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Water Tower Research

Research from Water Tower Research

Water Tower Research is a leading equity research firm that provides research on micro, small and mid cap companies.

Water Tower Research was founded by Wall Street veterans after witnessing a fundamental shift in the investment research industry with the result being a declining knowledge base among investors, a lack of awareness and a shrinking pool of fundamental research being conducted on companies across the small-cap and micro-cap spectrum. The same issues are now increasingly occurring in the mid-cap space. This sea change within the investment community is impacting not only the companies themselves but also current shareholders and potential investors. With significantly less active sell-side sponsorship by Wall Street, a substantial information gap has developed between companies and various constituents in the financial community. The net result is fewer channels for insight and information to flow between companies and investors.

Equity Research Firm

Equity Bottom-Up

<ul><li>SES announced it is unable to complete the preparation of its Annual Report on Form 10-K (the “Form 10-K”) and its audit in time for the fiscal year ending December 31, 2022.</li><li>The Securities and Exchange Commission (SEC) has received the company’s form NT 10-K, which grants a 15-calendar day “grace period” for filing its Form 10-K.</li><li>SES expects that its Form 10-K should be filed on or before March 16.</li></ul>

SES announced it is unable to complete the preparation of its Annual Report on Form 10-K (the “Form 10-K”) and its audit in time for the fiscal year ending December 31, 2022.The Securities and Exchange Commission (SEC) has received the company’s form NT 10-K, which grants a 15-calendar day “grace period” for filing its Form 10-K.SES expects that its Form 10-K should be filed on or before March 16.

Update on Year-End Cash Balance and Status of Annual Report on Form 10-K

Thematic (Sector/Industry)

<ul><li>The WTR Sustainable Index underperformed the broader market, falling 4.9% W/W versus the S&amp;P 500 Index (down 2.7%), the Russell 2000 Index (down 2.9%), and the Nasdaq Composite Index (down 3.3%).</li><li>Advanced Transportation Solutions (70.2% of the index) drove the underperformance, falling 6.0% , while Energy Technology (8.3% of index) was down 5.4% and Industrial Climate and Ag Technology was down 1.9%.</li><li>Top 10 Performers: NNOMF, LMRMF, VMC.V, APPH, FIX, AROC, LOOP, KTOS, CUBXF, TPIC</li></ul>

The WTR Sustainable Index underperformed the broader market, falling 4.9% W/W versus the S&amp;P 500 Index (down 2.7%), the Russell 2000 Index (down 2.9%), and the Nasdaq Composite Index (down 3.3%).Advanced Transportation Solutions (70.2% of the index) drove the underperformance, falling 6.0% , while Energy Technology (8.3% of index) was down 5.4% and Industrial Climate and Ag Technology was down 1.9%.Top 10 Performers: NNOMF, LMRMF, VMC.V, APPH, FIX, AROC, LOOP, KTOS, CUBXF, TPIC

Weekly Sustainable Investing Surveyor: Week Ended February 24, 2023

<ul><li>On February 9, SES announced it was awarded cash grants from the South Korean Central Government, represented by the Ministry of Trade, Industry and Energy (MOTIE), as well as Chung-Buk Province and Chung-Ju City.</li><li>In September 2022, President Yoon Suk Yeol of the Republic of Korea invited Dr. Qichao Hu, CEO and founder of SES, to a meeting, which included CEOs of renowned US technology firms, to discuss how SES and the South Korean government may collaborate to advance next-generation battery technology.</li><li>Following this meeting, SES announced its intention to increase investments in South Korea to support manufacturing and development of its large-capacity Apollo cells.</li></ul>

On February 9, SES announced it was awarded cash grants from the South Korean Central Government, represented by the Ministry of Trade, Industry and Energy (MOTIE), as well as Chung-Buk Province and Chung-Ju City.In September 2022, President Yoon Suk Yeol of the Republic of Korea invited Dr. Qichao Hu, CEO and founder of SES, to a meeting, which included CEOs of renowned US technology firms, to discuss how SES and the South Korean government may collaborate to advance next-generation battery technology.Following this meeting, SES announced its intention to increase investments in South Korea to support manufacturing and development of its large-capacity Apollo cells.

Awarded Monetary Grants from South Korean Government

Weekly Sustainable Investing Surveyor: Week Ended January 13, 2023

Weekly Sustainable Investing Surveyor: Week Ended January 6, 2023

United States

SES AI Corporation provides energy storage solutions. The Company develops and manufactures lithium-metal (Li-Metal) rechargeable batteries for electric vehicles (EVs) and other applications. SES AI serves customers worldwide.

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SES AI Corp (SES US)

Update on Year-End Cash Balance and Status of Annual Report on Form 10-K

SES announced it is unable to complete the preparation of its Annual Report on Form 10-K (the “Form 10-K”) and its audit in time for the fiscal...

Water Tower Research

Weekly Sustainable Investing Surveyor: Week Ended February 24, 2023

The WTR Sustainable Index underperformed the broader market, falling 4.9% W/W versus the S&P 500 Index (down 2.7%), the Russell 2000 Index...

Water Tower Research

Awarded Monetary Grants from South Korean Government

Following this meeting, SES announced its intention to increase investments in South Korea to support manufacturing and development of its large...

Water Tower Research

Weekly Sustainable Investing Surveyor: Week Ended January 13, 2023

SUMMARY Previous Research Electrovaya, Inc. (EFL) An Update on Recent Events with Dr. Raj DasGupta Soluna Holdings, Inc. (SLNH) Project Dorothy...

Water Tower Research

Weekly Sustainable Investing Surveyor: Week Ended January 6, 2023

SUMMARY Last Week’s Research Electrovaya, Inc. (EFLVF, EFL) An Update on Recent Events with Dr. Raj DasGupta Previous Research Soluna Holdings,...

Water Tower Research

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