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Stock Loans. Restricted Rule 144 and Free
trading stock loan. Financing Stock Loans
all stock exchanges. Free Trading Stock Loans to 90% LTV, Stock Loans.
Restricted
rule 144 and Free trading stock loan, Lender provides Stock Loans for Restricted
Stock.
Equipment refinancing sale-leaseback, Leasing, Line of Credit Working Capital
Finance
Nationwide Since 1992
OPTION
"A"
SALE and
REACQUISITION of RESTRICTED STOCK
STRUCTURED AS A SALE AND BUY-BACK FACILITY,
PROVIDES CASH QUICKLY.
STOCK
SECURED FUNDING:
Incorporating
comprehensive equities based funding solutions
for Free Trading and Restricted / Rule 144 stock.
The following funding options are available to qualified clients,
and securities. See the following overview of each of the
five options.
1) Restricted /
Rule 144 Stock Secured Loans
2) Stock Acquisition and Buy Back –
Restricted Shares
3) Free Trading Stock Secured Loans
4) Options / Warrants Financing
5) Margin Loan Take-outs
RESTRICTED
/ RULE 144 STOCK LOANS:
Restricted / Rule
144 stock secured loans are structured non-
recourse, and non-callable, and feature 2 -3 year terms with
1 – 2 year lockup periods. There
is no upside participation of
the stock, which means the borrower gets the full benefit of any
appreciation of the value of the pledged stock (s) during
the term of the loan.
Benefits:
Non Recourse with No Margin Calls
Stock
Exchanges:
NYSE, AMEX, NASDAQ NMS,
NASDAQ small cap, OTCBB, TSX,
LSE
Security:
Pledged stock is only security
Loan
Minimum: $200,000
Loan
Amount:
A maximum loan facility of $10,000,000
USD per loan - larger loan amounts for
borrower provided on a per case basis
Trading
Price:
$1.00
minimum
Loan-To-Value:
15%
to 50% of Security’s value
Loan
Term:
2 - 3 year loan, with 1 -2 year lockup
Rate
of Interest:
2%
over prime (variable)
Loan
Repayment:
Repayment may be made following lockup
period, or may forfeit Security to satisfy
debt obligation, even if stock value declines
Prepayment:
No prepayment penalty following
lockup period
Maximum
Security: Cannot accept more than 5% of the fully
diluted total issued and outstanding shares
of any one public company (per case basis)
__________________________________________________
STOCK
ACQUISITION and BUY BACK – RESTRICTED SHARES:
In the case where a client has restricted stock that has been
held for more than 12 months, underwriting will undertake a
stock sale with buy back. It is a straightforward transaction,
and if approved, the stock will be purchased from the client at
a discount and provide the client with a buy back option for
the same amount plus a premium, which will be equivalent to
the current Prime rate plus 1% annualized. The funding
amount for this option is determined using the same funding
criteria used for free trading shares as outlined above,
however, institutes an annualized premium that is paid upon
the reacquisition of the shares instead of monthly interest
payments and stays in effect for a period of 12 months.
____________________________________________________
FREE
TRADING STOCK SECURED LOANS:
Free trading
stock secured loans are non-recourse, non-
callable, and open ended with no lockup period, which may be
closes out the loan any time after 30 days, refinanced, or
otherwise liquidated at a time that is economically
advantageous to do so to repay the loan.
Also, there is no
upside participation of the stock, which means the borrower
gets the full benefit of any appreciation of the value of the
pledged stock (s) (including any dividend payments) during the
term of the loan.
Benefits:
Open Ended, Non-Recourse with
No Margin Calls
Stock
Exchanges:
NYSE, AMEX, NASDAQ NMS,
NASDAQ small cap, OTCBB, TSX,
CDNX, LSE, Pink Sheets, and
certain international exchanges
Security:
Pledged stock is only security
Minimum
Loan:
$100,000
USD
Loan
Amount:
A maximum loan facility of
$10,000,000 USD per loan - larger loan
amounts for borrower provided on a
per case basis
Disbursements:
Loans are provided in one disbursement
Trading
Price:
$0.01
minimum
Share
Volume:
5,000 daily share volume and above
(average 3-month volume)
Loan-To-Value:
30%
to 90% of Security’s value
Loan
Term:
Open ended – up to 5 years
Rate
of Interest:
1%
over prime (variable)
Loan
Repayment:
Option to repay, refinance (twice a
year), or to forfeit Security to satisfy
debt obligation
Prepayment:
No prepayment penalty
Maximum
Security:
Cannot accept as Security, not more
than 5% of the fully diluted total issued
and outstanding shares of any one public
company (per case basis)
____________________________________________________
OPTIONS
/ WARRANTS FINANCING:
Financing is available to clients that have vested or
non-
vested options or warrants that a client wishes to exercise but
lacks the cash to complete. The options and warrants will
need to be free trading upon exercising for the client to
participate in this funding program.
___________________________________________________
MARGIN LOAN
TAKE-OUTS:
Providing
a Free Trading Stock Secured Loan to qualified
clients that have pledged their stock for a callable margin
loan with a bank or brokerage by taking out the existing
margin loan at the corresponding institution and provide a
higher loan-to-value loan in a non-recourse and
non-callable environment.
___________________________________________
See
the Stock
Information
/ Inquiry Form
following
this Option "B" Section
___________________________________________
OPTION
"B"
FINANCIAL PRODUCTS, SERVICES,
AND
STRATEGIES PROGRAM HAS MANY
NEW
BUNDLED FUNDING
OPTIONS.
TRUE
LOAN (Restrictive stock loan for both free-trading and restricted
securities)
CREDIT FACILITIES (Equity Lines of Credit)
STRUCTURED BLOCK TRANSACTIONS (Free Trading Securities ONLY)
REG.
