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Wakabayashi Fund LLC Overview 2011

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TheWakabayashiFund

OverviewWakabayashiFundLLC.,aprivateequityfamilyfundwithofficesinTokyo,JapanandNewYork,NY,providescorporatecapitalizationandinstitutionalinvestorrelationsconsultingservices.WakabayashiFundmayinvestonaprincipalbasisandacts inanagencycapacity toprocurecapital forbothprofitableandemergingsmall‐capandmid‐capcompanies,identifyinginstitutionalfundingsourcesforitsclientsandfurtherdevelopstheinvestorrelationsactivities.Wakabayashi Fund is committed to providing our clientswith an uncompromising level of service to assist them inrealizingboththeirimmediateandlong‐termobjectives.Webelievethesuccessofanyorganizationliesintheabilitytoeffectivelyexecutethebusinessplanateachstageofdevelopment,andourroleistoassistincompletingthebusinessplangoals.Corporatedevelopment,corporategovernance,shorttermandlongtermfinancing,institutionallydrivensponsorship,businessdevelopmentandmanagementconsultingservicesareourareasofexpertise.

OVERVIEW

Fromtimetotime,numerousownersandmanagersofsmallbusinessesconsidertheoptionofsellingallorpartoftheircompaniesforcapitalprocurementpurposes.Theybecomeanxiousabouthavingmost,ifnotall,oftheirnetworthatriskinthebusiness.Amultitudeofconcernsoftenconspiretomakethempostponetakinganyaction.Theyworrythattheymightnotgetthemaximumpriceiftheysellnowandmoreimportantly,theysensethattheyarenotfinishedwiththeirwork.Thebuilderinthemwantstokeepexpandingthebusiness,notjusttocreategreatervaluebutalsotosatisfytheinnateentrepreneurialurgetoenlargethevision.Succinctly,thedesireistopreservetheiraccumulatedwealthandkeepbuildingforthefuture.WakabayashiFundhasdevelopedaspecialtyinassociatingwithsuchownersandmanagersandhelpingthemresolvetheconflictbetweentheirpersonalfinancialgoalsandtheneedsofthebusiness.WakabayashiFundmayinvestonaprincipalbasisandactsinanagencycapacitytoprocurecapitalforprofitablesmall‐cap andmid‐cap companies.Wewill also entertain unprofitable companies that are close to break‐even or EBITDApositivestatus.Weattempttostructureafinancingsothatownersandmanagerscontinuetoleadtheirenterprisesandparticipate in therewardsof futuregrowth,whileat thesame timeachieving the liquidity todiversify theirpersonalholdingsandfundthenextroundofcompanyexpansion.Wehelpbuildvaluebyworkingwithprofessionalmanagersandentrepreneurs toachieve liquidity, to implementoperating improvements for thebusinessesand torealizeshort

Guiding principles

Clear policies

All with the same philosophies, visions and

goals

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andlongtermstrategicandfinancialgoals.WakabayashiFund’sgoal is toprovideorarrange for liquidityandprivateequitycapital formanagersandownersofcompanies with revenues of $500,000 or more. We will also review smaller capitalized companies and view eachtransactiononitsunderlyingmerit,casebycase.Weprovideseniormanagementandoperatingexperience inavarietyof industrieswiththe financialand investmentknow‐howofprivateequityprofessionals. Webringtoaportfoliocompanysophisticatedfinancialacumencombinedwith valuable operating insight. We afford experience in building companies alongwith a history and lengthy trackrecord in raising capital and providing short‐term liquidity. Additionally,wewould like to think of ourselves as anongoingassetforownersandmanagers,providingthemwithassistanceandinstructionsinthefollowingareas: Marketmakingassistanceandsupportindealingwithbroker/dealers “Buy‐side/Sell‐side”coverage Corporatedevelopmentstrategy Incorporatingbestpracticesfromotherindustries MakingtheintroductionsthathelpcompaniesgrowandsucceedWakabayashiFund’sprincipalshavesuccessfullyinvestedinawiderangeofindustrieswithparticularfocusonbuildupandconsolidations. Ourobjective is toprovideshort/ long term liquidityandrecapitalizecompanies incooperationwithprofessionalmanagement,therebybuildinglong‐termvalue. Ourpreferenceisforprofitablecompaniesorthosethat possess trajectory technologies. Additionally, at the other end of the spectrum, we are drawn to basicmanufacturing,serviceanddistributionbusinessesinfragmentedindustrieswheretechnologydevelopmentisnotthekeyrequirementforsuccess.TheaforementionedcriteriapermitWakabayashiFundtoinvestandprocurecapitalinabroadcross‐sectionofcompaniesandindustries.WakabayashiFund isdedicated toassistingmanagersandowners inachieving their financial,operatingand liquiditygoals.Weaccomplishthisbyworkingcloselywithaportfoliocompanyto: Developstrongrelationshipswithalllevelsofmanagement Setstrategicandoperatingobjectiveswithmanagementandtheboard Addtoshareholderbase,thuspotentiallyaddingtoliquidityandincreasedmarketcapitalization Incorporatemarket‐makersupportbothretailandwholesale Facilitateandintroduceindustryexpertsandappropriateoutsideresourcestomanagement AssistwithacquisitionsandothercorporatefinanceneedsThrough extensive operating and venture capital investing experience, we have access to a network of contacts inprofessionalorganizationsandfinancial institutionsthatareoftenusefultotheclient. Ourfinancialnetworkincludesotherventurecapitalists,privateequity,hedgefunds,bankers,asset‐basedlendersandinvestmentbankingfirms.

