quraishi
Senior Vice President: Investment Banking
Current:
Senior Vice President, Investment Banking, MAC Capital Limited, U.A.E.
Director, Montpelier Holdings Limited Previous:
Montpelier Capital - Founder & Managing Partner
Libertas Partners LLP, Corporate Finance Director & Emerging Markets Representative (Dubai)
Libertas Capital Group Plc (London/Dubai), Managing Director Investment Banking
Dresdner Kleinwort Wasserstein (London), Vice President Corporate Finance & Advisory
Price Waterhouse (London), Manager Audit & Business Advisory
15 years of global investment banking experience, with over US$20bn of completed M&A and Capital Markets transactions.
Based primarily out of London with experience in Tokyo and since late 2007 in the MENA region.
Member of the UK Securities Institute and FSA registered as Corporate Finance and Investment Advisor.
Qualified nominated advisor (NOMAD) for LSE AIM Admissions from 2005-2009.
ACA qualified Chartered Accountant (Institute of England & Wales).
Economics graduate from Cambridge University.
Robert W. McMillen Chairman and CEO
Current:
• Founder, Chairman and CEO, MAC Capital Advisors Limited
• Founder and Chairman, McMillen Advantage Capital Limited
• Founder and Director, Global Alliance Partners
• Director and EXCO Member, Brooker Group Plc
• Independent Director, several Asian based Fund Management Companies in the China Oceanwide International Financial Group
Previously:
• Independent Director and EXCO Member, Seamico Securities Plc., Thailand
• Chairman and also Vice Chairman, Global Alliance Partners, Hong Kong
• Founding Director of Global Alliance Partners, Hong Kong
• Country Head, Deutsche Morgan Grenfell, Thailand
• Chairman of EXCO and Director, Raimon Land Plc., Thailand
• Chairman and CEO, MAC Capital Limited, UAE
• Vice Chairman, MAC Sharaf Securities (UAE) LLC., UAE
• CEO, Seamico Securities Plc., Thailand
• Director LV technology LLC, Thailand
• Principal, Mergers and Acquisitions, Ernst & Young, Hong Kong
• Senior Manager, Hambros Bank Limited, Sydney
• Founder of the MAC Group
• Very senior corporate finance and broking professional.
• Took Seamico Securities from US$7.5 million market capitalization (60 staff) to over US$280 million (600 staff)
• Acquired Raimon Land for US$ 2.5 million and saw it grow to a market capitalization of over US$ 120 million (before arranging its sale to Istithmar and IFA).
• Chartered Accountant (Institute of Chartered Accountants, in Australia)
• Senior Positions in Europe, Australia, Asia and the Middle East
• Substantial history of working with Middle Eastern Sovereign Wealth Funds
Lalida Rojanavasee
Director
Current:
• Director, McMillen Advantage Capital, Hong Kong Previously:
• Director, MAC Capital Advisors Limited
• Director, MAC Capital Limited, UAE
• Executive Vice President, Investment Banking, Seamico Securities PLC, Thailand
• Manager: Investment Banking, General Finance and Securities PLC, Thailand
• Strong history in corporate finance, particularly cross border M&A and IPO
• Highly experienced in the development of new products and the technical aspects of Investment Banking
• MBA (Drexel University, USA)
• Bachelor Business Administration (Chulalongkorn University, Thailand)
R M Sriram Director
Current:
• Director, MAC Capital Advisors Limited Previously:
• Chairman of the Board, Reliance Capital Asset Management ( UK ) – FSA regulated entity
• Senior Executive Office, Reliance Capital Asset Management ( DIFC ) – DFSA Regulated entity
• CEO, Reliance Capital Asset Management (UK) , Europe Middle East & Africa
• Founder CEO, Adventity Middle East & Africa - A joint venture between Dubai Group & Adventity
• Advisory Board – Reliance Wealth Management, Mauritius
• Senior Vice President & Area Director, Citibank NRI Business, Middle East
• Country Business Head - Wealth Management – BNP Paribas, India
• Head Global Strategic Initiatives – Citibank NA
• Regional Head, Western & Southern India – Lending Products – Citibank NA
• Over 20 years of Private Banking, Asset Management and Corporate Finance experience in the global markets
• Very strong corporate relationships in India, GCC and Africa
• Head of the largest business focused at the Global Indian Diaspora at Citibank and the United Arab Emrates
• Key note speaker on cross border investments for many years at the Middle East Funds Forum.