A and OTHER ALTERNATIVE STRUCTURES (Non-Reporting Pinks
ONLY)
TRUE
LOAN (Restrictive stock loan for both free-trading and restricted
securities)
The
True Loan transaction is offered to all "listed" companies (Amex,
Nasdaq, and New
York Exchanges) and the shareholders maintaining stock in such
issuing companies. In
the True Loan structure, the securities remain in the
client's name, with a program
approved custodian, in an account in their name.
Currently, a major brokerage acts as
the True Loan's primary custodian.
With the True Loan, a shareholder's securities will not, and even more
importantly,
can not be traded, sold, pledged, leveraged, hypothecated or
shorted. This means that
a shareholder (executive or otherwise) is never in
danger of losing their stock (absent
an event of default). Also, a shareholder
will never see securities come back against
them, directly or indirectly violate
and SEC Laws, and can now legally receive
non-recourse type financing from
private banking/lender groups utilizing fully
Restricted Securities without the
transfer of ownership.
The True Loan strategy is fully compliant with SEC, UCC and FRB laws, rules and
regulations and can offer LTV's as high as 80% (with the possibility of
exceeding 80% in
unique situations) on Restricted Securities transacted in a
bona-fide loan transaction. All
rates and conditions are flexible and each
transaction is designed to employ built in
hedging features. These hedging
features lend to the Borrower's financial benefit and
protection (protecting
both downside and upside). Currently, there is no other Securities
Financing
vehicle in existence like it today being offered by any other Private Lender. **NOTE**
We do not offer any Traditional Loans to Executives
from any company of any
exchange, or, any Non-Affiliate seeking to pledge
Restricted portions of
stock in "non-listed" companies.
Where a shareholder wishes to have a flexible capital facility, we offer an
Equity
Line of Credit. This equity line is backed by a major brokerage and can be
used by Free
Trading Shareholders, but is ideal for executives and individuals
holding Restricted
Securities. The only three criteria are, (a) the issuing
company must trade on a "listed"
exchange. (b) the stock's bid price
at the time of engagement must reflect at least $10.00
per share, and, (c) the
gross asset value must reflect a minimum of $1,000,000. The
securities pledged
for this vehicle are never sold (absent a default) and access to capital
is made
available via wire transfer, check, check writing services (bill pay), debit
cards, etc.
Unlike the typical Block Purchase transaction (which can be facilitate by anyone
maintaining a few bucks and an appetite for stock bastardization), we offer a
number
of Structured Block Financing Strategies and Transactions. In a
structured block
purchase transaction, an issuing company's/shareholder's best
interest are better protected
than in a traditional block buy. This means that
an issuing company/shareholder maintains
greater control over the dispersing of
their securities and will not see the securities come
back against them
negatively. This is essential for smaller companies who can be
adversely
affected by an overzealous block buyer. Discounts generally range between
15%
and 30% for companies that meet strict criteria.
Also, very select restricted
securities apply.
Capital allocated to "B" Paper Structured Block Financing (B-Paper:
Pink Sheet
Companies (if illiquid, on a case by case basis) and OTCBB
Companies)) currently amounts
to approximately $50,000,000. Each "B"
Paper block transaction can achieve a maximum
of $5,000,000 in any single
transaction. **NOTE**
Capital available to companies on "listed" exchanges is unlimited and
transactions can be facilitated in excess of $5,000,000 in any single
transaction.
We also offer alternative financing options for Non-Reporting Pink Sheet
Companies.
Currently, we consult on structuring 504's via allied
partnerships as well as
REG. A transactions. Although a 504 is a fairly
recognizable transaction, it is the REG. A
that is the superstar here. With a
REG. A transaction, a Non-Reporting Pink Sheet
Company can utilize this
exemption to raise up to $5,000,0000 dollars in a given year.
With a REG. A
transaction there is no downside for the engagement.
The REG. A strategy creates a market for illiquid securities and strengthens
trading
prices. All REG. A raises continue at the complete discretion of the
issuing company.
This structure carries no up-front cost for the various
professional (advisory and legal)
services rendered to the issuing company and
the flow of capital is practically immediate
upon qualification. **NOTE**
The only requirement is that the issuing company be a Non-Reporting Pink Sheet.
There are no trading or price minimums.
_______________________________________________________________________
Stock
Information
/ Inquiry Form:
________________________________________________
Allbex Financial Partners reserve the right to modify
the forgoing at anytime without
notice, and Allbex Financial Partners is not a securities broker, and does
not
offer or give advice on stock or other securities, and advice is not given to
buy, sell,
or trade securities. The
forgoing is for informational purposes only.
Please
consult your tax or your SEC attorney.
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RULES & REGULATIONS
This page is designed to facilitate
the retrieval of information
regarding aged affiliate and aged non-affiliate
securities. From here,
those interested in borrowing against restricted
securities can access
the United States Securities and Exchange Commission,
specifically
the exact rule and regulation as written and approved by the SEC.
Also listed are known articles and periodicals related to stock lending,
restricted securities, and investments therein.
U.S.
Securities and Exchange Commission
Latest SEC Rulings
Rule 144A
Rule 144
__________________________________________________________________
Attention: Brokers/Agents/Consultants, Welcome.
You are encouraged to submit / refer your transactions to us. You will be protected and your clients will be respected.
Send us a request for the Broker Registration Form at:
allbexfinancial@sbcglobal.net Attention: New Business Manager
ALLBEX
FINANCIAL PARTNERS
(Since 1992)
Newport Beach, CA 92663
3355 Via Lido, Suite 345
The Lido Building, 3rd Floor
Fax: 415-946-3307 (Internet Fax)
E-Mail: allbexfinancial@sbcglobal.net
(C) Copyright 1992 - 2007 All Rights Reserved
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