SmarterMoney + Maximize Impact + Maximize Return. Impact Across Asset Classes. April 29-30, 2014 Union League Club of Chicago.
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1 April 29-30, 2014 Union League Club of Chicago SmarterMoney + Maximize Impact + Maximize Return Impact Across Asset Classes Presented by Carr Clifton
2 THIS IS NOT AN OFFERING OF SECURITIES. SUCH AN OFFER MAY ONLY BE MADE IN COMPLIANCE WITH DISCLOSURE AND DELIVERY REQUIREMENTS UNDER APPLICABLE SECURITIES LAWS AND WILL BE LIMITED TO PRESCRIBED CATEGORIES OF INVESTORS. THESE DOCUMENTS ARE CONFIDENTIAL AND FOR INFORMATIONAL PURPOSES ONLY. DO NOT FORWARD THIS INFORMATION TO ANY OTHER PERSONS WITHOUT THE WRITTEN CONSENT OF THE SPONSORS. THE SPONSORS OF THIS PROGRAM BELIEVE THE INFORMATION CONTAINED HEREIN IS ACCURATE BUT WE HAVE NOT INDEPENDENTLY VERIFIED ANY INFORMATION AND DO NOT UNDERTAKE TO UPDATE ANY INFORMATION CONTAINED HERE. PLEASE CONDUCT YOUR OWN DUE DILIGENCE. THE MATERIAL CONTAINS FORWARD LOOKING STATEMENTS. NOTHING HEREIN SHOULD BE INTENDED AS GUARANTIES OF FUTURE PERFORMANCE. ANY FUTURE PERFORMANCE OF ANY COMPANY DISCUSSED HEREIN IS SUBJECT TO MANY RISKS, UNCERTAINTIES AND ASSUMPTIONS THAT ARE DIFFICULT TO PREDICT. SECURITIES OFFERED THROUGH INTELLIVEST SECURITIES, INC. MEMBER FINRA SIPC. THE SPONSORS OF THIS EVENT HAVE ATTEMPTED TO LIMIT ATTENDANCE TO ONLY THOSE WHO HAVE QUALIFIED AS ACCREDITED INVESTORS UNDER REGULATION D PROMULGATED BY THE SEC UNDER THE U.S. SECURITIES AND EXCHANGE ACT OF 1934 AND WHO ALSO QUALIFY AS ENJOYING THE REQUISITE LEGAL PRE-EXISTING RELATIONSHIPS AS MANDATED BY US SECURITIES LAWS. IF YOU HAVE NOT BEEN INVITED TO THIS EVENT, PLEASE LEAVE NOW AS YOU ARE TRESPASSING. NOTWITHSTANDING ANY LANGUAGE CONTAINED HEREIN TO THE CONTRARY, THE PURPOSE OF THIS EVENT IS EDUCATIONAL WITH RESPECT TO PROVIDING INFORMATION ABOUT THE EMERGING CLEANTECH AND IMPACT INVESTING INDUSTRIES AND IS NOT DESIGNED TO SELL SECURITIES OR INVESTMENTS. IF ANY ATTENDEE AT THIS EVENT ENTERS INTO A RELATIONSHIP WITH ANYONE MET AT THIS EVENT, INCLUDING, WITHOUT LIMITATION, ANY PRESENTER, AND REGARDLESS OF THE NATURE OF THE SUBSEQUENT RELATIONSHIP, INCLUDING, WITHOUT LIMITATION, AS CUSTOMER, SUPPLIER, LENDER, INVESTOR, EMPLOYEE, INDEPENDENT CONTRACTOR, THE ATTENDEE DOES SO AT HER OR HIS OWN RISK AND YOU MUST DO YOUR OWN DUE DILIGENCE AS WATERSHED CAPITAL LLC, INTELLIVEST SECURITIES, INC. AND THEIR EMPLOYEES, AFFILIATES, AND AGENTS ARE IN NO WAY RESPONSIBLE FOR ANY LOSS SUFFERED BY YOU IF THE RELATIONSHIP DOES NOT WORK OUT. THE SPONSORS OF THIS EVENT ARE NOT ENDORSING ANY PRODUCTS OR SERVICES THAT ARE DESCRIBED IN THE ADVERTISEMENTS CONTAINED HEREIN. OUR RESPONSIBILITY IS LIMITED TO PROVIDING A COMFORTABLE FORUM FOR YOUR EDUCATION AND ENTERTAINMENT AT THIS EVENT. YOUR ATTENDANCE AT THIS EVENT IS YOUR ACKNOWLEDGEMENT OF THE FOREGOING. THANK YOU FOR ATTENDING.
