Key Metrics
Upstream is the only securities market seeking to offer investors direct exchange access to primary and dual listed equities from all over the world.
Upstream is a MERJ Exchange market. MERJ is licensed and regulated by the Financial Services Authority Seychelles and Central Bank of Seychelles.
Market is live and available on the App Store and Google Play store for international investors to deposit, buy, and sell stocks and Collectibles from U.S., Canadian, European and international companies using a credit/ debit card, PayPal, USDC or USD.
Upstream features 20 hours a day, 5 days a week trading with streamlined onboarding and transparent orderbooks. The software was designed to prevent short selling, market makers, payment for order flow, and other possible market manipulation techniques thanks to Horizon’s smart-contract technology design.
Upstream introduces trading without the traditional middlemen that take cuts of investors’ returns.
Authorized STAMP Medallion Guarantor, member of the U.S. Securities Transfer Agents Medallion Program.
API integrations with stock exchanges via registered Transfer Agents.
Upstream operates as a “qualified” digital securities custodian for MERJ Exchange Limited.
Join our founders and early stage investors which includes U.S. public companies, Wall Street bankers, transfer agents, IR firms, law firms, hedge funds, and celebrities as we take on the next stage of growth and innovation.
Fees are earned by GlobexUS subsidiaries. MERJ receives separate listing and regulatory fees.
Addressable Market
on WFE Exchanges1
use the top 5 mobile trading apps3
Equity Market Capitalization2
Global Equity Crowdfunding Market4
Mohit Bhansali, CEO, Equity Stock Transfer
Jonathan Keim, Director of Investor Communications, IBN (InvestorBrandNetwork)
International investors typically use on-line or local brokerages/banks operating ‘payment for order flow’ and T+2 settlement.
Many foreign stock markets lack a direct app-based trading solution to reach modern investors seamlessly.
Oversea investors face trading hours that may not match U.S. market hours and a lack of transparency on whether they’re getting the best possible prices.
Upstream allows issuers from all regulated markets to dual list and qualified global investors may purchase such dual listed securities that are listed on Upstream. U.S. investors may not deposit, buy, or sell securities Upstream. Investors are not investing in Upstream. They are investing in GlobexUS, the parent company of Horizon, which powers Upstream—the first large-scale application of our technology—operated by a 50/50 JV Partnership with MERJ Exchange (MERJ) and Horizon, a wholly owned subsidiary of GlobexUS Holdings Corp.
Outcomes cannot be guaranteed.
Global Exposure For Issuers
Market makers are in charge. Retail trading orders may only be executed by a broker-dealer or DMM. Only market-making broker dealers are allowed to make markets!
Secretive stock lending of shareholders’ shares between broker-dealers causes rampant short selling with huge lending fees paid, with mostly stockbrokers and market makers benefiting!
0% trading fees are a fallacy because stockbrokers are paid by market makers for clients’ retail order flows, and market makers simply widen their bid/ask spreads to secretly cover this cost, meaning all retail trade prices suffer.
Naked short selling is, by U.S. law, only allowed to be done by market makers in certain circumstances, and such practices unfairly impact capital formation for small cap. issuers. SEC Reg. SHO does little to address this!
Public Markets for Retail
Timeline
NYC
Initial Contribution $18.75of Software*
1st Round Funding
$20m Valuation
$1.75m from Wall Street Professionals & Service Providers
Built and deployed ETSware, KYCware, AMLCop, CustodyWare & OpenOrderbook blockchain and compliance software
Joint Venture with MERJ Exchange, an affiliate of World Federation of Exchanges
2nd Round Funding
$50m Valuation
$2.25m
Collectible market launch
1st dual listing application
Custodial account launch for under 18s
Litecoin founder Charlie Lee joins advisory board
3rd Round Funding
$75m Valuation
$2.52m
First dual listings on Upstream
STAMP medallion guarantor
20+ issuers in pipeline
Market orders
Market Pool liquidity
Options trading
12,700 users
$75m valuation
Current Round
*contribution of software from founder acquired 11-Aug-2017, see page 12; https://www.sec.gov/Archives/edgar/data/225211/000161577417004367/s107126_10q.htm. Outcomes cannot be guaranteed.