SMALLCOMPANYFOCUS

Thereareasubstantialnumberofsmall‐capandmid‐capmarketcompanies in theUnitedStatesaswellasoff‐shore.Manywere foundedseveraldecadesagoandnow theownersor their childrenwant to liquefy theirholdings. Someexpect to cash out completely while others plan to sell a portion for company cash needs. Unfortunately, for theseownersandmanagers,smallcompaniesdonotnecessarilyenjoythe liquidityandreadyaccesstothecapitalmarketsthat their larger counterparts do. Fewer buyers are interested in these smaller transactions and many of thesecompanies aremanaged inways thatmake them less attractive to outside investors. Commercial bank financing isusuallyavailabletosmallconcernsinlimitedamounts,butitoftenrequiresthepersonalguaranteeoftheprincipals.Asaresult,companiesofthissizemustrelychieflyontheirowner’scapitaltosupporttheirgrowthandmakeacquisitionsor capital expenditures. This dependence frequently conflicts with the principals’ desire to take capital out of thebusinessaftermanyyearsofinvesting.Anumberof internal factorscanalsoaffectthevalueofsmallcompanies. Becauseoftheirsize, theymaylackstrongfinancial controls and information systems, depth of management and geographical reach. Their status as Sub Scorporations,whilebeneficialintermsoftaxtreatment,maymeantheydonothavestandardcostsystemsorbooksthat

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conformtogenerallyacceptedaccountingprinciples.Moreover,theprincipalsmaybehesitanttoassumetheadditionalrisksofmakingacquisitions,addingproductlines,expandingproductioncapacityorinvestingincapitalequipmentandsystems.

PORTFOLIOCOMPANY

ThetypeofClientCompanywechoosetoalignourselveswithwillbeabletocreateandsustainitsmarketpositionwithsuperiorproducts,services,coststructuresand/orproprietaryskillsofitsemployees.Atypicalcompanyweinvestinorprocurecapitalforhasthefollowingqualities: Revenuesof$500,000ormoreandoperatingcashflowof$100,000ormore(wewillentertainsmallercriteria) Dedicatedandcapablemanagerswillingtotakestepsnecessarytoimprovethevalueoftheirbusiness Aleadingmarketpositionandavaluablefranchise Predictablecashflowsandopportunityforgrowth Lowexposuretotherisksoftechnologicalobsolescence Identifiable opportunities to enhance financial performance by improving growth, operatingmargins and capital

efficiency

FINANCINGTYPES

Investments take a variety of forms ranging from straight equity, hybrid, or debt. All of our principal and agencytransactionsinvolveasignificantdegreeofequityparticipation,whichiscommensuratewiththeriskandisessentialtoachievingourobjectiveofcapitalappreciation.Ourtransactionsfallwithinfourgeneralcategories:ExpansionFinancingRapidly growing companies usually require outside capital to fund their growth. Adequate bank financing is oftenunavailable,andsecondarypublicofferingsmaybepremature. WakabayashiFundprovidescapital fromanagency/principalbasistosupportgrowthandimprovegrowingcompanies’accesstofinancingfrombanksorotherinstitutions.EarlyStageFinancingWakabayashiFundprovidescapitaltoearlystagecompanieswithinnovativeproductsorservicesandstrongpotentialfor rapid growth. Such companies shouldhave strong indicationsof customerdemandanda seasonedmanagementteamthatcanquicklyandefficientlyproducesignificantsalesandearnings.ManagementBuyoutsManagers who have the opportunity to acquire businesses usually need outside capital and financial expertise tocompletesuchtransactions.WakabayashiFundmayassistinprovidingtherequiredequitycapitalaswellasleadershipinorganizingadditionalfinancing.RecapitalizationsOwnersofsmall‐capandmid–capcompaniesoftenneedliquiditybutdonotnecessarilydesiretoselltheircompanies.Wakabayashi Fund organizes and arranges financing recapitalizations to provide liquidity and address the financialissuesfacingownersofsuchbusinesses.

