SU&Financial Investment

SU&Financial Investment(SUFI) was established in June 2016 and was registered as a new technology project financing company in
2017. Since then, SUFI provides tailored solutions that satisfy our clients’ needs by means of new technology project financing fund
and private equity fund.
1. New Technology Project Financing Company*
Definitionㆍ “New Technology Project Financing Company” means an institution registered with the
     Financial Services Commission for new technology business and that does not concurrently
     conduct credit card business, facility leasing business, installment financing business or other
     financing business prescribed by Presidential Decree.
ㆍ “New Technology Business Investment Association(fund)” means associations established by
     any new technology project financing company through joint investment with a person other
     than a new technology project financing company or operated and managed by a new
     technology project financing company, seeking to invest to new tech business entities.
ㆍ “New Technology Business Entity(targets)” means a SME engaging in research, development,
     improvement and commercialization related to new technology business excluding enterprises
      engaging in insurance activities, real estate activities and other activities that are barely related
      to new technology business.
Scope of Applicationㆍ Investment in new technology business entities
ㆍ Providing loans to new technology business entities
ㆍ Providing managerial and technical assistance to new technology business entities
ㆍ Establishing new technology business investment association
ㆍ Managing or operating the funds of new technology business investment association(fund)
(*) For details, please refer to Specialized Credit Finance Business Act
2. Investment Process
SU&Financial Investment follows the investment process as below.
Deal Sourcingㆍ Deal sourcing through fully utilizing deep know-hows and professional skills in relation with FAS
     and cross-border deals and global networks owned by SU&Partners
ㆍ Deal sourcing through professional networks such as KRX(Korea Exchange) M&A intermediation
ㆍ Deal sourcing through private networks(M&A forums and sessions led by CEO, etc)
Investment Decisionㆍ Capable of making precise and prompt investment decisions on the basis of various investment
     and M&A experiences along with pre due diligence conducted by our dedicated professionals
     including certified public accountants
ㆍ Effectively implementing investment strategies with precise and prompt investment decisions
     in line with punctuality, which would maximize a target’s growth and our clients’ interests
Exitㆍ Actively identifying company-specific factors by having frequent communication with
     management and releasing a regular report to our LPs
ㆍ Effectively increasing a firm value of the targets by risk management and growth strategies
     while maximizing returns with establishing best exit strategies, considering the related
     market trends
3. Investment Strategy
SU&Financial Investment invests in domestic and overseas companies and seeks best returns while minimizing risks by diversifying
our portfolio.
Investment Method
SUFI forms either new technology business investment association(fund) or private equity fund to make an investment in various
types such as mezzanine, common stock and preferred stock.
Investment Targets
SUFI invests in undervalued companies including listed companies and privately-held companies in a growth stage or an early
maturity stage.
ㆍ Co-buy out investment with SI for acquiring
     undervalued listed companies
ㆍ Bridge loan investment
ㆍ Mezzanine investment on blue-chip companies
ㆍ Co-buy out investment with SI for acquiring
     undervalued listed companies
ㆍ Bridge loan investment (typically up to a year)
ㆍ Mezzanine investment on blue-chip companies
ㆍ Pre-IPO investment
ㆍ Equity investment on companies preparing for
     SPAC and back door listing
ㆍ VC investment on companies with unique
Investment Strategies
SUFI applies the following investment strategies
1ㆍ Buy-out Investment
     Identify undervalued blue-chip companies originally equipped with competitive advantages and make a
     buy-out investment for them to maximize their firm value by using our global networks
2ㆍ Growth Capital Investment
     Identify companies with disruptive innovation other than companies that grow with lower cost strategies
     and make a growth capital investment for them to effectively grow with our deep insight and understanding
     across various industries
3ㆍ Overseas Investment or JV Investment
     Identify companies in early maturity stage stuck in a stagnated market and help them grow further with
     an overseas investment or JV investment via our global networks
4. Risk Management
SU&Financial Investment has a compliance officer and an auditor in order to control risks and to maintain financial soundness and
always prioritize our investors. In addition, we ultimately seeks to contribute for fostering the capital markets.
Risk Management Procedure
Pre-Management MonitoringPost Management
ㆍ Risk management + Regulation
     in place
ㆍ Pre-examine the potential risk
     factors and prepare preventive
ㆍ Constant and strict monitoring
     against market risk
ㆍ Maintain surveillance system for
     inspecting market volatility
ㆍ Creating procedure for risk
ㆍ Organize the risk management
ㆍ Inspect compliance of regulations
     and apply to performance evaluation