Alpha Prospects PLC Mobile: +44 752 568 8741 - - PowerPoint PPT Presentation

Christopher Foster Alpha Prospects PLC Mobile: +44 752 568 8741 www.AlphaProspectsPLC.com

DISCLAIMERS PAGE

Important Notice

• Reliance on this document for the purposes of engaging in any investment activity, including entering into a Proposed Transaction,

may expose the Recipient to a significant risk of losing all the sums invested.

• If the recipient is in any doubt about the investment to which this document relates, he should consult an authorised person

specialising in advising on purchases of, or investments in, shares of unlisted and listed companies.

• In particular, the document contains certain statements, estimates and projections with respect to Alpha Prospects Plc (and it’s

associated companies) and as to the market for its producers and services. Such statements, estimates and projections reflect various assumptions made by the management of Alpha Prospects Plc concerning anticipated results, which assumptions may or may not be correct.

• The information in this document will not form any part of a contract. Furthermore, it does not offer capable acceptance and no

binding commitment may be entered into on the basis of the document. Nor does anything in this document constitute any representation, warranty or indemnity, express or implied, by Alpha Prospects Plc, its directors, employees or agents, in relation to any proposed transaction and no such director, employee or agent has authority to make or give such representation, warranty or indemnity, whether orally or in writing. Confidentiality

• This document is strictly private and confidential, being for use only by the persons to whom it is addressed. The document may not

be copied or re-produced in any manner or passed to any third party ( other than the recipients professional advisers ) without prior written consent of Alpha Prospects Plc. The recipient may not discuss the information contained in the document with the financiers, suppliers, customers and employees of Alpha Prospects Plc without written consent. If the recipient does not continue with the Proposed Transaction this document must be returned to Alpha Prospects Plc.

• Investment in a business carries high risk as well as the possibility of high rewards. It is speculative and potential investors should

be aware that no established markets exist for the trading in shares in private companies. Before investing, potential investors are strongly advised to take advice from a person authorised under the FCA who specialises in advising on investments of this kind.

CHRISTOPHER FOSTER – CHIEF EXECUTIVE OFFICER

Christopher Foster was appointed as a Director of Alpha Prospects Plc on 27th November 2007. He previously served as a founding Director of Chase Corporation plc. In 1985, Chase Corporation plc was responsible for an extensive acquisition programme which centred on the purchase of five publicly-listed companies. These assets were subsequently acquired by Trafalgar House plc for £197 million in 1987, where Mr Foster was retained as manager of their £1bn pension fund. He became a Director of Wiggins Group plc in 1993, where Mr Foster held Board responsibility for corporate activities and investor relations, until 2005. He was also an Executive Director and of Active Energy Group Plc, an AIM listed company, between 2007-2012 and remains a major shareholder.

BOARD OF DIRECTORS

While Chairman of Active Energy, Christopher was invited to No.10 on a number of occasions to advise on UK power generation.

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STEVEN FREUDMANN – DIRECTOR - NON-EXECUTIVE CHAIRMAN Dr Steven Freudmann was appointed as a Chairman of Alpha Prospects plc in November 2007. The owner of Wales' largest independent travel agency business from 1967 until 1995 (when he sold to Airtours plc), Steven was a director of ABTA for eighteen years and was its President from 1997 until 2000. In 2001 he was elected Chairman of the Institute of Travel and Tourism and in 2005 he became Chairman of Advantage Travel Centres. In 2008 he was appointed Chairman of the Triton Travel

• Group. In July 2009 Steven was awarded a Doctorate by Leeds

Metropolitan University in recognition of his major contribution to the travel and tourism industry.

BOARD OF DIRECTORS

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• Alpha Prospects is an investment holding company.
• The Board intend to roll out their plan to take strategic investments in companies with fast

growth and/or strong recovery prospects. They have already identified a number of exciting

• pportunities. Typically the companies in which Alpha Prospects will invest are in the small and

micro cap sectors.