ARRANGINGFINANCING

Writtencommunicationisthebestwaytocontactusinitially. Afteracursoryreviewanddiscussionofyourbusiness,wecanprovidean indicationofhowwemightwork together. If theopportunity isnotalignedwithour investmentinterests,wemaybeabletoreferyoutootherfinancialsources.If,ontheotherhand,theopportunitymatchesourinterests,wewillwanttospendtimewithcompanymanagementtogainathoroughunderstandingofthefollowingareas: Featureofyourproductserviceandspace Marketstrategy Characteristicsofthemarketservedandcompetition Expansionplans

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Managementteams Financialdata‐historicalprojections UseoffundsThe time required to complete a financing/increased liquidity including initial screening, due diligence, legaldocumentationandclosingvaries,butcangenerallybeaccomplishedwithinweek

WAKABAYASHIFUNDRESOURCES

WakabayashiFundmaintainsrelationshipswithalargegroupofequityinvestorswithwhomwemayco‐investandalsowith lenders who can provide senior and subordinate debt. The firm enjoys established relationships with a largenumber of commercial banks, venture capital firms and hedge funds and has extensive experience structuring andmanagingequityanddebtfinancings.Notonlydowedraw fromourprincipals’direct experiencebutalsoonan extensivenetworkof relationships in theindustry.Thefirmcanbringconsiderableresourcestobearonbusinessproblems‐resourcesthatarerarelyavailabletosmallcompanies.The firm is committed to generating superior returns for company owners and management teams by building onstrategic, operating and financial expertise of the principals. Once a transaction is executed, Wakabayashi Fundmaintainsandagreedupon involvementwith theportfolio companiesand theirownersandmanagers,keepingclosetrackoffinancialperformanceandstrategicprogress.

INVESTORRELATIONS

Asoneof43,000+publiclytradedcompanies,youknowthatstockisasvaluableaskeypersonnelorgreatideas.But,often,afirm’sstockremainshiddenoroverlookedbybrokers,marketmakersandfinancialanalysts.ItisWakabayashiFund’sInvestorRelationsmissiontobringyourenterprisebeforetheproperinstitutionalaudiencewhile,atthesametime, bracketing out any market vagaries that might hinder raising capital, commencing acquisitions or increasingvisibility.Mostofourcustomersarefoundinthesmall‐capandmid‐capsectorsandtheytendtobeundercapitalizedandshowlowperformancein liquidityandvolumewhiletrading. Theyarenotcloselyfollowedbytheprofessional investmentcommunityand,almostalways,thereisverylimitedsell‐sideanalyticalcoverageandretailmarketmakingsupport.Tobringaclient into thespotlightWakabayashiFund introducescompanyrepresentatives tobothsell‐sideandbuy‐sideanalysts. Further introductionsaremade toretailbrokers,marketmakersand largercorporate financeentities.Theseactivitiesarebolsteredbydirectcontactwithfundmanagers,telephony,newsreleases,e‐mailandfaxcampaigns,Internet presence and road shows. Over the past 25 years,Wakabayashi Fund has compiled a database of personalcontact information for over 48,000 broker / dealers in corporate and branch offices, venture capital firms, privateequity,mostdomesticandoffshorehedgefunds,registeredmarketmakersandtraderswithintheOTCcommunity.Throughvertical integrationWakabayashiFunddeliversutility inmanyareasbothonandoff thebalancesheet. Ourconstantobjectiveistomaximizeaclientcompany’sshareholdervalueandweneverwaiverfromthisonepurpose.

INSTITUTIONALRELATIONSHIPS

Our entire premise is based on established relationships and our reputation for consistently delivering relevantinformationandinsight.Ourextensivedatabaseistheproductofoureffortsoverthelast25years.We develop and maintain personal, one‐to‐one contact with each person / institution within our database. ThecontinuouscultivationofourinstitutionalrelationshipspositionsWakabayashiFundasastrategicandusefulresource‐andkeepsourclientsontheradarscreensofinfluentialdecisionmakersonaconsistentandongoingbasis.Weaspiretodevelopcustomizedcampaignsinperfectalignmentwithourclients’objectivesthathelpincreasevisibilityandresearchcoverage,buildandaugmentinstitutionalownershipandgeneratehighertradingvolume.

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Our philosophy is based on solid financial experience integrated with investment research and strategic marketing.Using a coordinated and customized approach, we strive to create long‐term relationships with shareholders andprospectiveinvestors. Wediscoverandthendisseminatehighlytargeteddetailedreportstokeyinstitutionalcontactswithintheprofessionalinvestmentcommunityconsistingofpensionfunds,hedgefunds,privateequity,venturefunds,securitiesanalysts(buy‐side/sell‐side),stockbrokersandinstitutionalinvestors.Utilizingestablishedrelationships,weinspireinvestmentinterestandgeneratequantifiableresults.

