We share an emerging company’s goals of maximizing its success by developing and retaining ownership rights in a marketable product or technology.

We intend on investing in three distinct groups of emerging growth companies: publicly traded companies whose market for their securities are thinly traded, which may be caused by a shift in business direction, change in market or industry in which they operate, or various other factors causing their stock and trading in their stock to not be in or fall out of favor; publicly traded companies that have non-marginable1 securities and seek expansion or mezzanine capital to implement growth strategies executable within 12-24 months; and private companies seeking expansion or mezzanine financing, and wishing to access the equity capital markets within the next 12 months.

Our investment objectives include providing returns to our shareholders through cash dividends of net investment income and through distributions of realized gains of securities which have appreciated in value. We look to restrict our investments to emerging growth companies which meet or exceed our quantitative and qualitative investment criteria, especially those companies which we believe offer unique opportunities for growth. We also look to preserve investor capital through risk management and active involvement in the management of our portfolio companies.

Our goals are the very same as those of the companies which we invest in.