Dragon Gate Investment Partners

October 2011

Specialized IR For US-listed Chinese Companies

龙门财经——打造全方位的美国投资者关系

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The State of US-Listed Chinese Companies

中国公司在美国的基本表现

Chinese companies are attracted to US exchanges mostly for the prestige and brand recognition of the NYSE and the NASDAQ names. However, Chinese companies have been rocked by a wave of events and fraud allegations that have led to dozens of suspensions and de-listings from US exchanges.

纽约证券交易所和纳斯达克的声誉吸引了中国公司到美上市融资。然而，中国公司也因为一系列的诈骗指控受到质疑甚至退市的遭遇。

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PE

IPO IR

谁在抛售公司股票，导致股价跳水？

A Common Mistake?

为什么股价下跌？

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Why Public Company Need IR?

为什么上市公司需要维护投资者关系？

IPO前给金融顾问,会计公司,法律顾问股票好过现金 (X)

原因：你无法掌控这些公司如何处理股票，如果他们大量 抛售， 将对公司股价造成严重影响

机构投资者太聪明不好沟通，直接找私人投资者 (X)

原因：1）个人投资者通常对市场不了解，不会轻易投资， 他们只会购买机构投资人已经认可的股票；2）机构投资 者通常会有非常庞大的个人投资者数据库

Why Choose Dragon Gate?

为什么选择龙门财经？

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Senior Level Financial

Communication Staff

管理人员具有丰富的

美国资本市场经验

One Source for All

IR Service

一站式服务

Affordable Price

合理的定价

Fast Turnaround

Responsive Service

快速反馈

广泛的市场资源

Great Market Resource

Competitive

Strength

核心竞争力

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I. Great Market Resource

I. 广泛的市场资源

Our Partnership With Organizations

我们的机构合作关系网

Our Partnership With Investment Banks

我们的投行合作关系网

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Our NYC based team includes:

CFA’s, MBA’s, investment bankers, media personnel

Memberships held in:

National Investor Relations Institute (NIRI)

The New York Society of Security Analysts (NYSSA)

Asian Financial Society

Relations with:

Harvard Investment Group

The China Chamber of Commerce, New York

China Council for International Investment Promotion

Our Partnership With Organizations

我们的机构合作关系网

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Our Partnership With Investment Banks

我们的投行合作关系网

Professional Team Overview

专业团队简介

Board members

董事会成员介绍

II. Senior Level Financial

Communication Staff

II. 管理人员具有丰富的美国资本市场工作经验

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Strong Professional Team

专业金融团队

Senior level professionals and

diversified financial experts

Long standing relations with hedge

fund managers, bankers, and financial

regulators

CFAs and MBAs

骨干团队成员在纽约华尔街工作多年 为特许金融分析师(CFA)或工商管理硕

士(MBA) 深谙美国市场体系及各类工商政策 与市场监管机构、投资银行与对冲基

金的高层人员保持紧密的商业往来

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Robert Schechter (罗伯特 谢克特) Board 董事

Robert Schechter has, since 1981, provided public and

investor relations services to NYSE, AMEX and NASD

corporations. As Senior Associate at one of the nation’s

largest investor relations agencies, and as President of a

specialized corporate communications firm, he has

helped clients to raise over $800 million.

自1981年以来,罗伯特谢克特致力于为美国公司提供公共关

系以及投资者关系管理的服务。这些公司大多数是在纽约证券交易所、美国证券交易所和纳斯达克的上市公司，也有一部分客户是私人公司，其中包括世界顶级的杠杆收购公司 Charterhouse Group International。在过去的20多年

中，罗伯特曾经作为全国最大的投资者关系机构的资深顾问，以及一些中小型公司的投资企业代表，帮助企业融资超过8亿美元。

Our Board

管理团队

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Lijie Zhu(朱丽洁) Board 董事 Lijie Zhu is a member of the National Investor Relations

Institute (NIRI) and the CFA Institute, also leads a

career development program for the New York Society

of Securities Analysts (NYSSA). She has ten years

working experience in the financial and media industry

in America, Europe and Asia. 朱丽洁女士是特许金融分析师协会(CFA Institute)的会员，并担任纽约分析师协会FCC系列讲座的监制。她曾经是