 

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WakabayashiFundLLCManagement

                                  

 

Tadaharu Wakabayashi, Chairman / Director / Co‐Founder 

Janette Dillerstone, CEO / Director/ Co‐Founder 

Technology / Marketing / IR  Institutional Sales, Private Equity  Administrative / Compliance 

William Dillerstone, CIO / Director

Dexter Daran, Chief Technology Officer 

John Castillo, Sr. VP Institutional Sales  

Accounting

Shruti Khurana, President  Institutional Sales 

Mhervie Claire Castillo, Sr. VP Business Development Asia 

Bernadeth Daran, Blog Editor  Koji Hanazawa, Sr. VP Institutional Sales

Cherrie Tongko, Business Development Manager 

Tim Bergquist, Researcher / Writer 

Paul Pintor, Sr. VP Institutional Sales

Michelle Perillo, Sr. VP Institutional Sales Hiroshi Sakuma, CPA, Accountant, Advisory Board

Mercy Serapio, Translator 

Jacque Tongko, Sr. VP Institutional Sales

Mahesh Shah, Sr. VP Institutional Sales

Tom Eck, Sr. VP Institutional Sales

David Van Vort, Sr. VP Institutional Sales

Curtiss Parker, Sr. VP Institutional Sales

Johannes Woelders, VP Institutional Sales

Joseph Choi, VP Institutional Sales

Bhaskar Singh Negi, VP Institutional Sales

Ric Perillo, VP Institutional Sales 

John Harter, VP Institutional Sales

Yeshwant Trasi, VP Institutional Sales

Jeff Kusumoto, VP Institutional Sales 

Mike De Kleer, VP Institutional Sales

Joseph Ede, Sr. VP Institutional Sales

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Ourfirmisaglobalnetworkofofficesandpracticeslednotbyoneperson,butbyourpartnershipgroup.Wearenotacorporationtiedtoearningspressures,butafirmfreetotakealong‐termperspectiveonissueslikeexpansionandclientservice.Leadershipinthefirmisnotaboutrisingabovetherest,buthelpingothers–ConsultantsandClients–toexceedtheirownexpectations;Weareallequal.Impact,Reach,InfluencearedirecttracestotheWakabayashiFund’svision,energy,relentlessdeterminationandourselflesscommitmenttoourclients. 

 

TadaharuWakabayashiChairman/Director/Co‐Founder/PhilanthropistMr. Wakabayashi establishes and maintains client relationships with clients of WakabayashiFundLLC.FormerlyDirectorandCo‐OwnerofMiyukiHotelsandRealEstatethroughoutJapan,Mr.Wakabayashiaffiliationswithnumerouscivicandcharitableorganizationsandcommitteeshavebeenproventhroughhisphilanthropicactivitiesandsponsorship.InSeptember2009,Mr.WakabayashiwasappointedastheAmbassadorofOkinawafromtheChuraIslandsinOkinawa.Mr.WakabayashiholdsaBachelor’sDegreeinInternationalBusiness,BankingandFinancefromMeijiUniversity,Tokyo,Japan.HeisfluentinJapaneseandEnglish.HeresidesinTokyoandhismostenjoyabletimeisspentwithhisgrandchildren,TylerandMadeleineDiller‐Stone. 

 

JanetteDillerstoneCEO/Director/Co‐Founder/PhilanthropistJanetteDillerstoneisoneoftheinitialco‐foundersofWakabayashiFundandisresponsibleforthefund’smarketingandtradingaswellasoriginatingnewinvestments,providesanalyticalandstrategicsupport,researchanalysisandMarketing/IRonallindustrysectors.Sheisresponsibleforallmarketingatthebrand,product,industry,serviceandfieldcontentlevelaswellasbeingresponsible for the delivery / execution of marketing plans / content and ensuring that allprogramsinterfacesmoothly.JanetteDillerstonewasformerlyDirectorofMarketingandPublicRelationsforGiorgioArmaniand Simint Inc., Italy / USA. With her background inmarketing and public relations and herfluency in seven languages (English, Japanese,Mandarin, Taiwanese, Spanish, Portuguese, andsemi‐fluentinCantonese,ArabicandFarsi),shehasrepresentedsomeofthefollowing:TheU.S.ChamberofCommerceattheWorldFashionTradeFairTheUnitedStatesBoardofCosmeticSurgeonsthroughoutAsiaandLatinAmerica

 

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TheUnitedNationsasinterpreterforChineseTradeandCommerceDirectorofTradeExpansionbetweenBrazil,FranceandtheUnitedStatesonbehalfofPresidentF.CollorDeMello(Brazil)andPresidentFrancoisMitterand(France)DirectorofPublicRelations–ChamberofCommerce,Westport,CTJanetteDillerstonehasserved/servesontheboardandcommitteesorisamemberofthefollowing:AmnestyInternational,JapanChapterFounderofInvestinJapanJuniorLeagueofFairfieldCountyJuniorLeagueofLaJollaYoungWomen’sLeagueScrippsInstituteofOceanographyCornellUniversity’sBakerInstituteFundRaisingCommitteeChairmanandDirectorofLaCasaDeLaEsperanzaOrphanageinMexicoAdoptaDogOrganization,GreenwichCTADirectorandhonorarymemberoftheWestportTeenYouthCommissionHonoraryLifetimeMemberofWIZO(Women’sInternationalZionistOrganization)forherexemplarycontributingeffortstowomenandchildreninneedShewasappointedasanomineeforthe2007InternationalAsian‐AmericanLeadershipAwards.Ms.DillerstonevolunteersinfundraisingandmarketingwithvariousorphanagesandfostercareprogramsthroughoutJapanandAsia. 