Meet the Team
An experienced public and private company CEO, Brian founded Horizon in 2010 and prior to this he specialized in the design of trading software for Swiss banks. Brian graduated in 1990 with a B.Sc.(Hons) in Computer Systems from the University of Limerick, Ireland.
A Wall Street veteran with over 30 years of experience, Mark co-founded a U.S. Broker-Dealer and is responsible for leading the first successful Reg A+ IPO to list on the NYSE. Mark is a graduate of the University of Maryland with a BS in Finance and holds Series 24, 62, 63, 79, 82, and 99 licenses.
Andy joined Horizon in 2013. He previously worked as a software engineer with Dell Inc., Lehman Brothers and Nomura Plc. and was co-founder of Juneberi Ltd., a research driven software tech start-up. Andy graduated in 2006 with a Ph.D. in Computer Science from the University of Limerick, Ireland.
Pete joined Horizon in 2011. Pete previously worked at Microsoft, Atos Origin and AIT Group Plc. Pete has held CISSP certification since 2010. Pete graduated from the University of Sheffield, UK in 1995 and holds an MSc (Distinction) Degree from the University College London in 2006.
A Wall Street veteran, Mike co-founded a U.S. Broker-Dealer and served as its Chief Compliance Officer. Mike holds an MBA from John Hopkins University and a BS degree in Mechanical Engineering from the University of Maryland. Mike holds Series 24, 62, 63, 79, 82 and 99 licenses.
Vanessa is a passionate fintech marketing leader with 7 years’ experience, leading the go-to-market efforts for Horizon's fintech product suite and Upstream, resulting in a 2000% surge in app sign-ups within an 8-month period. She joins the Horizon team from Issuance Inc., formerly known as CrowdfundX, where she was part of the team responsible for marketing the first Reg A+ IPO to list directly onto the NYSE and others that listed directly onto NASDAQ.
An experienced securities, corporate finance and corporate law attorney, Lou is name partner at Hunter Taubman Fischer & Li LLC where he represents issuers, broker dealers and investors in connection with both public and private transactions. Lou earned a BS from Syracuse University and JD from New York Law School where he graduated cum laude. Lou is a member of the New York State Bar Association and the ABA FINRA subcommittee.
Tim joined Horizon Fintex in 2011. Tim previously worked as head of IT and Customer Services at SatCom Global, gaining an industry-leading reputation for customer services under Tim’s guidance. In moving to Horizon Fintex, Tim brought core skills in project management, training and technical documentation to manage Horizon’s portfolio of products.
Meet our Advisory Board
Upstream employs a revenue model that involves charging recurring listing fees to issuers and a 1% trading fee to investors.
On Upstream, international shareholders can migrate shares to Upstream, via transfer agent, for increased liquidity potential.
Issuers can promote their company around the world and generate awareness for their company leveraging Upstream’s media community.
New global investors can gain access to securities from around the world directly from the Upstream trading app.
Shares that trade on NYSE, NASDAQ, OTC, TSX, CSE, Euronext and other markets represent the same class of shares that trade on Upstream. Upstream listings are not American Depositary Receipts (ADRs), ensuring that investors have direct exposure to the underlying securities. Investors are not investing in Upstream. They are investing in GlobexUS, the parent company of Horizon, which powers Upstream—the first large-scale application of our technology—operated by a 50/50 JV Partnership with MERJ Exchange (MERJ) and Horizon, a wholly owned subsidiary of GlobexUS Holdings Corp.
Upstream facilitates primary sales of digital collectibles on behalf of issuers, and charges an 18% primary sale fee.
Upstream charges a 1% trading fee on secondary digital collectible trading
Digital collectible creators are responsible for promoting their digital collectible sales, and although there is theoretical revenue that Upstream can earn for currently listed digital collectible primary sales, material sales have yet to occur.