英国耆卫保险公司驻伦敦的信用分析师、以及美国沃福好证券交易公司驻纽约的市场分析师。她也曾在中央电视台、《中国新闻周刊》等多家媒体工作，并且在中国、英国、美国三个国家的媒体发表过金融评论。在过去的几年间，她曾经到清华大学、香港中文大学、浙江大学、华东师范大学、以及华南师范大学作有关教育基金管理的特别报告。

Our Board

管理团队

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Experience: Our Selected Client List

经验：部分客户名单

Pharmaceutical & Health Care 医疗

WA: A private company offering Traditional Chinese

Medicine and biotechnology healthcare solutions

Kun Run Biotechnology Ltd: engages in

manufacture and sale of polypeptide medicines

Cyanotech Corp: biotechnology company identifies

and grows microalgae for use as components in a

variety of high value products including specialty

chemicals, nutritional additives, pharmaceuticals

and cosmetics.

Royce Laboratories: generic pharmaceutical

development and manufacturing.

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Technology 科技

Chadmoore Wireless Group, Inc.: national leader in

providing SMR (Specialized Mobile Radio) communications,

providing a high quality reliable, cost-effective alternative in

wireless communications in 180 US markets in 41 states.

China Fire & Security Group, Inc.: through its wholly owned

subsidiaries, is engaged primarily in the design,

development, manufacture and sale in China of a variety of

fire safety products for the industrial fire safety market and

the design and installation of industrial fire safety systems in

which it uses its own fire safety products.

Kiwa Bio-Tech: develops, manufactures, distributes and

markets innovative, cost-effective, and environmentally safe

bio-technological products for agricultural and natural

resources and environmental conservation.

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Environnement, Alternative Ennery, Waste Management

环境能源

Alternate Energy Holdings Inc.: develops and markets

innovative clean energy sources.

American Disposal Services, Inc.: a rapidly growing

regional, integrated, non-hazardous solid waste services

company that provides solid waste collection, transfer and

disposal services.

Prins Recycling Corporation: owned and operated, in

Boston, one of the country's largest and most efficient

materials recovery facilities (MRF).

Universal Solar: a developer of silicon ingots, wafers and

high efficiency solar photovoltaic modules

Kimmins Environmental Services: solid waste

management, hazardous waste remediation, construction

and demolition materials recycling.

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Manufacturing 制造业

ASD Group, Inc.: provided comprehensive contract

manufacturing and engineering services and sophisticated

design services to original equipment manufacturers.

Magnetic Technologies, Inc.: a developer, manufacturer

and assembler of precision magnetic, electronic and

mechanical devices

Steel of West Virginia, Inc.: custom design and

manufacture of special steel products

Osmotics Corporation a private cosmetic skincare

company was the first to apply transdermal patch

technology to the delivery of antioxidants for repairing skin

wrinkles.

PolyMedica Industries, Inc. developed, manufactured and

distributed health care products domestically and

internationally.

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Distribution 分发

Tech Data one of the largest national and international

wholesale distributors of computer equipment.

Watsco distribute and service air-conditioning equipment

throughout the Southern and Western United States

Restaurant 餐馆

Noble Roman's Pizza a proven restaurant concept filling a

market niche with 76 stores in Indiana.

Miami Subs multiple location, moderate priced restaurant

Consumer Product 消费品

Jan Bell Marketing manufacturer and marketer of jewelry

and watches.