• The Company’s interest in its intended investments will be proactive. Where necessary and/or

desirable, it will seek to provide asset-secured finance and/or equity finance for its investments. As such, it will be filling a much-needed commercial gap.

• The Company currently holds several listed and unlisted investments and has minimal debt

and very low running costs.

• Following completion of the fundraising, the Board will continue to invest in companies with fast

growth and/or strong recovery prospects.

AN OPPORTUNITY TO INVEST

Alpha Prospects is looking for shares that have the potential for exponential growth

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EXISTING PORTFOLIO

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CTA

TOGA

EXISTING PORTFOLIO

ROK Stars mission is to incubate, develop and deploy a portfolio of highly innovative ‘game - changing’ brands and products – all with real and significant USP’s - designed to compete with, and

• ut-perform, existing industry giants in a variety of categories.

ROK Stars PLC listed on the Stuttgart Stock Exchange in December 2012. The company was founded by US billionaire John Paul DeJoria and UK entrepreneur Jonathan Kendrick. www.rokstars.com

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Award winning products in its portfolio include :- Oval Vodka: www.ovalvodkas.com “Enjoy More. Hurt Less” - OVAL Vodka, manufactured in Austria in ROK's purpose built vodka factory, is a wholly unique, award-winning, upscale premium vodka made through a patented process which improves the taste of the vodka while reducing the diuretic effects of alcohol consumption. OVAL Vodka reduces the hangover effect. ABK: www.abkbeer.com Aktienbrauerei in Kaufbeuren, Bavaria (approximately 40 miles west of Munich) has been producing the finest beers for more than 700 years. ROK Stars is marketing a range

• f these world-beating beers specifically for export from

Germany under the logo ‘ABK – Since 1308’

EXISTING PORTFOLIO

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Alpha Prospects invested £450,000 in 2013 ROK Natural Energy: Devised as a product to appeal to those who have never drunk an energy drink. Made from 100% natural ingredients, ROK Natural Energy is designed for the more mature palate and, while unisex in its positioning, targets upscale women in particular. In simple terms, Real Irish is a blended Irish whiskey with a characteristically warm, smooth, round spirit overlaid with the influence of ageing in oak casks. Although quite dry, there is a sense of sweetness from having spent time in Bourbon casks and an underlying nutty complexity. Bogart’s Real English Gin: www.bogartspirits.com Launched August 2014, small batch, super premium distilled English Gin. Crafted in Cambridgeshire with time-honored methods using copper pot stills. Botanically infused with fragrant juniper berries, five varieties of coriander, crushed macadamia nuts and freshly prepared citrus zests. Uisce Beatha Real Irish Whiskey: www.realirishwhisky.com For full drinks portfolio visit: www.rokdrinks.com

EXISTING PORTFOLIO

ROK Water Technology plc understand the problems associated with water purification. The company’s technology removes contaminants from frack water, turns desalinated water into potable water which helps both humanity and the environment.

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Evaporation Ponds are used to remove contaminants Farmers in the developing world are experiencing a decline in their harvests In some parts of the world water quality is degrading daily

ROK Water Technology filters fouled water, removes hydrocarbons, arsenic, boron. chlorides, heavy metals, and salt resulting in pure, drinkable water. Alpha Prospects currently owns 126,465 shares www.rokwatertechnologies.com

EXISTING PORTFOLIO

Its main operational subsidiaries include:

• ROK Investment Group (holds IP for the portfolio of products and services),
• ROK Operations (European management and sales operational unit),
• ROK Mobile Protection (holds intellectual properties for the Homeland Security

software suit),

• ROK Americas Inc (manages operations in the Americas),
• ROK TV (a video streaming service for tablet and mobile devices),
• ROK Protective Technologies (Holds IP for a number of technologies from blast

protection to corrosion protection for oil pipes and structures)

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Alpha Prospects invested £50,000 in 2013 www.rokglobal.com ROK GLOBAL PLC is a United Kingdom-based holding company acting as an early stage venture capital organization. Its principal investment aim is the Technology, Media and Telecommunications (TMT) industry segment.

