Founded in 2002, Equities First Holdings is a global investment firm specialised in long-term equities-based financing. Equities First Holdings’ equities-based financing approach overcomes traditional limitations and redefines the financing experience through providing efficient access to capital for listed companies and accredited investors, sophisticated investors, professional investors, and otherwise qualified investors (who have sufficient knowledge and experience in entering into securities financing transactions), against publicly traded securities. The total value of loans transacted is more than US$4.5 billion as of Jan 2023. Equities First Holdings’ investment strategy involves a diverse portfolio across global markets and sectors. The talented investment team analyses the alpha of its portfolio, investing in quality securities based on robust fundamental and technical analysis, risk management, and ongoing trading and portfolio rebalancing activities. Equities First Holdings’ risk management policy forbids short-selling or lending equities to third parties.
Headquartered in Indianapolis, United States, Equities First Holdings’ international footprint reaches twelve offices in eight countries, including the United States, United Kingdom, Spain, China, South Korea, Thailand, Singapore, and Australia. Equities First Holdings is licensed and/or registered in all jurisdictions where required. As both an equities-based financing provider and a value investor, Equities First Holdings is the pioneer of Progressive Capital – a partnership approach to investment, rooted in respect, mutual interest and understanding. Equities First Holdings delivers liquidity solutions that are vital, transformative and move partners forward.
China, Hong Kong, Singapore- Equities First Holdings Hong Kong Limited (“EFH”) is licensed in Hong Kong by the Securities Futures Commission to undertake Type 1 regulated activity and under the Money Lender Ordinance (Money Lender’s License No. 1780/2022). EquitiesFirst (“EquitiesFirst” refers to Equities First Holdings LLC, and all subsidiaries of such company in all countries where they are engaged in business activities of any nature). This document is prepared by EquitiesFirst. It is not intended as an offer to sell securities or a solicitation to buy any product managed or provided by Equities First and it aims to provide general information on the EFH loan facility which is not authorized for retail use in Hong Kong. This document is directed to accredited investors, sophisticated investors, professional investors, and otherwise qualified investors (who have sufficient knowledge and experience in entering into securities financing transactions), and it is not directed to individuals or organizations for whom such offers or invitations would be unlawful or prohibited. Past performance is not a guarantee or a reliable indicator of future results. All investments contain risk and may lose value. The information contained herein may be incomplete or incomprehensive. Accordingly, the information is qualified in its entirety by the terms applicable to the facility as set out in its constitutive documents (Loan Documents) and should be read together with such Loan Documents.
This document has been prepared without consideration of the investment objectives, financial situation, or particular needs of any individual investor. You should consider your own investment objectives, financial situation, and particular needs before taking any action with respect to a financial product referred to in this presentation. In preparing this document, EFH is assuming your organization is capable of evaluating the merits and risks of any financial transaction described herein and its suitability for your organization’s purposes and its legal, taxation, accounting, and financial implications and that in making this evaluation you are not reliant on any recommendation or statements made by EFH. Before entering into any transaction EFH strongly encourages you to independently assess these things and fully understand the transaction in its entirety. EFH does not act as an adviser in any capacity and strongly recommends all borrowers seek independent advisement when assessing the transaction and its suitability. To the extent it is permitted by applicable law, Equities First, its affiliates, and any officer or employee of Equities First or its affiliates do not accept any liability whatsoever for any direct or consequential loss arising from the use of this presentation or its contents, including for negligence. Trading in equities, futures, options, commodities, currencies, or derivatives can have risks and is not appropriate for all persons. Under some market conditions, it may be impossible to liquidate a position. Copyright protections exist in this presentation. The contents of this presentation are strictly confidential and may not be disclosed, reproduced, distributed, or published by any person for any purpose without the expressed written consent of EFH, LLC. EFH makes no guarantee, representation, or warranty and accepts no responsibility or liability as to its accuracy or completeness. Expressions of opinion are those of Equities First only and are subject to changes without notice. Further information is available upon request.
Korea- The foregoing is intended solely for sophisticated investors, professional investors or otherwise qualified investors who have sufficient knowledge and experience in entering into securities financing transactions such as securities repo or securities loan transaction. It is not intended for, and should not be used by, persons who do not meet that criteria. Information provided herein is for information purposes only and does not constitute an offer to sell (or solicitation of an offer to purchase) the securities or investments referenced herein (“Offer”). Any such Offer shall only be made through a relevant offering or other documentation which sets forth its material terms and conditions. The foregoing does not provide or purport to provide investment advice, nor does it provide or purport to provide any legal or financial advisory or other professional advice or services which are regulated in jurisdiction in which EquitiesFirst (Equities First Holdings, LLC and its subsidiaries) operates, does business, resides, including, Republic of Korea or that may otherwise have regulatory authority over EquitiesFirst. The foregoing has been prepared by EquitiesFirst based on or derived from sources EquitiesFirst reasonably believes to be reliable. However, EquitiesFirst has not independently examined or verified the information provided herein and no representation is made that it is accurate or complete. Opinions and information herein are subject to change without notice.
Thailand- EquitiesFirst (“EquitiesFirst” refers to Equities First Holdings LLC, and all subsidiaries of such company in all countries where they are engaged in business activities of any nature). The foregoing is intended solely for certain, or certain class of, recipient who is qualified to independently consider and act on the information provided herein pursuant to laws and regulations applicable to such recipient. As such, the information provided herein is for information purposes only and does not constitute an offer to sell (or solicitation of an offer to purchase) the securities or investments referenced herein, to participate in any particular trading strategy, or to provide any particular advisory services (“Offer”), in any jurisdiction in which such Offer would be illegal. Any Offer shall only be made through the relevant offering or other documentation which sets forth its material terms and conditions pursuant to applicable laws and regulations. The foregoing and any non-public information contained therein are confidential and have been provided solely for the benefit of the intended recipient and for the limited purpose of the potential transaction that the intended recipient has already discussed with the Company. Except with the Company’s prior written consent, such confidential information may not be shared with any party other than with professional advisors and affiliates of the intended recipient, in which case the information may be shared for such limited purpose and on a need-to-know basis. If you are not the intended recipient of the foregoing, any disclosure, copying, distribution or use of its content is strictly prohibited. The foregoing does not provide or purport to provide investment advice and has been prepared by the Company based on or derived from sources the Company reasonably believes to be reliable. The Company has not independently examined or verified the information provided herein and no representation is made that it is accurate or complete. Before acting on any information, the recipient is thus encouraged to seek independent financial and/or legal advice. Opinions and information herein are subject to change without notice.