Pan-Asia Catalysts/Events, Quiddity Advisors

Travis Lundy

HK Type 4 license through Ballingal Investment Advisors Ltd. ("BIA" or "BIAL")

BACKGROUND
I have 20+yrs experience in Asia doing alternative strategies (i.e. non-delta1 non long-only) in fixed income, equity derivatives, and activist/catalyst/event-driven and long-short equity strategies with most of that time spent managing money. 

4 years in fixed income macro, 8 years running internal hedge fund and 4yrs investment banking at Citi in Japan, 3 years running an Asia multi-strat portfolio at a hedge fund, 4+yrs as an independent special situations analyst.

Pan-Asia Catalysts/Events

Quiddity Advisors

Event-Driven

<p>At the end of October (October 27th to be exact), then-MOTHERS-listed smallcap IT infrastructure business <a href="https://www.smartkarma.com/entities/26015" target="_blank" data-smartkarma-citation="entities:26015:1">SERAKU Co Ltd (6199 JP)</a><a href="http://contents.xj-storage.jp/xcontents/AS03289/a127a53e/6d89/4953/a647/10d2738146f7/140120171026400204.pdf" target="_blank">announced</a> (J-only) an equity offering of 1.2mm shares (with over-allotment of 180k shares) to be priced some ten days later. This was accompanied by an <a href="http://contents.xj-storage.jp/xcontents/AS03289/b00cfd07/78ce/4758/bec2/f8ec43b55d2b/140120171026400184.pdf" target="_blank">announcement</a> (J-only) that the company had applied to the TSE to be reassigned and the TSE had decided that as of the 20th of November, it would list either on the TSE Second Section or TSE First Section (this lack of…</p>

At the end of October (October 27th to be exact), then-MOTHERS-listed smallcap IT infrastructure business SERAKU Co Ltd (6199 JP)announced (J-only) an equity offering of 1.2mm shares (with over-allotment of 180k shares) to be priced some ten days later. This was accompanied by an announcement (J-only) that the company had applied to the TSE to be reassigned and the TSE had decided that as of the 20th of November, it would list either on the TSE Second Section or TSE First Section (this lack of…

Seraku (6199 JP) Smallcap TOPIX Inclusion Set for End-December