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 Case Studies
- We were paired up with a very large multinational investment bank to co-lead this private placement. While we were given a 25% allocation, we ended up finding the lead investor and placing 63% of the transaction.
- Company needed funding to better position itself to negotiate with potential licensees, prior to generating any significant revenue.
- Selling the transaction required a deep understanding of the technology and fundamentals.
- We were able to validate the technology and clarify the opportunity for institutional investors.
- The transaction was completed in less than 4 weeks.
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- We raised approximately $26M in two private transactions.
- Senior bankers at Halpern Capital were able to clearly communicate the business plan and potential for future success to investors, despite limited historical revenue, profits and growth.
- High caliber institutional investors participated in the funding including Angelo Gordon, Pinnacle Fund, Walker Smith and Pequot Capital*.
- During the course of the road show, the deal was shown to over 40 institutions.
* Investors are listed from the SB-2 registration statement. |
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- We raised $5M in a private placement for Kleinfeld Bridal with one of the leading private equity funds in the country.
- Halpern Capital stepped-in and co-brokered the transaction with a retail oriented investment banker who could not get the deal placed.
- The Halpern Capital team worked with the new management of Kleinfeld to develop a funding strategy to complement the company’s brand equity and growth initiatives.
- The transaction has helped the company move from its original shop established in Brooklyn in 1941 to its flagship store in midtown Manhattan, allowing it to capitalize on much better foot traffic.
- After meeting with many funds, we managed to pair the Kleinfeld team with investors that not only understand retail, but are now partnered with management to grow the business to the next level.
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- We raised $33M in a private transaction that took just one week from initiation to final funding.
- The straight equity deal came at a price of $5.25, which represented a 5% discount to the market.
- No warrants were issued and the stock was registered just one month after the close.
- During the course of a four day road show, the deal was exposed to over 25 institutions and 14 participated as investors.
- Notable institutions participating in the transaction included Gruber & McBaine, Arbor Capital, Willow Creek and Deutsche Bank.
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- Designs, Inc. planned to raise $20M in a common stock private placement and more than $50M in mezzanine debt from institutional clients in order to bid on the assets of Casual Male Corp.
- The raise was required to be completed in less than one month, and we were retained to raise the equity portion of the deal.
- We were therefore asked to raise additional equity and raised $70M within three weeks from the start of the assignment.
- We also raised approximately $25M in mezzanine debt from some of our traditional equity investors.
- The company’s other bankers were not successful in raising any funds.
Transaction completed prior to forming Halpern Capital, Inc. by predecessor entity |
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