• Senior Positions in India, GCC, US
• Business Management Graduate
9
KEY CONTACTS
Person Contact Numbers Email
Robert W. McMillen +971 50 289 2938, +66 81 811 4351 [email protected]
Lalida Rojanavasee +66 81 813 6188 [email protected]
R. M. Sriram +971 50 659 3237, + 971 55 471 2916 [email protected]
MAC CAPITAL ADVISORS LIMITED
A BRIDGE TO THE WORLD FOR GROWTH ENTERPRISES
Registered Office
Hewanorra House, Trou Garnier Financial Centre, Pointe Seraphine, Castries, Saint Lucia
10
MACCA’s team has recently successfully concluded number of important transactions:
Establishment of Asian Focused
Direct Investment Fund
Establishment of a new direct
investment fund to take strategic
stakes in listed Asian Companies
Investors from Kuwait, USA, Europe,
the Pacific Islands and Asia all participated.
US$ 20 million
AUGUST 2006.
Raimon Land PLC
Sale of 300 million shares in Raimon
Land Plc., a Thailand based, listed property developer, to several GCC
based investors
THB 405 million
SEPTEMBER 2006
Grande Asset
Development PLC
Sale of significant interest in listed
company, selling further 13.8% of its paid-up capital to an affiliate of
Lehman Brothers.
THB 836.9 Million
JULY 2006
Grande Asset
Development PLC
Sale of 16.3% of Grande Asset.
(This led to a full take over offer for Grande Asset.)
THB 990.86 million
JULY 2006
MAC Capital Group
Established of a new stock broker in
the U.A.E., with seats on the Dubai Financial Market and the Abu Dhabi
Stock Exchange
AED 50 million
(including statutory guarantees)
JUNE 2006
MAC Capital Group
Establishment of a newly formed advisory and brokerage
group.
US$ 13.83 million
(Including capital increase)
JANUARY 2006
Raimon Land PLC
Sale of 52.86 % of the paid-up capital of Raimon Land Plc to
IFA Hotels and Resorts,
Istithmar Hotels and others.
THB 2.26 billion
DECEMBER 2006
Private Transaction:
On Market Take Over in Asia
On market acquisition of a
significant interest in a listed
financial services company in Asia.
US$ 18 million
APRIL 2007
Tethys Oil AB (public) Private
Placement of 4,800,000 shares and
960,000 free warrants at SEK 19.00
each
SEK 91.2 million
MARCH 2008
Establishment of a new investment
bank in the Dubai International
Financial Centre with a seat on the NASDAQ Dubai
US$ 5 million
NOVEMBER 2007
Private Placement of new shares with free warrants attached for this NYSE
listed company
US$ 10 million
JULY 2008
Appointed Market Maker to the
Company to the listing on the
NASDAQ Dubai
JULY 2008
Private Transaction:
Joint Venture in Dubai
Successful establishment of a joint
venture in Dubai between a Middle
East group and an Asian-based
interior design company.
Undisclosed sum
APRIL 2007
Leisure Canada Inc.