3 Impact Capitalism Summit Chicago AGENDA AT A GLANCE Tuesday, April 29 12:00pm Registration Opens Lobby 12:45pm Coffee and Dessert Buffet Opens 1:30pm Welcome & Opening Keynote Remarks Paul Thanos, Director Office of Finance and Insurance Industries, U.S. Department of Commerce Liesel Pritzker Simmons, Co-Founder and Principal, Blue Haven Initiative 2:00pm Asset Class 1: Private Equity Panel This panel explores the world of private equity funds that have impact. Panelists discuss the current status and trends of the sector including emerging sectors, deal structures, and new GP models. 2:50pm Networking Break 3:10pm Asset Class 2: Private Debt Panel This panel explores the world of private debt vehicles that have impact. This is a dynamic asset class as people can structure private transaction that reduce risk and provide current returns. 4:00pm Asset Class 3: Public Equities Panel This panel will consist of leading public equities fund managers exploring the current trends in the sector. This area has begun to gain more attention as pension funds and endowments consider various divestment strategies and positive screening strategies. 5:00pm Cocktail Reception 6:30pm Private Dinners Attendees will self-organize dinners in the city. There will be 5 groups that will be organized. If you would like to be a part of one of these groups, please ask for details at the registration table. Off site 4
4 Impact Capitalism Summit Chicago AGENDA AT A GLANCE (continued) Wednesday, April 30 7:30am Networking Breakfast 8:30am Asset Class 4: Direct Deals Panel Direct investments is a hot topic. Hear from family offices with experience in investing in direct deals. Topics such as structuring, due diligence, and exits will be covered. 9:20am Asset Class 5: Public Debt Panel This panel explores the world of public debt vehicles that has impact. Panelists discuss the current status and trends of the sector. Many investors are interested in fixed income products that have impact. This panel will delve into the various areas of impact and the current landscape. 10:10am Networking Break 10:30am Fund Manager & Company Presentations This session will include 10 presentations from fund managers and companies that represent investment opportunities across asset classes and represent SmarterMoney. 12:15pm Lunch & The Data Is In Over the past year, there have been a number of reports that have been published showing how impact investing portfolios are realizing financial returns that are competitive with traditional investment portfolios. During lunch, hear from experts doing research in this area. 1:30pm Family Office Trends & Perspectives This panel will provide an excellent capstone to the Summit. The panel will include family offices and advisors that have successfully deployed capital for impact and return across asset classes. 2:30pm Foundation Trends & Perspectives Impact Investing offers interesting opportunities for foundations to use investable assets to further their mission while still building upon their asset base. This panel will include leaders in the foundation world merging investment strategies with grant making initiatives to further their foundations missions. This area is one of the most innovative sectors in Impact Investing. 3:30pm Closing Remarks 5
5 Welcome Dear Participants, On behalf of Watershed Capital Group, it is our pleasure to welcome you to the 1st Annual Impact Capitalism Summit at the Union League Club of Chicago. You are participating in a landmark event, the first national gathering to take a portfolio approach to Impact Investing focused on institutional investors deploying capital across asset classes for return and impact. The idea for the Summit evolved from a series of regional Impact Capitalism Circles organized by Watershed Capital starting in 2011 and held in San Francisco, Philadelphia, Charlotte, Atlanta, Portland, and Seattle. These half-day events brought together family offices, foundations, and other institutional investors to discuss how to maximize return and impact across asset classes. The high interest level in the Circles warranted a national gathering. This year's conference draws attendance from leading family offices, foundations, global wealth investment firms, investment advisors, fund managers, government, companies and service providers who make up the growing ecosystem of the Impact Capitalism community. The Summit will represent one of the largest gatherings of investable assets focused on Impact Investing in the world. The focus of the Summit will be on SmarterMoney + : Maximize Impact + Maximize Return. The conference program is built around three components. The first is a set of panels around five key asset classes Public Equity, Public Debt, Private Equity, Private Debt, and Direct Investments. There will also be panels specific to family offices, foundations, and recent research in the space. Finally, attendees will hear from ten fund managers/companies across the five asset classes. This Summit provides a rich environment for learning as well as business development opportunities with peers. The purpose of the event is educational with respect of providing information about the Impact Investing sector and is not designed to sell securities or investments. Welcome to the Summit. Sincerely, Shawn Lesser Co-Chairs, Impact Capitalism Summit Michael Whelchel 6
