From Enquiry to Funding
Five stages, disciplined.
Every engagement runs the same disciplined path, from a confidential enquiry to funding. A single named principal is accountable from first contact through the life of the facility.
| — | Stage | What happens | Timing |
|---|---|---|---|
| 01 | Confidential Enquiry | You share the issuer, ticker and the size of the position under NDA; no material non-public information is exchanged.We open under a mutual non-disclosure agreement and take only the high-level facts of the holding and the financing requirement. The firm lends as principal off its own balance sheet, so there is no broking, no syndication and no third party to satisfy. | Day 0 |
| 02 | Indicative Terms | A preliminary structure with sizing and headline economics, typically within one to two business days.We return an indicative term sheet calibrated to the stock, the venue and the use of proceeds. It is a starting point for refinement against your objectives, not a published rate card or a binding commitment. | 1-2 business days |
| 03 | Structuring & Due Diligence | KYC and AML, a share and market review, and the recourse and covenant terms are settled in parallel.We complete counterparty verification and source-of-funds checks while reviewing liquidity, free float, lock-ups and disclosure obligations on the line. Recourse, margining and event terms are agreed so the facility fits the position rather than the reverse. | Concurrent |
| 04 | Documentation & Custody | Institutional documents are signed and the pledged shares move to a qualified custodian in a bankruptcy-remote structure.Terms are formalised under institutional documentation with counsel of your choosing. Collateral is held at a qualified custodian under bankruptcy-remote arrangements, and your beneficial ownership of the shares is preserved throughout. | On signing |
| 05 | Funding & Stewardship | Proceeds are released against the agreed timeline, with one named principal accountable for the life of the facility.Capital is deployed once conditions are met, with no sales chain between you and the decision-maker. The same principal who priced the loan stewards it to maturity, including any rolls, releases or restructuring. | On funding |
Preparation
Preparation
What we need from you.
- The issuer and ticker, and the listing venue
- Size of the position, plus any lock-ups, restrictions or related-party status
- Identity and KYC documents for the holder and any controllers
- Source of funds and source of wealth
- The intended use of proceeds and the timeline
- Details of your legal, tax and accounting counsel
- Any existing pledges, financing or encumbrances on the shares
Ready to begin?
Write to us in confidence; a senior principal will reply within one business day.