 

WilliamTylerDiller‐StoneChiefInformationOfficer/DirectorMr.Diller‐Stone’sbackground,groundedinIT,webmarketingandresearch,includestraditionalandinternetmarketingexperiencewithawidevarietyofsectors.Mr.Diller‐StonemanagestheIT /WebMarketing forWakabayashi Fund.Hehas extensive experiencewithwebsite design,analysis,functionality,e‐commerceandprofitablebusinessrelationshipswithclients.HespeaksEnglishfluentlyandsemi‐fluentinGermanandJapanese.HeobtainedhisMastersofInformationSystemsManagementfromCarnegieMellonUniversity;BachelorsofScienceinInformationSystemsfromCarnegieMellonUniversity.

 

DexterV.DaranChiefTechnologyOfficerMr. Daran’s primary responsibilities are overseeing website marketing and ecommercedevelopment for all clients. Additional responsibility is call center management for ourproprietary call center based in Manila, Philippines. Mr. Daran has experience in call centermanagement for many large companies including HSBC. Mr. Daran is fluent in English andTagalog.HemanagesalladvertisingforWakabayashiFundLLCaswell.Mr.DaranreceivedhisB.S. inBusinessAdministration,DelaSalleUniversity/CollegeofSaintBenilde.

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ShrutiKhuranaPresident,InstitutionalSales(International)Mrs. Khurana’s primary responsibility forWakabayashi Fund, LLC. is business development /InstitutionalSalesinternationally.Additionally,shehelpsleadourmarketingagendaforthefirm.Mrs.ShrutihasdeepinternationalmarketingskillsthatshebringstoWakabayashi.Formerly,Mrs.ShrutiwastheMarketingManagerforIMINorgrenHerionPvt.Ltd.,amotionandfluidcontroltechnologyfirmforvariousindustrysectors.PriortoIMINorgren,shewasapartofthe global graduate programme of IMI plc., whereby, she undertook various marketing andprojectmanagementrolesandinitiativeswhileplacedinPoland,China,USandIndia.IMIplc.isadynamic,globalcompanyprovidingengineeringsolutionstoitscustomersworldwide.Ms. Khurana has received her Professional Diploma in Marketing, Chartered Institute ofMarketing(CIM),UK;BachelorsinBusiness&ManagementStudies,UniversityofBradford,UK;Advanced Diploma in Business & Management Studies from the Management DevelopmentInstituteofSingapore 

 

KojiHanazawaSeniorVicePresident,InstitutionalSales(Asia)/BusinessDevelopment(Japan)Mr. Hanazawa’s principal activity with the firm is head of Asia’s Business DevelopmentOperations.Mr.Hanazawahasspentover30yearswithMitsubishipriortojoiningWakabayashiFundLLC. His rolewithMitsubishiwasexpansiveentailing leadingoneof theworld’s largesttradingconglomeratesexpansionefforts tomanyoverseas countriesandwaschargedwithallfinancial analysisandcorporate financeactivity. Mr.Hanazawabringsawealthofmanagerialexperienceandasubstantial internationalnetworkofcontacts toWakabayashiFundLLC. Mr.HanazawaisfluentinEnglishandJapanese.HereceivedhisB.A.inCommercefromKeioUniversity,Tokyo,Japan 

  

JohnCastilloSr.VicePresident,InstitutionalSales/AccountingMr.Castillo’sprincipalresponsibilityisBusinessDevelopmentwithinAsia.HeoverseesInstitutionalSalesaswellasresearchandanalysisincludingbusinessevaluationandcorporatefinance.Mr. Castillo has a deep experiencewithin the global banking andmarketing industrythroughoutthePacificRimfromhisyearsattheBankofthePhilippineIslandsandBPIBankinthe Philippines. Based in our Tokyo office, Mr. Castillo’s principal objective is heading theaccountingdepartment,institutionalsalesandbusinessdevelopmentforthefirm.HeisfluentinEnglish,Tagalogandsemi–fluentinJapanese.Mr.CastilloreceivedhisB.S.inBankingandFinancefromPolytechnicUniversityofthePhilippines.

 

MhervieClaireCastilloSr.VicePresident,BusinessDevelopment,Asia/InstitutionalSalesMrs. Castillo is a seasoned business operation professional with experience implementingeffectivecommunicationsandmarketingtotheAsianmarket.Shespecializedinoverseeingthetransferofintellectualpropertyportfoliosbetweencompaniesandconductingnecessaryduediligenceactivities.SheisfluentinEnglish,JapaneseandTagalog.Mrs.CastilloreceivedherB.S.inBankingandFinancefromPolytechnicUniversityofthePhilippines.

