Livingston Securities LLC

PRIVATE EQUITY CAPITAL MARKETS

Our Private Capital Markets Group has created a leading franchise through our differentiated and highly customized process that leads to the best execution for our clients.

In recent years, a robust market has developed for private equity offerings undertaken to benefit:

- Private companies who wish to raise capital while remaining private
- Early stage companies who wish to raise growth capital but are not yet ready to be public entities
- Public companies who wish to issue private securities.

Examples of the types of private placements that companies can issue include growth capital, pre-IPO convertibles, private investments in public equity (PIPES), mezzanine debt and equity, and equity offerings completed as a private placement under Rule 144A.

For each of our clients, our professionals bring to bear the full resources of the firm to provide the most effective and efficient process.

Fully integrated with the Public Capital Markets team, we provide coordinated and objective advice, allowing us to pursue the transaction that best meets the needs of our clients. As a dedicated group of professionals, the Private Capital Markets team provides our corporate clients with highly relevant experience and unparalleled access to senior professionals across multiple pools of capital including venture, private equity, hedge funds, senior and subordinated lenders, mezzanine funds and public institutions.

Livingston Securities is a market leader in Private Placements, Private Investments in Public Equity (PIPEs), Registered Directs (RDs), and SPACs for companies working in nanotechnology related fields.

The Private Equity Group maintains a proprietary database of over five thousand private equity institutional investors including venture capital funds, financial institutions, mutual funds, hedge funds, strategics and qualified high net worth investors. This database allows us to target the optimal investor universe for our clients, resulting in a more efficient private placement process. By providing credible, third-party sponsorship, and leveraging its close relationship with the institutional investor community, Livingston Securities consistently positions issuers with leading investors.

Our clients find working with us provides them with advantages not seen in larger firms, including:

- A focused group of experienced Private Placement specialists
- Highly organized and expedient execution process saves management time and effort, and prepares a private issuer for future rounds of financing in the public or private markets
- Senior Management attention of a client focused, growth oriented firm
- Deep knowledge of private and public equity markets, based on established relationships and daily contact with equity and equity-linked investors worldwide
- Strong distribution capabilities to leading private equity investors, financial institutions, mutual funds, hedge funds and sector specific funds
- Opportunity to participate in multiple industry conferences and events
- Livingston Securities full-service investment banking platform can provide financing and advisory services through all stages of a company's growth

Sample Transactions

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PRIVATE EQUITY CAPITAL MARKETS