6 About the Organizer OVERVIEW: Watershed Capital Group is a specialty consulting firm assisting sustainable companies and fund managers seeking solutions including raising capital and executing M&A transactions and in evaluating strategic financial options. Watershed s clients include entrepreneurs, companies, and fund managers scaling sustainable solutions that lead to competitive advantages and long-term value creation. A new model of value creation is emerging deploying capital in strategies that leverage the inherent link between natural, social and financial capital. strategies that leverage the inherent link between natural, social and financial capital. The global move toward sustainability represents one of the most attractive investment opportunities of our era. In the face of increasing resource scarcity and growing global demand for these resources, sustainable strategies are enabling differentiated competitive advantages that lead to long-term value creation. Watershed s clients are entrepreneurs, companies, and fund managers scaling sustainable solutions. EXPERIENCE: With over 100 years of experience and over seventy-five engagements, Watershed partners are committed to assisting its clients achieve success and scale a sustainable economy. Each partner has domain knowledge in multiple industries, in both operational and financial capacities making Watershed one of the most experienced teams in the sector. Specific industry sector experience includes: organic foods, renewable energy, energy efficiency, media, water, sustainable ag and aquaculture, green consumer products, manufacturing, industrial technologies, recycling, bio-plastics, advanced lighting, green building products, transportation and environmental services. The Watershed team brings a diverse set of functional backgrounds to clients including private equity, venture capital, investment banking, securities law, and operational management. NETWORK: With an exclusive focus in the sustainable/impact sector, Watershed Capital Group represents one of the most comprehensive global networks of companies, funds and institutional investors focused in this sector. Watershed Capital Group maintains a reputation as an innovator in the sustainable sector launching and developing several initiatives. Some of these initiatives are the Five Fund Forum, Impact Capitalism Circle, and the Global Cleantech Cluster Association. These activities have given Watershed Capital Group one of the broadest networks in the industry. Watershed is also proud to be a founding B Corp member. Michael Whelchel Shawn Lesser Aaron L. Enz Lydia Miller Managing Partner Managing Partner Partner Managing Director michael@watershedcapital.com shawn@watershedcapital.com aaron@watershedcapital.com lydia@watershedcapital.com (828) (404) (415) (773) Securities offered through Intellivest Securities, Inc., Member FINRA/SIPC 8
7 Michael Whelchel Co-Founder & Partner Michael has sixteen years experience financing, acquiring, selling, growing, and operating small and middle market companies. His experience has included start-ups and later-stage companies in a range of industries. He has played key roles in the early stages of two investment firms both focused on middle market companies. In these roles, he has managed the full investment process including sourcing, deal structure, due diligence, negotiations, financing, portfolio management, sales on the exit, and fund raising. He received his BA summa cum laude, Phi Beta Kappa from the University of the South in Sewanee, TN and received a joint MBA and MEM (Master of Engineering Management) from the Kellogg School of Management, Northwestern University. Michael is a board member of SJF Institute and Investors Circle and is a member of the Social Venture Network and Net Impact. Shawn Lesser Co-Founder & Partner Shawn has over eighteen years experience in the financial advisory sector. Prior to cofounding Watershed Capital Group, Shawn founded the investment bank, Sustainable World Capital, which assisted cleantech companies raise capital from European institutional investors. Shawn has been Co-Head and Managing Director of the international equity teams at Morgan Keegan and at Deutsche Bank. He received his BS in Finance from Syracuse University. Shawn has traveled extensively in Europe and is conversational in both