Institutional Investor Targeting 潜在投资者锁定计划 Our Work Flow 我们的工作流程

Services Introduction 服务详细介绍

III. One Source for Every IR

Service You Need

III. 一站式服务

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Institutional Investor Targeting

潜在投资者锁定计划

协助公司有效地提升资本市场的竞争优势及资

本市场知名度

开展有效地资本市场行销活动，针对性引进合适公司目前发展阶段的机构投资者

提炼精准的公司投资亮点，增强投资吸引力

协助有效运用公司高阶管理层的时间和资源投入与重点投资者的直接

沟通

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专注：专注于投资者关系战略咨询领略耕耘，良好的市场口碑

覆盖面广、及时：所积累的投资人名单数据库细化跟踪至投资决策者具体联系名单（全球超过60000家投资机构的75000名基金经理及买方分析师名单），而不仅只是基金公司名录

精准：筛选出对于公司所在特定产业、关注亚太市场（中国）、符合投资市值界定的投资者及分析师名单

有效：通过全球化顾问团队配合密集电话访谈最终确定各投资机构的有效联系人

全球化配合：全球架构的团队包括位于纽约，迈阿密，北京，新加坡，柏林，雅典的高级顾问共同合作完成

将全球潜在投资者锁定项目做为年度的重点研究项目，然后规划全年的路演NDR或是IR工作侧重的目标市场，是对该项目成果客观依据的参考运用

Institutional Investor Targeting

潜在投资者锁定计划

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Work Process

项目流程

Step1: Start

Review your IR objectives

Created a custom strategy plan

Prepare business plan, PPT and

presentation scripts

Target investors, investment banks

and analysts

Immediately start contacting

targets

Step2: Begin Program

Stimulate existing shareholders

Attract attention of retail and

institutional brokers

Generate media interest

Secure buy-site and sell-side

analyst coverage

Commence road shows and

conference

Step3: Goals

Increase access to capital

Expand investor interest and share

value volume

Increase the number of shareholders

Create valuation relative to peers

Happy management and shareholders

第一步：了解客户 了解贵公司的投资者关系目标 制定投资者关系策略 准备商业计划书、幻灯片及演讲稿 寻找合适的投资者、投行以及分析

师 立即联系相关投资者、投行

第二步：实施计划

积极联系现有投资者

吸引个人投资者和机构投资人的目光

增加媒体曝光度

确保买方卖方分析师对公司的关注

开始路演和投资人会议

第三步：实现目标

提供更多融资渠道

增加投资者关注度，增加股票交易量

增加股东数量

与同类公司相比，为公司增加价值

管理层与股东满意

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Work Process

项目流程

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Financial Communication

财经公关

Develop customized, cost-effective, high-quality,

high-impact and fully integrated financial

communication programs and platforms:

Annual reports

Financial fact books

Corporate profiles

Capabilities brochures

Analyst meetings or presentations, investor fact sheets and information kits

Quarterly earnings releases

Websites,

Analyst conference calls,

Executive financial presentations,

Retail brokerage meetings

为您量身打造全方位的个性化高品质经济有效的财务公关方案与平台

Understanding

Your Market

• What do you do?

• How do you make

money?

• Which markets do

you serve and how

are they growing?

• Who are your

customers and

suppliers?

• How do you do

what you do better

then the competitor?

Defining and

Developing

Strategy

• Set and describe

your mission

• What are your

values?

• Define your

strategies (four

models)

• Identify your

objectives

• Set your goals

Models

• The BCG Matrix

• The Ansoff Matrix

• Porter’s 5 Forces

• SWOT Analysis

• Competitive

Strategy Analysis

Strategy

Statements

for IR

Audience

• Link back to

shareholder value

creation

• Link to your key

performance

indicators (KPIs)

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Strategy Development

市场战略策划

了解市场

• 你的业务有什么？

• 你如何挣钱？

• 你的市场在那里？它的发展前景如何?

• 你的客户和供应商是谁？

• 你的竞争优势在哪儿?

明确制定战略

• 明确并详细规划使命

• 评估你的价值

• 确定战略模型

• 梳理你的目标

• 树立长远目标

建立模型

• 波士顿（BCG)矩阵

• 安索夫(Ansoff)矩阵

• 波特五力分析模型(Porter’s 5 Forces)

• SWOT 分析方法

• 竞争策略分析

投资者关系

要点

• 明确如何为股东增值

• 明确指出企业关键绩效指标(KPIs)

Strategy Development

市场战略策划

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Assist with effective targeting of the

most suitable buy- and sell-side

analysts and portfolio managers

whose investment style and interests

best fit the company’s characteristics.