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PaulPintorSeniorVicePresident,InstitutionalSales(NorthAmerica)Mr.Pintorbringsover25yearsofindustryexperiencetoWakabayashiFund,LLC. Mr.Pintor’sexpansivecareerentailsInvestmentBanking,RealEstateandOilandGas.Formerly,Mr.PintorwasanOSJBranchOwner‐OperatorforMorganSpauldingSecuritiesandworkedasaSeries7,22and63RegisteredRepresentativeforLaJollaCapital.Mr. Pintor’s primary responsibilities are largely skewed to business development throughoutNorthAmerica. Furtherresponsibilitiesaredirectedtonegotiatingtransactionsandcorporatestrategy.

 

MichellePerilloSr.VicePresidentBusinessDevelopment/InstitutionalSalesMs. Perillomanages operations andprovides overall support to theWakabayashi FundTeam.She is responsible for program launches, competitive positioning and client presentationmaterial.SheisfluentinEnglishandTagalog.Ms. Perillo received her B.S. in Business Administration in Business Management from thePhilippineSchoolofBusinessAdministration. She is actively involved innumerous charitableorganizationsandcommitteesinthePhilippines. 

 

JacqueTongkoSeniorVicePresident,InstitutionalSalesMs. Tongko’s primary responsibilities include new client lead generation. Ms. Tongkoworkswith theExecutive teamwithclients fromstartups to leadingglobal teams. Ms.Tongkohasasubstantialbackgroundinmanagingin‐bound/out‐boundinternationalcallcenters.Previously,sheworkedwithMellonInvestorServicesasanInvestorRepresentativeandananalystwithUSAirways.SheisfluentinEnglishandTagalog.Ms.TongkoreceivedherB.S.inTourismatABEInternationalCollege. 

  MaheshShahSeniorVicePresident,InstitutionalSalesMr.Shahbrings20yearsexperiencetoWakabayashiintheareasofbusinessdevelopment,auditandtaxandcorporatefinanceacumen.Hehasattainedbottom‐lineprofitabilityforcompaniesthroughoutNorthAmerica,EuropeandtheMiddleEast,workingbothautonomouslyaswellindynamic teamenvironments.Maheshhasdeepexperienceandknowledge in thepublic listingprocessforcompaniesontheNYSE,NASDAQandS&P500aswellasMerger’s&Acquisitions.Previously,Mr.ShahhasownedandoperatedHighPoint,LLC.,aBusinessofFinanceConsultingfirm.PriortoHighPoint,LLC.,heworkedasCFOforInfoSystems,Inc., intheU.S.andBombayand was chief accountant for Howard Johnson, Dubai UAE. Throughout the later part of the1980s till 1995, he served as Internal Auditor for Khimji Ramdas, Muscat, Oman, a businessimport/exportcompanywithover$1BUSDinsales.Mahesh’sprimaryresponsibilityisbusinessdevelopment/institutionalsalesforEuropeandtheMiddleEast.Mr.ShahreceivedhisBachelorofCommercefromMumbaiUniversity,India,HeisamemberoftheInstituteofCharteredAccountantsofIndia/CPACertificationinprocess.

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TomEckSeniorVicePresident,InstitutionalSales(West&SouthernAfrica)Mr. Eck brings expertise in operations’ due diligence and risk management to WakabayashiFund.HehasextensiveexperienceinriskmanagementinWestAfricawithinternationalcreditratingagenciesandmultinationalfinancialinstitutionswhospecializedinprovidingservicestosmall‐mediumsizecompanies.HeisbasedinGhanaandhisprincipalresponsibilityisbusinessdevelopment/institutionalsalesinWestAfricaandSouthernAfrica.HisprincipalobjectiveistosourcedealsfrompubliccompanieslistedonthestockexchangesinSub‐Sahara and also work as placement agent. He is fluent in English and currently learningFrench.Hestudiedpublicrelationsandmultinationalcorporate financeandcurrentlyhe isanonlinestudentofCharteredAlternativeInvestmentAnalyst(CAIA)ofUSA.

  DavidVanVortSeniorVicePresident,InstitutionalSales/InvestmentBankingMr.VanVortbringsover30yearsof corporate financeand InvestmentBankingexperience toWakabayashi Fund. His primary areas of concentration are deal structure and placementemphasis. Currently, Mr. Van Vort is President of Capital Group Advisors, Inc. a privateinvestmentbankingnetworkwithofficesandaffiliatesintheUSA,CanadaandAustralia.Hehasadvised numerous companies on going public, securing funding, and post trading mediacampaigns to secure further investor attention. More recently, he ran a 200 man privateplacementfundinggroupthatraisedfundsforEuropeancompaniesseekingtogopublicintheU.S.A. 

