Overview

Welcome to Karmen Equities. Since 1997, have been working with emerging growth companies in connection with their merchant banking needs, including utilizing our network of broker dealers to raise capital, and our in-house capabilities to structure transactions, provide legal services and help our clients grow through private and public capital markets transactions.

We are proud of our company's evolution over the years. Through an expanded focus on facilitating our client's capital raising efforts, international expansion into the emerging markets, and particularly helping bridge the gap between companies from China seeking financing and listing in U.S. Capital Markets.

As both a byproduct and complement to our merchant banking and international expansion strategy, Karmen Equities has developed a comprehensive asset management advisory business. We currently provide principal fund management to two different funds that make direct investments into companies in China and abroad. We partner with local governments in China, as well as advisors and management teams in the United States and South East Asia to complement our family of other services and products.

We also have relationships with several sources of investment capital that often provide funding to our clients and co-invest with the funds that we provide management services to, in order to coincide with the closing of our transactions in the following areas:

  • Private Equity
  • Venture Capital
  • Reverse Mergers
  • PIPEs
  • Foreign Direct Investment in China
  • Stock Exchange Listings

Our experts in China and the United States offer our clients a turnkey solution as our organization includes individuals with expertise and knowledge in all the areas that are required to successfully complete their capital markets process

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ABOUT KARMEN EQUITIES

MERCHANT BANKING

We provide capital raising and advisory services to public and private companies across multiple sectors and regions with particular focus on Information Technology, CleanTech, Energy, and Metals & Mining. Our merchant bankers also have expertise in Industrials, Agritech, Real Estate and a variety of special situations. In each of these, we bring to bear our depth of experience, our advisory skills, and our cross-cultural prowess, working to understand a company's needs and goals before offering our advice or structuring a transaction.

Fundamentally, at Karmen we recognize that business between the United States and China requires in depth experience and skill understanding business culture nuances, as well as fostering relationships. We build those relationships, and the trust that flows from them, every day and over many years. Our team has proven to be successful in establishing long-term relationships with the senior management of many of the companies within our core sectors in China and in other locations. Our goal is to provide these companies with capital origination services and strategic advice throughout their stages of development.

We specialize in:

  • Private Investment in Public Equity (PIPEs)
  • Private Placements for Private Companies
  • Initial Public Offerings (IPOs)
  • Registered Direct Offerings (RD)
  • Follow-On Offerings
  • Reverse Merger Transactions

CORPORATE & SECURITIES LAW

The capital raising process for emerging growth companies not only requires a thorough understanding of general securities laws, it requires specific knowledge relative to the client's size and expectations. Karmen Equities draws upon the expertise of our in-house securities attorney, fund managers, together with the resources provided through an arrangement with several national law firms.

From the initial organizational meeting, to the closing of the transaction, and thereafter as our client grows within U.S. public capital markets, there are various steps that require legal expertise:

Directorship Services

  • Assisting public and private companies by providing Directorship services
  • Advising on Corporate governance, independence, and SOX committee compliance

Transaction closing and related documents

  • Corporate Structuring
  • Subscription, Registration Rights, Merger or Exchange Agreements
  • Directors' Resolutions
  • Proxy Materials
  • Shareholder Meeting Material
  • Employee Incentive Plans, Management Agreements

SEC Filings

  • Form 10
  • Forms 10-K, 10-Q, 8-K, 20-F, 6-K
  • Registration Statements

Listing Activities

  • 15c2-11
  • NASDAQ and NYSE Alternext

INVESTOR RELATIONS

Regardless of how a company becomes public, once listed, every public company shares the challenge of conveying its story to the financial marketplace. Through arrangements with public relations firms, Karmen Equities has the capability to offer our clients the finest in financial public relations. Areas of expertise and services provided include:

Shareholder Communication

  • Annual Reports
  • Quarterly Reports
  • Periodic Reports

Media Communication

  • News Releases
  • Feature Stories

Other Communication

  • Company Profiles
  • "Road Show" presentations
  • Reporting Services reports

Communications with the Investor Community

  • Brokerage Firm presentations
  • Conference Calls
  • One on One Meetings

FUND MANAGEMENT

Karmen has expertise in managing and providing management services to private equity funds, venture capital funds, and growth funds that invest in China. Karmen helps LPs and fund management teams generate superior risk adjusted returns with full transparency and liquidity. We customize innovative products and services to address the investment needs of LPs and GPs on an international scale, and in China. We act as a bridge between deals in China and international investors.

We provide a wide spectrum of fund management and transactional expertise to our clients, whether they be small or large management teams, public or private companies, and across multiple sectors and regions. Our merchant bankers support our depth of experience, advisory skills, and our cross-cultural prowess to deliver various transactional structures to best meet our client's needs. We are particularly adept at funds involved in:

Private Equity

Venture Capital

Growth Stage Investments

Private Investment in Public Equity (PIPEs)

Initial Public Offerings (IPOs)

Registered Direct Offerings (RD)

Reverse Merger Transactions and Acquisitions

Special Purchase Acquisition Company (SPAC) Transactions

Foreign Direct Investment Transactions in China

Listings on the Nasdaq, NYSE Alternext, and other major stock exchanges

Our experts in the United States and China offer our clients a turnkey solution as our organization includes individuals with expertise and knowledge in all of the areas that are required to successfully complete their capital markets process through private placements, reverse merger transactions, special purpose acquisition companies, capital pool companies, initial public offerings, and secondary offerings. By doing so, we advise our clients on strategic planning, corporate and securities laws, SEC accounting, investor relations, capital raising and investment banking-related matters.