EXISTING PORTFOLIO

• Derlite is an electronics manufacturing company which specialises in the manufacture of gas

ignition systems for the white-goods appliance industry.

• The company, registered in Hong Kong comprises a factory in Thailand currently employing 160

staff, together with a distribution company Gasignition Ltd registered in the UK.

• Derlite’s customers include such well known brands as GDHA (Bellings, Stoves, Lee, New

World, Dimplex, Burco), Whirlpool, GE, Electrolux and Mabe.

• The product range includes spark electrodes, spark modules, wiring and power cords.
• Originally established in Cornwall in 1969 and relocated to Thailand in 2003 the company is

fully equipped to manufacture components as well as being capable of expansion into other areas.

• Primary competitors are located in China however recent increased costs in China have

improved Derlite’s competitiveness.

• Alpha Prospects owns 31.8% of the holding company Derlite Limited.

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Alpha acquired a 31.8% stake for £325,000 in 2013/14

EXISTING PORTFOLIO

Coleridge is a US natural resource holding company with coal rights in Kentucky spanning a significant acreage (23,000 sq. miles) in a prospective and well known area for coal production and development. However, with the continued global downturn in coal demand and the ever increasing pressure from environmentalists, the Board of Coleridge has taken the decision that the most suitable use of it's mineral assets is to leave them in-ground. The Company is aware of a number of innovative methods being explored to extract coal without damaging the environment and without having any impact on emissions or contributing to Global Warming. Consequently, discussions with a successful Waste to Energy (WTE) company have resulted in conditional agreement to utilise the in ground coal assets as collateral for structuring a joint venture to underwrite the ongoing research and development of this important work. We hope to make a formal announcement in early 2016 that will provide shareholders with more detail which will outline the benefits of adopting a responsible and futuristic approach to capitalising on the ownership of coal.

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Alpha purchased a 25% stake in Coleridge for £980,000 in shares in 2012

EXISTING PORTFOLIO

• A pioneering business with the carbon economy agenda at the forefront, Active Energy

Group is a provider of biomass to the European market. EU directives are greatly accelerating demand for Biomass fuel - the European Renewable Energy Council (EREC) estimates that Biomass-based energy production will grow from 43TWh (TeraWatt Hours) in 2005 to 250TWh in 2020 - and several large-scale Biomass power plants are already

• perating in Central and Eastern Europe, with more coming online in the next few years.
• Active Energy Group Plc entered into an important new joint venture agreement to

exclusively commercialise in excess of 100,000 hectares (c250,000 acres) of mature forestry assets in Alberta, Western Canada, which are expected to yield more than 20 million m3 of commercial standing timber.

• The company announced in December 2014 that it had produced and traded over 63,000

metric tonnes of wood chip (Q2:2014 54,802mt; Q1 46,013mt) , the bulk of which was shipped from the Ukraine via the Black Sea to Turkish MDF manufacturers. This further demonstrates the Group’s steady growth production and trading volumes.

www.active-energy-group.com

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Alpha Prospects invested £150,000 in 2010 and £50,000 in 2013

EXISTING PORTFOLIO

• Tasmanian Oil and Gas Australia Pty limited (“TOGA”) is making an application for

an oil and gas exploration licence in Tasmania (ERA981) to the Mineral Resources Department of the Government. The main shareholders of TOGA are Alpha Prospects Plc, Derlite Limited, Hong Kong and Empire Energy International Corporation Inc., USA. All intellectual property, survey results and other work carried out on the licence area has been transferred from Tasmania Oil and Gas Limited to the new entity.

• The body of work done demonstrates that there is a high probability of oil and gas,

primarily gas, being found within the licence area being applied for. The independent report produced provides a very detailed analysis of the area under

• consideration. A number of key staff have been contracted to join TOGA when the

licence is granted and exploration work can begin. Likewise a number of potential contractors have indicated a willingness to support this new venture.

