Stonegate Capital Partners

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2 Stonegate Capital Partners 40 year track record of successfully working with public companies and institutional investors Our Business Stonegate Capital Partners SCP is dedicated to serving the needs of small-cap public companies Our robust institutional outreach effort is the foundation of our firm, and a core aspect of our success Our affiliate, Stonegate Capital Markets SCM (Member FINRA) provides a full spectrum of services including equity research, sales and trading, investment banking and capital markets advisory services Our firm is based in Dallas, TX Services provided Equity Research 2 Capital Markets Advisory Retail and Institutional Outreach Small cap companies have unique needs - increased liquidity in the stock, higher institutional ownership, attracting additional research coverage, access to capital and a stock valuation that truly reflects a company s potential. Stonegate is structured to assist our client companies in meeting those needs. Scott Griffith Co CEO Stonegate Capital Partners

3 Equity Research We seek to find well-managed companies that represent both value and growth opportunities for retail and institutional investors Our equity research is broadly distributed to both retail and institutional investors Institutional Retail Media Social Media 3 Our equity affiliate, SCM (Member FINRA) distributes research to institutional investors SCP distributes research to retail, media and social media

4 Investment Banking Securing the capital you need and building your institutional shareholder base Long history of raising equity capital through our affiliate, Stonegate Capital Markets (Member FINRA) PIPE s, CMPO s, Overnights, Registered Directs We can fulfill any roll in a financing Lead manager, co-manager or financial advisor Seeding the market Stonegate can assist in making initial institutional introductions well in advance of an offering resulting in broader distribution and more favorable pricing Deep Down, Inc. $8,000,000 Selected Transactions HUGHES Telematics, Inc. $15,400,000 May 2010 World Energy Solutions, Inc. $5,000,000 April 2011 Lannett Company Inc. $16,250,000 December 2010 Co-Agent Co-Agent Azure Dynamics Corp. 4 Our agenda is our clients agenda Our objective is to assist our clients in obtaining the best terms with the highest quality investors, regardless of our role in a financing $30,000,000 December 2009 Co-Agent Other transactions on Stonegate Capital Markets web site

5 Capital Markets Advisory We provide a wide range of services for our clients offering one seamless solution We have leveraged Stonegate s long history of providing research, sales and trading, investment banking and institutional relationships into a robust institutional outreach program Stonegate s core strength is building and managing retail and institutional ownership Our Capital Markets Advisory team can assist in a full array of a company s traditional communications needs We design a specific program to satisfy the company s objectives and focus on the tangible deliverables for our clients. Our background of providing research, trading and Investment Banking differentiates Stonegate from traditional IR firms. Institutional Investor Outreach: Institutional targeting Institutional meetings (NDR s) Building and managing institutional ownership Corporate Communications: Message development Target industry conferences Quarterly conference call coordination Shareholder perception survey Managing IR website Press releases Fielding investor calls Attract additional sell side coverage Complete outsource of IR function Public relations Casey Stegman Director of Capital Markets Advisory Stonegate Capital Partners 5

6 Institutional Outreach Our sales team communicates to a large universe of institutional investors Force Our institutional salesman are project oriented and incorporate a team approach Trading commissions is not Stonegate s business model our salesman are salaried and are not seeking commissions 6 Over 2,000 Institutional Relationships Mutual funds - Hedge funds Pension funds - Family offices Proprietary database - powerful tool to screen for highly targeted funds Maintain daily dialogue with the premier small cap institutional investors Focus is Building Institutional Ownership Proper targeting coordination and logistics of NDR s prompt follow up, investor feedback and reports to company maintain ongoing dialog with the funds Stonegate s IPO style road-show process allows a company to gain instant exposure to the institutional investor community. Preston Graham Head of Stonegate Capital Partners

7 Our Team We commit significant resources to each client relationship Scott Griffith Co CEO Jesse Shelmire Co CEO Casey Stegman Director of Capital Markets Advisory Preston Graham Director of Institutional Sales & Trading Greg Colvin Managing Director of Equity Capital Markets Dan Trang, MBA Vice President & Senior Research Analyst Laura Engel Research Analyst Dana O Leary Advisor Equity Capital Markets Sarah Engel Advisor Public Relations Robert Blakely Jr, MBA Managing Director of Equity Capital Markets Tom Baker Advisor Capital Market Advisory Janine Zanelli Advisor Capital Market Advisory Eric Weiner Marketing & Corporate Access Justin Martin Shane Martin Patrick Noonan Kevin Latta Nick Collins Sean Frost Juany Castillo Corporate Services Rhenée Rogé Chief Compliance Officer 7

8 Summary Dedicated to serving the needs of small-cap companies and building institutional ownership Experienced small cap specialist with an established track record Provide high quality equity research distributed to both retail and institutional investors Team oriented sales force with over 2,000 institutional investor relationships Stonegate is structured to meet the needs of small cap companies Stonegate s core strength is building and managing institutional ownership Our Capital Markets Advisory team can assist in a full array of a company s traditional communications needs 14

9 Stonegate Capital Partners 8201 Preston Road; Suite 325 Dallas, TX