Use Cases Five Recurring Counterparty Profiles

Who uses stock loans, and why.

Securities-backed lending is, structurally, a single instrument. Counterparties vary materially in their position, their constraints, and their objectives. Five recurring profiles dominate the firm’s engagement book.

01 · Five Profiles

Where the Structure Comes From

The counterparty changes the structure.

A founder six months past IPO, a family-office trustee with a multi-decade holding, a pre-IPO investor awaiting an exit calendar, a controlling shareholder of a family-listed business, and a single-stock holder seeking diversification all face different constraints and different opportunities. The five pages below address each in turn.

Founder Stock Loans

Stock loans for founders. Liquidity against locked-up or insider-restricted shares without selling and without breaching the lock-up agreement.

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Family-Office Stock Loans

Stock loans for family offices managing concentrated single-stock positions. Liquidity within trust and succession structures.

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Pre-IPO Stock Loans & Lock-Up Bridges

Stock loans for pre-IPO investors and founders during the post-IPO lock-up. Liquidity ahead of the exit without forcing the timing.

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Controlling Shareholder Stock Loans

Stock loans for controlling shareholders. Liquidity without disturbing voting control, takeover-code positions, or the share register.

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Concentrated Single-Stock Liquidity

Stock loans as a diversification tool for concentrated single-stock holders. Release capital from the position without selling, then redeploy.

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FAQ

Common Questions

On stock-loan use cases.

Q · 01 Are these the only counterparty profiles the firm works with?

No. The five profiles on this page are the most recurring patterns in the firm’s engagement book, and each is detailed because the structuring considerations differ materially. Other profiles — institutional treasuries, sovereign-related entities, corporate strategic stakes, charitable-trust holdings — are considered on a case-by-case basis.

Q · 02 Can a single transaction address more than one of these use cases?

Yes, routinely. A founder stock loan during the post-IPO lock-up is simultaneously a founder use case and a pre-IPO bridge use case. A family-office stock loan against a controlling holding is simultaneously a family-office use case and a controlling-shareholder use case. The structure is tailored to the actual position; the page categorisation is a navigational convenience.

Q · 03 Does the firm structure stock loans for corporate borrowers?

Yes. Public corporates with treasury or strategic listed-equity positions, holding companies of listed groups, and corporate sellers with strategic stakes on the books all use the instrument. The structuring considerations differ from individual or family-office borrowers; the engagement model is the same.

Your counterparty profile not listed?

Other counterparty profiles are considered on a case-by-case basis. Submit a confidential enquiry and a principal will respond.

Submit a Confidential Enquiry