  CurtissParkerSeniorVicePresident,InstitutionalSalesMr. Parker brings a wealth of 25 years of experience within the Investment Banking arena.Previously,Mr.ParkerwasManagingDirectorofBearSternsCo.andprior toBearSterns,Mr.Parker was associated with Donaldson, Lufkin & Jenrette and Lehman Brothers, both, as acorporateofficer.Mostrecently,Mr.ParkerwasapartnerattheBostonGroup. 

JosephEde SeniorVicePresident,InstitutionalSalesJosephEdebringsadeepinternationaltrackrecordtoWakabayashiFundLLC.HehasconsistentlydeliveredmeasuredprofitabilitybyidentifyingoperationalimprovementsforFortune500companies,includingTyco,SimplexGrinnell,SunTrust,Swatch,Nestle,TetraPakandRJReynolds.Previously,hewasV.P.FinanceAsiaforSwatchGroupAsia,Hongkong,Singapore.Theworld’slargestmanufacturerandsellerofbrandedfashion,luxurywatchesandjewelry.Mostrecently,Mr.EdewasCFOforSafemarkSystems,USA&China.PriortoSafemark,hewasemployedwithResourcesGlobal&CRCResults,LosAngeles‐Big4CPAconsultingfirmsasSeniorProjectManager.PriortoSwatchGroup,hewasChiefFinancialOfficerforR.J.ReynoldsInternationalinRussiawhereby,hewaschargedwiththeturnaroundofR.J.Reynoldsvariousbusinessinvestments.BeforeR.J.Reynolds,HewasGeneralManagerandFinancialControllerforNestleCompaniesInternational,Uzbekistan,Pakistan,ChinaandMalaysiaandalsoworkedasFinanceDirectorforTetraPakinSwitzerland,England,TurkeyandtheCzechandSlovakRepublics.Education: Doctorate,Major:CorporateGovernanceBusinessSchoolLausanne,

Lausanne,Vaud,Switzerland MasterofBusinessAdministration‐Management AdvanceInstituteofManagement,Nyon,Vaud,Switzerland FluentinFrench,English,German,conversationalChineseandSpanish

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JohannesWoeldersVicePresident,InstitutionalSalesMr. Woelders comes to Wakabayashi Fund as a recent Master graduate student from theUniversityofTwente,Enschede,andtheNetherlandswiththecompletionofhisMSccourse inBusinessAdministration‐MBA.Hisprimaryresponsibility isbusinessdevelopmentthroughoutEurope.Hebringscompleteacumeninfinancialanalysisandeconometrics.HeisfluentinDutch,Englishandsemi‐fluentinGermanandJapanese.Mr. Woelders received his MBA at the School of Management and Governance, University ofTwente, Enschede, the Netherlands. He received his BSc in Business Administration at theSchool of Economics andBusinessAdministration, VUUniversityAmsterdam,Amsterdam, theNetherlands. 

 

JosephChoiVicePresident,InstitutionalSalesMr.ChoibringsanextensivetrackrecordofsuccesswithintheBankingIndustry–successfullyoriginating loans and structuring financing for public and private companies globally. HisprimaryareaofconcentrationforthefirmisbusinessdevelopmentthroughouttheU.S.andAsia.Previously,Mr. Choiwas employedwithUnionBank of California, V.P. BusinessDevelopmentOfficer,CaliforniaBank&Trust,MissionOaksNationalBankandCommerceBankofTemeculaValleyasV.P.BusinessDevelopmentManagerandcorporateofficerwhichledtostructuringandlaunching of the banks SBA department. Mr. Choi received his B.A. from the University ofCalifornia,Irvine.

 

BhaskarSinghNegiVicePresident,InstitutionalSalesMr.Negibringsaconfluenceofindustryexpertisetothefirm.Mr.NegihasbeeninvolvedinthecapitalmarketsandanalyticalsideofthebusinessandpartnerofFortuneCapitalServices.Hisprimary concentration with Wakabayashi is institutional sales and business developmentthroughoutIndia,AsiaandNorthAmerica.Mr.NegireceivedhisB.E.(Electronics&CommunicationEngineer)fromG.B.PantEngg.CollegePGDM,T.A.PaiManagementInstitute  

 

RicPerilloVicePresident,InstitutionalSalesMr.Perilloworkswiththeexecutiveteamhandlingallrules,regulationsandcompliancepoliciesoftheWakabayashiFundLLC.HehasextensivemanagerialexperienceinHumanResourcesandAccounting/Payroll.Mr.PerillostudiedattheUniversityofManilawithanemphasisonHoteland Restaurant Management. Mr. Perillo has an extensive and successful history in HotelManagement.HeisfluentinEnglishandTagalog. 