• In spite of the current turbulent market conditions - both in the oil/gas markets and

the capital markets – there has been confirmation from indicative conversations with investors that this project is worth serious analysis given the underlying opportunity. Investors have been identified and, subject to the licence being conditionally offered, TOGA is confident that they will fund the drill programme envisaged. There is interest from a number of parties, in particular in the UK and the US, and it is likely that TOGA itself will seek a listing either in Australia or the USA in due course.

• Once the licence has been granted it is the intention to find industry partners for the

project and it is expected that a farm out of the project to a major oil company will

• ccur. Prospective investors are aware of the long term commitment the project

requires and have indicated that they are eager to have a full role in this potentially very lucrative project.

EL14/2009 Licence area

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Alpha has a 30% interest in TOGA

TOGA

Clean Tech Assets Plc (“CTA”) has established a portfolio of high impact investments primarily in the field of waste oil remediation, with operations in the Bahamas, South America and Middle East. Investments include:

• Operations collecting and reprocessing marine waste oil to deliver a usable energy source.
• Technology to remediate waste or contaminated oils.
• Technology for improvements in heavy oil production and the creation of emulsified fuels.
• Oil production assets.
• Oil exploration and development assets.
• The Board has a wealth of experience in the oil and gas sector and corporate finance.

EXISTING PORTFOLIO

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Alpha invested £50,000 in 2015

Aerial view of Freeport Port, Grand Bahama

CTA

EXISTING PORTFOLIO

Orange Corporate Finance is a rapidly growing corporate finance advisory house servicing growing smaller and medium sized enterprises with the right advice and access to capital. Orange provides corporate advisory services to both quoted and un-quoted companies. The range of services includes:

• Corporate Finance
• Fund raising and advising on flotations
• Mergers and acquisitions
• Lead advisory, strategic and exit route advice

Orange Corporate Finance was founded in 1998 and is based in London.

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Alpha purchased a 9.9% stake in May 2014

SHAREHOLDER INFORMATION (as of 7 September 2015)

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Issued Shares: 321,332,569 Last Traded Price: 3p Capitalisation: £9.64m Directors’ Shares: 88m (27.4%)

Directors’ Shareholdings Director

• No. Shares Held

% Shares Held Christopher Foster 75,528,012 23.5 Steven Freudmann 9,507,000 3.0 Other Significant Shareholders Shareholder

• No. Shares Held

% Shares Held Hill Street Investments Inc 35,205,792 11.0 Tasmania Oil And Gas Limited 29,833,333 9.3 Lunbros 24,434,666 7.6 ROK Stars Plc 18,000,000 5.6 Tony Freudmann 14,280,000 4.4 Empire Energy Corp. Int. Inc. 13,843,800 4.3 Active Energy Group Plc 13,772,095 4.3 Timothy Foster 8,679,397 2.7 CTA Plc 7,986,792 2.4 Timothy Baldwin 3,050,000 1.0 Alpha Prospects Plc does not hold any Ordinary Shares in Treasury

COMPANY DETAILS

PUBLIC RELATIONS: LOTHBURY FINANCIAL SERVICES Floor 1, 17 St. Swithins Lane London EC4N 8AL AUDITORS: SHIPLEYS LLP Chartered Accountants 10 Orange Street Haymarket London WC2H 7DQ REGISTERED OFFICE: 37, Billing Road Northampton NN1 5DQ COMPANY REGISTRATION NUMBER: 05813575 LAWYERS: BRACHER RAWLINGS LLP 77, Kingsway London WC2B 6SR REGISTRAR: SHARE REGISTRARS LTD Suite E, 1st Floor 9 Lion and Lamb Yard Farnham Surrey GU9 7LL CORPORATE ADVISER: PETERHOUSE CORPORATE FINANCE LIMITED 3 New Liverpool Street 15, Eldon Street London EC2M 7LZ

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www.alphaprospectsplc.com