Mark Havens

Optimal Fund Management Pty Ltd. is an independent, employee-owned Australian investment management firm which was founded in 1999 by Warwick Johnson to provide institutional and accredited investors with a niche opportunity to invest in the Japanese stock market. Headquartered in Sydney, the firm offers investor’s access to Japan and Asian equity markets via an onshore Australian trust, an offshore Cayman fund and through separate accounts.

UBS Securities LLC is an investment bank and registered broker/dealer headquartered in New York City. The firm was founded in 1998 as UBS Warburg LLC. They are a subsidiary of UBS Americas Holding LLC, ultimately held by UBS Group AG (SWX: UBSG, NYSE: UBS) in Switzerland. UBS Securities is a primary dealer in US Government securities and provides a full range of investment banking services which includes corporate finance, mergers and acquisitions, capital markets, trading and sales, fixed-income, equity research, private banking, underwriting and prime brokerage operations. The firm also provides advisory services and access to capital markets for corporate, institutional, intermediary and alternative asset management clients.