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JeffKusumotoVicePresident,InstitutionalSalesMr. Kusumoto’s primary responsibility withWakabayashi Fund LLC is business developmentwith a primary concentration within the South Korean and Japanese markets. Jeff brings asignificant operating and management history to Wakabayashi Fund. He has served inmanagerialrolesoverthepast15yearswithcompaniesAppleJapanK.K., Intel JapanK.K.,andToshibaCorporationJapan.Mr.KusumotoisfluentinEnglishandJapanese.Mr.KusumotoattendedtheUniversityofCalifornia,SantaCruzandeventuallyreceivedhisBAinInternationalEconomicfromtheInternationalChristianUniversity,TokyoJapan.

YeshwantTrasiVicePresidentofBusinessDevelopment,IndiaMr.Trasibringsawealthofconsultingexperience&venturecapitalprivateequityexperiencetoWakabayashiFundLLC.Mr.Trasi’sdemographicconcentrationisinIndia.Yeshwanthashands‐onseniormanagementandboardlevelcumulativeworkexperiencespanning41yearsprovidingstrategies to execution in various functional disciplines in a multitude of sectors. Mr. Trasi’sresponsibilities will be Business Development for India. Mr. Trasi holds a number ofdistinguishedandprofessionaldesignationsalongwithCertifiedManagementConsultant/CMC,alsoaUnitedNationsconsultantandFreelanceDevelopmentJournalistandEditorialcontributorfortheUnitedNationsandhasalsoservedasaU.N.SpecialHumanRightsReporter.

  JohnHarterVicePresident,InstitutionalSalesJohnHarterbringstoWakabayashiFundextensiveInvestment,Banking,tradingandconsultingexperience. His primary area of concentration is institutional sales – business developmentthroughout North America as well as negotiating transactions. John was previously anInvestmentBankeratDrexel,Burnham,Lambert&Co.aswellasSr.V.P.FirstBoston.Also,Mr.Harter was National Sales Director for Sears and Roebuck and Managing Director, La JollaArbitrage,LaJolla,CA.Mr.HarterreceivedhisB.S.inBusinessManagementfromOhioUniversityandhisMBAfromAshlandCollege(AshlandOhio)

 

MikeDeKleerVicePresident,InstitutionalSalesMr.DeKleerbringstoWakabayashiFundexperienceinInvestmentBankingandcurrencytrading.HealsohasadepthofexperienceintheHRIndustrywithpostgraduatequalificationsinHumanResourceManagement.HewaspreviouslyemployedwithMonacoSecuritiesLtd.andTokiwaInvestmentsCo.(Tokyo).HisprimaryareaofconcentrationisInstitutionalSalesthroughoutAsiaandNorthAmerica.HeisfluentinJapaneseandEnglish.Mr.DeKleerreceivedhisPostgraduateDegreeHumanResourcesManagement,MurdochUniversityBusinessSchoolandBachelor’sDegreefromMurdochUniversity.

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BernadethDaranBlogEditorMrs.DaranbringsadeeplevelofskillsettoWakabayashiFundLLC.TheprimaryconcentrationistodevelopourmarketingandcommunicationagendaforWakabayashiFund’sclientsovertheinternet through blogging and story journaling coupled with website optimization for clientpressreleases.Mrs.Daranhasauthoredabook,“Simplified,ExemplifiedAlgebra,”andisalsoaMathematicsProfessorfortheUniversityofMakati.Mrs.DaranhasreceivedherMaster’sinMathematicsfromDeLaSalleUniversity;MasterofArtsinInstructionalMediaandDesignfromtheUniversityofMakati;MasterofScienceinTeachingMathematics from the Ateneo de Manila University; and a BS in Math for Teachers from thePhilippineNormalUniversity.

CherrieLynnTongkoBusinessDevelopmentManagerMs.Tongko’sprimaryresponsibility forWakabayashiFund isglobalbusinessdevelopment forthe Institutional Sales group ofWakabayashi Fund, LLC. Her areas of concentration is largelyconveyedtoEnglishspeakingnationsand isoneofWakabayashiFund,LLC.’s leadingbusinessdevelopmentmanagers.Ms.TongkoreceivedherB.S.inComputerInformation,AMAComputerCollege

TimBergquistConsultantMr.BergquistbringstoWakabayashiFundastronglevelofmarketingandwebdevelopmentanddatabasemanagement experience. His primary focus ismarketing, research and e‐marketingapplicationsforourportfoliocompanies.Mr.BergquistreceivedhiseducationfromWarrenWilsonCollegeinNorthCarolina.

HiroshiSakumaCPA/Accountant/AdvisoryBoardMr. Sakuma manages all accounting, payroll, bookkeeping and tax services for WakabayashiFund LLC. He was previously employed by NEC Corporation, Arthur Andersen, Coopers &Lybrand,SmithBarneyInternationalInc.andSalomonBrothersAsiaLTD.Mr.Sakumaownsandoperateshisowncompany,TheSakumaCPAOfficeandACOutsourcingCo.Ltd(Tokyo,Japan).Mr.SakumaisfluentinEnglishandJapanese.