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SCORECARD

INITIAL PUBLIC OFFERING (IPO) SCORECARD

 

 Name of Offering Names of Officers:

 

Description:

 

The following information is only intended for review by representatives of Broker Dealers and is not authorized for distribution to the public

 

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1. Company/Officers: ____Experience : # of yrs. in bus. a. More than 10 yrs.  (5 pts)b. 8 – 10 years           (4 pts)c.  6 – 7 years            (3 pts)d. 4 – 5 years             (2 pts)e. 1 – 3 years             (1 pts) 2. Net Worth Consideration: ____(Prior to IPO) ( Neg.  D/W ratio – 1 pt.) a. $5,000,000+                  (5 pts)b. $2,500,000-$4,999,999 (4 pts)c. $1,000,000-$2,499,999 (3 pts)d. $500,000 – $999,999     (2 pts)e. $Negative net worth      (1 pts) 3. Financial Track Record/Litig. ____(Hist. of operating losses/Def. Wk. Cap.) a. Oper. gains from incept.   (5 pts)b. Oper. gains-most rec. yr   (4 pts)c. Break-even – curr. yr.        (3 pts)d. Oper. losses – curr. yrs     (2 pts)e. Oper. losses from incep   (1 pts) 4. Load Factors :($5-10MM offer.) ____ a. Less than 10% (5 pts)b. 10% – 11%        (4 pts)c. 12% – 13%        (3 prs)d. 14% – 19%        (2 pts)e. 20% or more     (1 pts 

5. Liquidity (inc. guar.) ____

 

a. Fully liq. NYSE hist (5 pts)

b. App. NYSE/ASE     (4 pts)

c. App. NASDAQ list   (3 pts)

d. Listing app. pend.   (2 pts)

e. Illiq. not to be trade (1 pts)

 

 

6. Self Dealing/Conflicts: ____

 

a. All “arms length”     (5 pts)

b. Pay self – 1 area     (4 pts)

c. Pay self – 2 areas   (3 pts)

d. Pay self – 3 areas   (2 pts)

e. Pay self in 4+areas(1 pts)

 

 

7. Dilution:            _____

 

a. Less than 25%   (5 pts)

b. 25% – 50%         (4 pts)

c. 50% – 65%         (3 pts)

d. 65% – 75%         (2 pts)

e. More than 75%  (1 pts)

 

 

8. Percentage of Supply/Demand:____

 

a. 90%                   (5 pts)

b. 95%                   (4 pts)

c. 100%                 (3 pts)

d. 110%                 (2 pts)

e. 120%                 (1 pts)

 

9. Assumptions:_____

 

a. Very conservative criteria & safeguards                      (5 pts)

b. Semi-conservative criteria with many safeguards       (4 pts)

c. Semi-aggressive criteria with some safeguards          (3 pts)

d. Aggressive criteria with few safeguards                      (2 pts)

e. Aggressive criteria with virtually no safe-guards         (1 pts)

 

10. Risk Factors:

(% of Normal Risk)

 

a. 80%   (5 pts)

b. 90%   (4 pts)

c. 100% (3 pts)

d. 110% (2 pts)

e. 120% (1 pts)

 

TOTAL POINTS _____

 

Note: A minimum of 35 points (70%) is required for

due diligence consideration. Further, a score

of one (1) in any one category may cause the

offering (IPO) to be rejected.

 

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                                                                                         SCORECARDS

 

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