Arrange company presentations to

brokerage-sponsored or corporate-

hosted analyst and portfolio manager

conferences or meetings, as well as

one-on-one meetings with targeted

analysts and institutional investors.

Identify suitable, cost-effective

individual investor forums.

协助定位最合适的买方和卖方分析师以及基金经理

安排各种投资者见面会， 组

织对公司有兴趣的投资者一对一会议

调研行业对口的投资人论坛

Analyst and Investor Meeting

投资者见面会

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Guide the management team with respect to

public disclosure requirements, issues and

practices surrounding financial reporting.

Provide guidance and communication about fast

breaking corporate events that impact the price of

a company’s debt and equity issues.

Assist management in developing a corporate

disclosure policy if it does not have one.

指导管理团队发布财务信息

引导公司应对突发事件

协助制定公司信息披露守则

Disclosure

信息披露

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Train company executives and

investor relations contacts to be

effective and consistent

presenters in analyst and

investor conferences, before the

media and in day-today

interaction with the investment

community.

IR Spokesperson Training

投资关系发言人培训

协助培训公司管理者和投资者关系负责人，使其在分析师和投资人会议上，媒体以及日常的与投资界的互动中可以有效展示公司。

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Leverage proactive investor relations programs

with fully integrated national and regional

financial and trade media placements to

provide all-important third-party testimonials for

growing investor awareness of the company’s

evolving investment appeal.

整合全美以及地方媒体来提高投资人对公司增长的认知度，促进公司与投资者之间的良好好沟通

Media Relations

媒体关系

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News Release

新闻发布

撰写企业信息，确保投资者和分析师可以迅速了解公司的亮点

Distribution

Covered

Dragon Gate Contacts(30,000+)

Asian Financial Society (3,000)

NYSSA (11,000+)

Discounted Price

Standard & Poor’s

Bloomberg

Business Wire

PR New Wire

World Market Media

Develop investor relations messages that

will most proactively leverage senior

management’s strategic vision, operational

and financial performance and ongoing

business expertise to deliver the optimum

P/E multiple and lower the company’s cost

of capital.

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Research

研究报告

Research and track current

and prospective securities

analysts and institutional and

individual shareholders, their

perceptions and attitudes.

Benchmark these

measurable against

realization of program

objectives.

跟踪调研证券分析师和投资者的意见和态度

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Structure and implement effective crisis

communication programs in anticipation of

or in response to :

Litigation

Rating/regulatory agency actions

Restructuring announcements

Product recalls

Plant closures

Market withdrawals

A significant earnings shortfall

Competitive rumors

Loss of a key manager

Takeover or merger speculation

Stock volume and price volatility

Natural catastrophes

Theft, fire and other crises.

我们会针对危机，和客户一起制定投资者关系危机处理策略，

按照设计好的流程让公众充分了解公司

Crisis Communication

危机公关

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Operation in New York, Beijing

and Singapore

Experts who know your industry

form our customer service team

Provide monthly evaluation

Report

Annual satisfaction survey

纽约、北京、新加坡办公

丰富经验的客服团队

提供月度评估报告

客户年度服务满意程度调研

IV. Fast Turnaround and

Responsive Service

IV. 快速反馈

V. Affordable Price of Admission

V. 合理的定价

Everything is included in our

affordable price of management

Gain all kinds of add-on services

without extra charge.

合理定价、全面服务

对于多样化附加服务不收取额外费用

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Contact Information

联系方式

Corporate Headquarters: New York

551 Fifth Ave. #3010

New York, NY 10176 USA

Tel： +1 (212) 499-6809

Fax： +1 (212) 601-2791

Email： info@dgipl.com

Greater China Area Office: Beijing

Yuquan Rd A-12 Yuquan Building 5201

Haidian District, Beijing China 100143

Tel： +86 1066552812

Email： china@dgipl.com

South East Asia Office: Singapore

30 College Green

Novena, Singapore 299689

Tel： +65 84320488

Email： singapore@dgipl.com

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