German and Spanish. He co-founded the Impact Capitalism Circle, and the Impact Capitalism Summit, the Global Cleantech Cluster Association, and the Five Fund Forum. He speak at events around the world on the topic of Impact and Sustainable Investment. He also partners with the US Department of Commerce to do the 1st Impact and Sustainable Trade Mission to Europe. Aaron Enz Partner Aaron has twelve years of experience in investment banking, corporate finance and private capital markets spanning more than 50 transactions across a wide variety of industries. At his prior firm, he helped build one of the most highly regarded, boutique investment banks serving middle market companies in California and he conceived and developed the firm s emerging cleantech practice. Aaron has extensive experience and domain knowledge within cleantech and sustainable sectors encompassing: water, energy efficiency, wind, solar, waste to energy, industrial technology and sustainable products. He received a joint degree in economics and mathematics from Western Washington University and a Masters of Business Economics from the University of California at Santa Barbara. He is a Chartered Financial Analyst (CFA), and a member of the Security Analysts of San Francisco. Aaron if fluent in German and conversant in Portuguese and Spanish. Lydia Miller Managing Director Lydia brings over twenty years of experience in portfolio management, asset allocation, and risk management to Watershed Capital Group. Over the course of her career, she has held multiple leadership positions, most recently serving as Managing Director of UBS Global Asset Management. Lydia was an early investor in Emerging Markets with a successful track record, investing for both high net worth clients and institutions including major corporate, public and central bank accounts. Her investment expertise includes Socially Responsible Investment (SRI) portfolios with a sustainable energy and agricultural focus. 9
8 She graduated summa cum laude, from the Pennsylvania State University with a BS in Education and went on to earn her MBA from the University of Chicago. Additionally, Lydia is a member of The Forum for Sustainable and Responsible Investment (US SIF), has served as a guest lecturer and sustainable investment expert for graduate and undergraduate business classes, and serves on the Board of Governors for Opportunity International, a microfinance organization. Dan Kolber Dan Kolber is President of Intellivest Securities, Inc. Intellivest Securities is Watershed Capital's FINRA broker dealer. Dan has over 25 years experience as a securities attorney and a member of the Georgia, Florida, New York and Virginia Bars. His education is as follows: New York University School of Law, Ll.M., 1981; University of Virginia School of Law, J.D., 1978; and Boston University, B.A., 1975, magna cum laude. He has experience in raising capital in exempt and registered offerings, representing securities broker-dealers and registered investment advisors in all areas of compliance and regulatory matters, and representing clients in securities arbitration and mediation proceedings. In addition, Dan has experience as and is currently on, the Chairman Arbitration and Mediator rosters for FINRA (formerly the National Association of Securities Dealers). Jordan Bebee - Due Diligence Leader Jordan has over nine years of combined experience in private equity and venture capital fund fundraising and public accounting. At Thomas Capital Group, Inc., a boutique placement agent headquartered near Seattle, WA, Jordan held a variety of responsibilities including: new business research, development and due-diligence; sales and marketing material production; and sales and marketing support and facilitation. He also served as co-head of the firm s finance department. Prior to joining Thomas Capital Group in 2007, Jordan worked as a senior auditor at Moss Adams LLP in Seattle, specializing in hedge funds, RIAs, broker-dealers, specialty finance firms and the broader financial services industry. He graduated magna cum laude from Linfield College with a B.A. in Accounting and a minor in Philosophy. He co-captained the men s soccer team for two years and was honored as an NSCAA All-American and NSCAA All-American Scholar. Jordan holds a retired CPA license. Linda Truong Marketing, Client Relations Linda has over five years of experience in the energy sector doing research, business development, marketing and event strategies. Prior to Watershed, Linda was associate director of business development for a research company covering the sectors of clean technology and renewable energy. She received her BComm in finance from the Haskayne School of Business at the University of Calgary. 10
9 Thank you to all of our Sponsors! Media Sponsors Carr Clifton
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