Private Placement of 10,000,000
new shares with 5,000,000 free
warrants attached
DECEMBER 2008
First Listing of a Chinese Company on the NASDAQ DUBAI
(Also first Chinese listing in the GCC
and first NYSE company listed on
the NASDAQ DUBAI)
US$ 450 million
October 2008
11
OUR TEAM’s MORE RECENT TRANSACTIONS (continued)
2009 to 2013
International Capital Raising
for the Toronto Stock Exchange Listed Oil and
Gas Company US$ 100 million
OCTOBER 2010
Tethys Oil AB (public) Block sale of shares
SEK 85.7 million
DECEMBER 2010
Private placement of
9.2 million shares at GBP 0.20 each
MAY 2011
Raimon Land PLC
Advised on Rights Issue of Warrants
THB 2,458,104,085 (when exercised)
MAY 2012
Symphony identified a product distributor for the People’s Republic
of China
JULY 2012
THE CHILDREN’S INVESTMENT
MASTER FUND AND
OTHER PARTIES
Sale of 24.8% of a listed property
company in Thailand for Baht 550.08 million
JANUARY 2010
Thailand Carpet Manufacturing Plc
Sale of 17.8 million shares of Thai Carpets For THB 241.8 million
MARCH 2013
Leisure Canada Inc.
Private Placement
of 1,000,000 new shares with
500,000 free warrants attached
MARCH 2009
Leisure Canada Inc.
Private Placement of 2,500,000 new shares
with 1,250,000 free warrants attached
JUNE 2009
Tethys Oil AB (public) Private Placement of
2,000,000 shares at SEK 20 each SEK 40 million
JUNE 2009
Citigold Corporation Ltd.
Private Placement of new shares for this ASX
and NASDAQ Dubai listed company
MARCH 2009
ALMAL BANK QFC
(QATAR)
Advisory
Preliminary advice and
feasibility study
OCTOBER 2009
Seamico Securities Plc
Sale of 26.88 million shares of Seamico Securities Plc for THB 38.98 million
SEPTEMBER 2012
Symphony identified a product distributor in
Saudi Arabia
FEBRUARY 2012
KARMA KAFE
Sale of entire interest in Dubai Operations to a
strategic investor USD 5 million
DECEMBER 2013
12
OUR TEAM’s MORE RECENT TRANSACTIONS (continued)
2013 to 2015
JUNOON NYC
Formation of a joint venture with a regional
investor to establish Junoon’s first
international operation USD 3 million
DECEMBER 2013
First Information
Security Provision of a Valuation
Opinion concerning
(Incorporated in Dubai)
Private Transaction
MARCH 2014
Oil Optimization Inc
Advised on Farm In 1 million Acre Project in Northern Thailand
(offer was arranged, not completed)
USD 2,340,000
MAY 2014
Zinc Hospitality
Identification of a Joint Venture partner to construct hotels in
East Africa, starting in Rwanda, Uganda and
Zambia
JUNE 2014
Continued to raise capital
for the ASK Indian Emerging Entrepreneurs Fund
JUNE 2014
Brooker Dunn Sukhothai Fund
Raised funds for Thai focused
Equity Investment Fund USD 567,000
2014
Mahiki
Structured Lending for
Middle Eastern Regional Expansion
USD 3,400,000 FEBRUARY 2015
Green Earth
Power
A Strategic Advisor to A Solar Energy Producer
of 240MW, Myanmar
2014 to 2015
Istithmar World Inc
Advised on an On-Market disposal of 6.71% of the issued capital of Padaeng Industries, a Thai listed
company. BAHT 303.99 MILLION
Thailand APRIL 2015
Ramayana Water Park
Strategic Advice on Pre-IPO Capital Raise
Baht 275 million
AUGUST 2015
Zig Zag Finance
Capital Raise for a
New Consumer Finance Company in the U.A.E.
AED 500,000
DECEMBER 2014
Istithmar World Inc
Advised on strategic sale of 15.01% of the issued
capital of Padaeng Industries, a Thai listed
company. BAHT 578.96 MILLION
Thailand APRIL-JUNE 2015
Country Group Holdings Pcl.
