SEACREST Global Clean Energy INVESTMENT MANAGEMENT, LLC Portfolio Profile as of 9/30/14 The SeaCrest Global Clean Energy Portfolio tracks the SeaCrest Global Clean Energy Index, a market capitalization-weighted equity index designed to serve as a benchmark for global stocks traded on major US stock exchanges. This portfolio tracks the following clean energy sectors: Clean & Renewable Energy, Energy Efficiency, Infrastructure, Materials, Power Management and Water Management.. Investment Team Rajesh K. Gupta Chief Investment Officer Portfolio Manager 31+ years investment experience MBA, New York University Howard A. Schloss Portfolio Manager 33+ years investment experience MBA, Fordham University Michael Muyot President & Founder, CRD Analytics, LLC Over fifteen years as a specialist in Strategic Quantum Visioning, the art of applied quantitative analysis and metrics that matter. SmartView™ has identified 74 small to midcap companies from hundreds & created 6 distinct industry sectors: – Clean & Renewable Energy – Energy Efficiency – Infrastructure – Materials – Power Management – Water Management This supplemental material complements the GIPS® compliant composite presentation which is provided at the end of this document. Firm Overview SeaCrest Investment Management is a SEC registered investment advisor, specializing in the management of investment portfolios for institutional and private clients. SeaCrest is employee-owned and is certified as a minority-owned Firm with offices in New York, California and South Dakota. The Firm is led by a group of seasoned asset management professionals, including Rajesh Gupta who formerly oversaw $180 billion in assets for Morgan Stanley Investment Management. As Chief Investment Officer, he leads a team of investment professionals with nearly 80 years of combined experience. With their discipline and insight into market trends, they seek to deliver superior risk-adjusted returns in client portfolios. Pure Play Screening The portfolio is derived from an initial universe of over 500 companies from which each of the selected companies maintains a minimum of 50% of its revenues from clean or renewable energy related technology, products and/or services. SmartView™ Force Ranking Securities making up the SeaCrest Global Clean Energy Portfolio are selected using SmartViewTM, CRD Analytics’ proprietary multi-dimensional and multi-variable business intelligence platform. SmartViewTM selects the top performing companies based on 25 financial performance metrics. Portfolio Screening Process >50% Revenue: Clean or Renewable Energy US Stock Exchange or ADR SMID Cap ($250M-$10B) Tradable Periodic Returns 20.00% 15.00% 10.00% 5.00% 0.00% -5.00% -10.00% Trailing One Year Trailing Three Year (annualized) Trailing Five Year (annualized) SeaCrest Global Clean Energy Index 7.64% 19.80% 11.24% Since Inception (annualized) * 8.98% WilderHill Clean Energy Index 0.69% 6.83% -8.95% -8.47% *12/31/04 SeaCrest Investment Management, LLC 3010 Westchester Ave. Suite 307, Purchase, NY. 10577 914.502.1900 www.seacrestim.com Global Clean Energy SEACREST Portfolio Profile INVESTMENT MANAGEMENT, LLC Supplemental Information Top Ten Holdings - 9/30/14 LG DISPLAY CO LTD PALL CORP CALPINE CORP WATERS CORP LKQ CORP QUANTA SERVICES INC FIRST SOLAR INC METHANEX CORP WASTE CONNECTIONS INC DONALDSON CO INC 5.65% 4.48% 4.38% 4.17% 4.03% 3.87% 3.30% 3.15% 3.02% 2.82% SeaCrest Global Clean Energy Market Cap as of 9/30/14 Weighted Average Arithmetic Average Micro Cap Small Cap Mid Cap Large Cap Return Metrics 12/31/04 - 9/30/14 Cumulative Std Deviation Monthly Sharpe (Risk Free=2.49% ) WilderHill Clean Energy $4.95 Billion $2.71 Billion 0.33% 20.38% 73.68% 5.61% $3.18 Billion $2.60 Billion 1.52% 18.40% 40.35% 39.72% 131.23% 26.9 0.24 -57.79% 32.8 -0.35 Annualized Returns for Period Ending September 30, 2014 Trailing One Year SeaCrest Global Clean Energy Index WilderHill Clean Energy Index Standard & Poors 500 Trailing Three Year (annualized) SeaCrest Global Clean Energy Index WilderHill Clean Energy Index Standard & Poors 500 Trailing Five Year (annualized) SeaCrest Global Clean Energy Index WilderHill Clean Energy Index Standard & Poors 500 Since Inception (annualized)* SeaCrest Global Clean Energy Index WilderHill Clean Energy Index Standard & Poors 500 7.64% 0.69% 19.69% 19.80% 6.83% 22.94% 11.24% -8.95% 15.67% 8.98% -8.47% 7.34% *Inception date: 12/31/2004 Disclosure SeaCrest Investment Management, LLC (“SeaCrest”) is a Registered Investment Advisor with the U.S. Securities and Exchange Commission (“SEC”). This report is provided for informational purposes only to summarize the investment philosophy of the SeaCrest Global Clean Energy Portfolio, a separate account strategy managed by SeaCrest. This report is not to be considered investment advice nor an offer for this strategy. Investment management services are provided by SeaCrest only after enter into an investment management agreement with SeaCrest or and/or an approved financial intermediary. Information is as of a point in time and is subject to change. Performance data presented herein represents past performance and is not an indication of future results. A client's actual performance will differ from the performance data shown due to timing of investment, size of the portfolio and the advisory fees charged by SeaCrest and/or a financial intermediary. There is no assurance that an investment will achieve its objective. Investments are subject to market risk, which is the possibility that the market values of securities owned by the investment will decline and that the value of the investment may therefore be less than what you paid for them. Accordingly, you can lose money. Investments in foreign markets entail special risks such as currency, political, economic, and market risks. The risks of investing in emerging market countries are greater than the risks generally associated with foreign investments. The SeaCrest Clean Energy Index is an unmanaged index produced by SeaCrest. The index does not take transaction costs or investment fees into consideration, whereas performance figures contained herein are net of such costs and fees. It is not possible to invest directly in an index. The Standard & Poor’s 500 Index (“S&P 500”) is an unmanaged stock market index based on the market capitalizations of the 500 large companies that trade on the New York Stock Exchange (“NYSE”). The S&P 500 Index is used herein only as a general measure of market performance. SeaCrest claims compliance with the Global Investment Performance Standards (GIPS ®) and has prepared and presented this report in compliance with these standards. SeaCrest has been independently verified for the periods: June 1, 2006 through December 31, 2013. Independent verification assesses whether (1) the firm has complied with all the composite construction requirements of the GIPS® standards on a firm-wide basis and (2) the firm’s policies and procedures are designed to calculate and present performance in compliance with the GIPS® standards. Verification does not ensure the accuracy of any specific composite, including this report. The verification report is available upon request. SeaCrest also maintains a complete list and description of composites, which is available upon request. SeaCrest Investment Management, LLC 3010 Westchester Ave. Suite 307, Purchase, NY. 10577 914.502.1900 www.seacrestim.com
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