As one of Canada’s leading independent investment banks, Hampton’s Capital Markets professionals are focused on serving both the financial and advisory needs of small to mid-cap growth companies across a wide array of industries and sectors.

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PRIVATE ISSUERS
PUBLIC ISSUERS
CAPITAL POOL COMPANIES

Our Capital Markets Team.

Relying on our years of experience, being able to navigate issuers through the many perils that befall early-stage companies remains invaluable, for both private and public issuers alike, who are looking to methodically and strategically grow their businesses to stand the test of time.
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Although sector agnostic, our team prides itself on working with experienced management teams who exhibit strong entrepreneurial backgrounds, and have a history of past successes establishing, scaling, and exiting prior endeavors.
Our specialty lies in advising and financing, over a number of years, early-stage private issuers either through to the public markets or through to a private liquidity event, be it via private sale or strategic merger.
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Above all, we are committed to establishing and maintaining long term relationships built on years of trust, and laying the ground work for the continued success and growth of our clients for years to come.
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Our meticulous attention to detail and thoroughness to our approach in finding a tailored and optimal solution for each client’s needs has enabled our team to have had the privilege of working with some outstanding companies and even more outstanding people over the past numbers of years, with whom we continue to maintain strong working relationships to this day.

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Our Process is founded on a series of Checkpoints, so that we can guide our Clients,
every step of the way.

Private Issuers
Step 1
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At this point, proof of concept has been established, and although typically modest, revenues are beginning to ramp up, and a clear and concise road map as to the scalability of the business and timeline to achieve cash flow positivity have been implemented. In addition, the product or service has been largely de-risked, and the upcoming challenge will focus on how to grow the business for large scale, commercial, success over the coming years.
Our capital markets team will spend as much time as is necessary initially working closely with the issuer in an effort to fully comprehend the business itself, the industry in which it operates, the history of the management team, and how the issuer initially plans on executing their multi-year business plan.
Once our team has deemed that the opportunity presented fits our criteria, our working relationship continues as we begin working together on crafting a palatable term sheet, and structuring the capital raise.
Crafting a comprehensive corporate deck which tells a clear and concise story is often overlooked, and perfecting a presentation that supplements it is a pivotal part of the marketing process which our team will closely aid the issuer in solidifying. Depending on the needs of our client and the scope of the offering, the right shareholder could come from a number of sources, be it high and ultra-high net worth retail investors, institutional investors, family offices, venture capital or purpose financing funds, banks, or other lenders.
In marketing the offering, we lean on our decades of experience and global contacts to not only raise the needed capital, but to introduce the right partners who will be looking to support the company as strong shareholders for years to come.
Post closing of the financing, we continue to work closely with the management team, advising them where we can, keeping shareholders updated on the company’s progress, and bringing strategic opportunities to the table which may help supplement or accelerate the company’s growth plans.
Depending on the needs of the issuer, their rate of growth, and the state of the capital markets, our team may advise one, two, or possibly three additional private rounds of financing, be it equity or debt, over the course of the next two to four years, thus enabling the company to mature and grow at the proper pace, prior to being ready for a public listing, private liquidity event, or strategic venture should that be the natural progression in the company’s life cycle.
Private Issuer Solutions
  • Growth Capital
  • Bridge/Purpose financing
  • Equity and Debt Solutions
  • Syndicated Offerings
  • Strategic Partnerships
  • Mergers and Acquisitions
  • Sponsorships
  • Fairness Opinions
  • Advisory Services
  • Corporate Restructuring
  • Initial Public Offerings (IPO)
  • Reverse Take Over (RTO)
  • Capital Pool Companies (CPC)
  • Syndicated Offerings
  • Qualifying Transactions (QT)
Public Issuers
Step 1
Step 2
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Although much of the initial due diligence process remains the same when working with public issuers as opposed to private, see above, there are certain nuances which are taken into account that bear more weight with public issuers.
Specifically in the Canadian capital markets, it is not uncommon to come across issuers who have chosen to list their shares publicly on an exchange fairly early on in the company’s growth cycle, as opposed to the U.S. capital markets where private equity funding is more readily available for early-stage private issuers.
When beginning to work with public issuers, the Hampton team will take into account a number of factors that may or may not have been needed to be considered as heavily when working with still private issuers.
These include the company’s past financings, valuations at which these were done, the amounts which were raised, the current state of the capitalization table, market sentiment surrounding the issuer since their go-public listing, amongst other nuances/factors/variables.
Due to the volatility of the Canadian public venture markets, when working with public issuers, Hampton’s capital markets team specializes in the restructuring and capitalizing of public issuers who believe their current stock price is not a reflection of the current value of the company.
A number of steps can be taken to alter the current state of undervalued issuers who may not be looking to raise equity at current market prices such as bridge financings, access to debt facilities, or convertible debentures.
Providing issuers with the working capital they need via non dilutive methods allows for the company to continue to grow and execute until a time when markets have reflected the true underlying value of an issuer, at which point an equity raise may be more appropriate.
Many times, a lack of appetite for a stock, more often than not, stems from a lack of information. We take it upon ourselves to not only educate our own advisors on the issuers we work closely with, but to bring the story to a wealth of our contacts across the industry be it high and ultra-high net worth retail investors, institutional investors, family offices, venture capital or purpose financing funds, banks, or other lenders.
The goal being to bring interested parties to the table, educate them on the business itself in as much detail as possible, and cohesively articulate the road map which will strive to ensure the company’s future success, and provide our contacts with the opportunity to invest in, or partner with, our corporate clients as we build the business together for years to come.
Public Issuer Solutions
  • Growth Capital
  • Purpose financing
  • Marketed Offerings
  • Bought Deals
  • Equity and Debt Solutions
  • Syndicated Offerings
  • Long and short form prospectus offerings
  • Advisory Services
  • Corporate Restructuring
  • Merger and Acquisitions
  • Fairness Opinions
Capital Pool Companies
When working with established private issuers, one of Hampton’s core competencies lies in the structuring, funding, and listing of Capital Pool Companies (CPC), as well as the subsequent sourcing of qualifying transactions (QT), completion of concurrent financings, and public listing via reverse-take-over (RTO).
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Capital Pool Companies can be excellent vehicles, and alternatives to traditional IPO’s, if constructed properly. A CPC is only as strong as its shareholder base. Most importantly, and above all else, a committed group of shareholders is critical to not only the success of the CPC, but most importantly, the lasting success of the resulting issuer post RTO. Having a committed group of investors who value the QT and are looking to further aid and support the business as valuable partners and shareholders for years to come is where the true value of a CPC comes into play.
In addition to a number of other CPC listings, in Spring 2021, we were proud to have completed the largest CPC listing since the program’s inception, raising $9 million as part of the IPO and publicly listing the vehicle onto the Toronto Venture Exchange. Later that same year, the Hampton team was instrumental in sourcing, structuring, and completing the qualifying transaction (QT) via reverse-take-over (RTO) with a well established private issuer with decades of operating experience in their field. Post completion of the RTO, the resulting issuer would go on to post a combined market capitalizing of $60 million, providing our initial CPC shareholders with accretive value to their initial investment and providing the initially private issuer with roughly $20M of working capital and access to the public markets.
“A CPC is not a vehicle intended to simply provide quick returns to shareholders. It is a vehicle meant to provide value to both shareholders and issuers alike as they jointly build upon the company’s business together.”
Bülent P., Senior Investment Advisor - Private Client Group

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