Strategic Advice on assets in Thailand
JULY 2015
Istithmar World Inc
Strategic Advice concerning a specialty
chemical asset in Hong Kong
JULY 2015
Istithmar World Inc
Strategic Advice concerning a hospitality
asset in Thailand
JULY 2015
13
OUR TEAM’s MORE RECENT TRANSACTIONS (continued)
2015 (continued) and 2016
UNITED ARAB
EMIRATES
Acquisition and Selection of
Operator for the Steinberger Hotel in Dubai
USD 150 million
2015
Moon Iron and Steel
Company
Capital raise for new Steel Mill in Oman
USD 30 million
2015
Brooker Dunn
Sukhothai Fund
Raised funds for Thai focused
Equity Investment Fund USD 206,504
2015
LONDON
Acquisition of five-star hotel site in London
Sum not disclosed
2015
Advice on structure and formation of Senior Living
Baht 150 million Equity
January 2016
The introduction of a Swedish Partner
Baht 25 million
April 2016
NEW WORLD
FINANCIAL
HOLDINGS
ASSET
MANAGEMENT Equity Placement as part
of an overall USD 8 million raise
USD 100,000 June 2016
Equity Placement to new Australian Strategic
Partner and other high net investors
at Baht 1,000 per share Baht 100 million
June 2016 to Feb 2017
Equity Placement to new Thai Strategic Partner
at Baht 1,000 per share
Baht 83.25 million
August 2016
NOVO Pharmacy
United Arab Emirates Growth Capital
USD 5 million
August 2016
Advice on Restructuring and
entry into the Waste to Energy Sector
November 2016
UNITED ARAB
EMIRATES
Debt Restructuring Large Regional Real
Estate Company
USD 25 million
September 2016
Sale and Lease-back of Staff Accommodation
for a regional Real Estate Developer
AED 85 million October 2016
14
OUR TEAM’s MORE RECENT TRANSACTIONS (continued) 2017 and 2018
GREEN EARTH
ENERGY
Further advice on Funding
(Co-Advisor)
May 2017
NEW WORLD
FINANCIAL
HOLDINGS
Second Equity Raise
USD 75,000
June 2017
Placement of a Convertible Debenture (with Baht 2,000 per
share conversion price)
Baht 100 million
July 2017
Advice on the Acquisition of 30 MW Operating
Solar Power Assets in Thailand
USD 38 million
September 2017
Placement of 50 million new shares in the
company at Baht 2,000 per share.
Baht 100 million
October 2017
Structured a Line of Credit
for a rapidly growing Retail distribution in the
GCC
AED 50 million
October 2017
Developed an Africa market entry strategy for a world leader in
Textile manufacturing equipment
October 2017
Completed a structured finance transaction for
Ayurvedic Wellness Centre in India INR 50 million
October 2017
Country Group
Developments Pcl Placement of
50 million existing shares at Baht 1.70 per share
Baht 85 million March 2018
Capital raising of Baht
74,923,408 In the issuance of 18,568,000 shares
and issuance of Baht 37,427,408 of convertible bonds April & May 2018
Student Housing
The introduction of a
Middle Eastern Sovereign Wealth Fund, raising AUD 100 million
in committed Funds
May 2018
Advised on the sale of 100% of the equity of
Lifetrendz Electronics and Lifestyle
Products Distribution Company, Dubai
May 2018
Sale of Existing Shares in
Sunplay Asia
Baht 2.8 million
September 2018
Placement of Convertible Bonds
Baht 80 million
October 2018
Bill of Exchange Arrangement
Baht 100 million
November 2018
15
OUR TEAM’s MORE RECENT TRANSACTIONS (continued) 2019 and 2020
Sale of three luxury
condominiums in Thailand
Baht 144,841,483
February 2019
Placement of Convertible Bonds
Baht 40,024,000
January & May 2019
On Market Sale of 9.90 % of
existing shares
HK$ 92,969,337
April 2019
Private Placement of 15,456,900 new shares
and 10,000,000 warrants
GBP 1,930,000
July 2019
Arrangement of BE With Thai Financial
Institution
Baht 100,000,000
November 2019
Placement of BE’s
Baht 78,000,000
January 2020