Finance Monthly Deal Maker Awards 2015 Edition

48 www.finance-monthly.com DEAL MAKER OF THE YEAR - USA Keensight Capital invests in SmartTrade Technologies Chosen for his involvement in the following transaction: Appleby Capital, Inc. is a financial advisory firm focusing on mergers & acquisitions, capital raising and private investments. We offer a variety of structured solutions that facilitate the growth of our clients’ businesses; and through our unique research analyst expertise we are able to unlock hidden value within their organizations. Appleby Capital’s focus and breadth of industry experience allows us to give our clients an unmatched level of expertise and attention in all transactions. Firm Profile Please summarise the transaction: smartTrade, a global leader in capital markets technology, providing sophisticated multi- asset liquidity management systems, received a significant minority investment from Keensight Capital. Keensight is an independent European growth private equity, technology focused, firm with 15 years of proven investment success in supporting the management teams of profitable, growing companies. What was your role within the transaction? Appleby with its roots as experts in global valuation and advising with particular focus in financial technology and business services was retained to advise smartTrade in its search for a strategic financial partner. A partner not just with capital, but with the know-how to assist the company to achieve its destiny – capital markets #1 global liquidity technology provider. What were the challenges or difficulties presented? Because of smartTrade’s industry leading growth, the process was at times daunting as investor interest was at times overwhelming. Appleby worked with management to streamline the process, creating extremely viable candidates at valuations and terms acceptable to the board. We and the company could not have been more delighted to come to terms with Keensight Capital, one Europe’s leading technology focused investment firms. Harry Gozlan, Chairman of smartTrade, noted, “We are delighted that Keensight Capital is partnering with us to support the next stage of our development. After 15 years dedicated to developing market- leading products and thanks to the recognition from the financial industry, smartTrade is now in a position to speed up its growth and capitalize on the potential within the “Fintech” sector. As an investor specialized in the technology sector and with access to an extensive international network, Keensight Capital has an intimate understanding of the underlying issues of our business.” What are your thoughts and predictions for 2016 and beyond? Financial Technology is booming again. Particularly in capital markets, consumer finance, payments and investing. To that end, we are seeing more and more capital enter the financial technology market on one hand, and extraordinary interest in acquisitions on the other. One characteristic to large companies remains constant - they have difficultly innovating and growing. The best way to accomplish this is through acquisition. Because we specialize in maximizing shareholder value, we expect another good year in 2016. Transaction Repor t SCOTT APPLEBY Manag i ng Par t ner a t Appl eby Capi ta l WINNER: Q Q Q Q Scott has more than 20 years of banking and analyst experience at Appleby Capital, Deutsche Bank, Robertson Stephens, ABN Amro and Painewebber. He has been a senior analyst covering Exchanges, Liquidity Providers and Alternative Asset Managers at Deutsche Bank and Internet Finance at Robertson Stephens. He was the first Wall Street analyst to cover on-line brokerage industry in 1997 and the first to dedicate coverage to Financial Technologies. Scott has been a frequent guest on television including, CNBC, CNN, PBS, CNNfn and Bloomberg TV. Recently published article on the Tabb Forum, “Death of Alpha” was its the most read story in all of 2013. He holds an MBA from Cornell University and a BS from the University of Vermont Scott is also very active through board or advisory board memberships: • EaglePoint Credit Corp. –NYSE: ECC • Sabrient Systems – Quantitative index builder specializing in ETFs and UITs – AUM is nearing $8.0 billion • Tradeworx – Leading quantitative technology and HFT firm - technology provider to SEC • inStream – Leading Life cycle management tool for Registered Investment Advisors – Named most “innovative” new product for 2011/12 • Javelin Technologies – Pioneer in FIX network routing software – sold to NYSE • BlueWave Booster and Wrestling Clubs of Darien, CT About Scott Appleby Scott Appleby Managing Partner - Appleby Capital, Inc. Tel: 203-656-8100 | Email: scott@applebycapital.com Website: www.applebycapital.com