Upstream is a MERJ Exchange market, MERJ is licensed and regulated by the Financial Services Authority Seychelles and Central Bank of Seychelles
FSA Seychelles is an associate member of IOSCO – the International Organization of Securities Commissions
IOSCO is an international standard setter for regulation of securities and financial markets. The same principles are followed by every major securities exchange in the world
MERJ Exchange is a Regulated Market and Primary Listing Venue; meeting the same criteria as the major markets around the world such as London Stock Exchange, New York Stock Exchange, Nasdaq, CBOE, and CME.
MERJ Exchange is currently an affiliate of WFE and is applying for full member status.
The WFE comprises the most trusted operators of securities infrastructure globally.
This is common criteria for institutional investment mandates. A critical factor for distribution.
MERJ is a Qualified Foreign Exchange for OTC Markets in the U.S.
This means companies listed on our main and SME boards can leverage both OTCQX and OTCQB to access an efficient and cost- effective secondary market in the U.S.
MERJ is also a National Numbering Agency and a full member of ANNA (Association of National Numbering Agencies)
ANNA is a global association of central banks, CSDs, regulators and stock exchanges who are responsible for assigning ISIN and CFI codes. There is only 1 National Numbering Agency per jurisdiction.
MERJ has been deemed a designated Recognized Stock Exchange by the UK Tax Authority - His Majesty’s Revenue and Customs (HMRC) for the purposes of the Income Tax Act.
This allows certain MERJ listed securities to form part of Self Invested Pensions (SIPP) and Individual Savings Accounts (ISA), as well as qualifying for the Quoted Eurobond Exemption (QEE).
100 issuers
50,000 users
Series A Non Voting Convertible Preferred Stock
GlobexUS Holdings Corp., a Delaware corporation is the issuer of this private placement.
Brian Collins: CEO, Co-founder, Technologist
Mark Elenowitz President: Co-founder, Wall Street Veteran
Mike Boswell: CFO, Financial Professional, Wall Street Veteran
Dr Andy Le Gear: CTO, Technologist
Pete Hall: CIO, Technologist
Vanessa Malone: Marketing Lead
https://raneum.com, an Ethereum layer-2 that rolls-up to Ethereum mainnet. All Upstream smart contracts are programmed in Solidity.
No, Horizon, a wholly owned subsidiary of GlobexUS Holding Corp has a 50/50 JV Partnership with MERJ Exchange (MERJ) which operates Upstream as a fully regulated and licensed integrated securities exchange, clearing system and depository for digital and non-digital securities. Horizon powers Upstream—the first large-scale application of our technology.
Any non-U.S. or Canadian investor can trade securities on Upstream. Everyone can trade Collectibles on Upstream. Investors in this offering are not investing in Upstream. They are investing in GlobexUS, the parent company of Horizon, which powers Upstream—the first large-scale application of our technology—operated by a 50/50 JV Partnership with MERJ Exchange (MERJ) and Horizon, a wholly owned subsidiary of GlobexUS Holdings Corp.
Yes, Upstream allows USDC deposits on Ethereum layer-1 and operates a bi-directional layer-2 bridge smart-contract. USDC deposits will eventually be sold for US Dollar fiat, which is deposited at Upstream’s U.S. banking partner in the user’s name.
No, Upstream only lists public securities that originate from a regulated transfer agent, not cryptocurrencies.
All deposits are held in the name of the Upstream user (for further credit) at Upstream’s U.S. banking partner.
Yes, a person's name and address must be verified.
All shares are legally treated as “assets held away” and in the event of Upstream’s liquidation, all shares are returned to each issuers transfer agent and recorded in book-entry in the shareholder's own name/address.
Yes, Upstream supports covered calls and cash-covered puts.
Regulation CF allows investors to invest in startups and early-growth companies. This is different from helping a company raise money on Kickstarter; with Regulation CF Offerings, you aren’t buying products or merchandise - you are buying a piece of a company and helping it grow.