“Ocean Tomo Capital is the first and only Fund dedicated to providing growth capital for operating businesses with strong underlying intellectual property. We are active investors working with management to further improve the value of company’s IP and its positive impact on earnings.”
James E. Malackowski
President & CEO
Private Equity & Debt
Ocean Tomo Capital Fund
Ocean Tomo Capital Fund (the “Fund”) is a recently established fund that invests in intellectual property centric companies in the form of senior debt, subordinated debt, mezzanine and equity. The Fund’s principals possess successful track records in IP-centric industries as investors, leveraged finance professionals and operators. The Fund is leveraging its extensive IP knowledge base in providing loans secured by intellectual property assets. On a select basis, the Fund will also make equity investments alongside equity sponsors in companies where our IP expertise can significantly increase shareholder value. In addition to providing financing, we are also available to advise borrowers in the development and execution of IP monetization strategies.
Investment Parameters
The Fund is dedicated to providing non-controlling capital to middle-market companies to finance business expansion, acquisitions, buyouts and recapitalizations. The Fund offers mezzanine financing, typically structured as secured debt or to a lesser extent, redeemable preferred stock, ranging from $10 million to $25 million per investment, to established companies based in the U.S. Target companies have the following characteristics.
Investment Structure
Our financings provide creative and minimally dilutive options to finance growth, expansion, acquisitions, buyouts and recapitalizations. The Fund will typically structure its investments as secured debt with the following primary characteristics:
Management/IP Owners
Investment Professionals
Ocean Tomo Capital Fund
Ocean Tomo Capital Fund (the “Fund”) is a recently established fund that invests in intellectual property centric companies in the form of senior debt, subordinated debt, mezzanine and equity. The Fund’s principals possess successful track records in IP-centric industries as investors, leveraged finance professionals and operators. The Fund is leveraging its extensive IP knowledge base in providing loans secured by intellectual property assets. On a select basis, the Fund will also make equity investments alongside equity sponsors in companies where our IP expertise can significantly increase shareholder value. In addition to providing financing, we are also available to advise borrowers in the development and execution of IP monetization strategies.
Investment Parameters
The Fund is dedicated to providing non-controlling capital to middle-market companies to finance business expansion, acquisitions, buyouts and recapitalizations. The Fund offers mezzanine financing, typically structured as secured debt or to a lesser extent, redeemable preferred stock, ranging from $10 million to $25 million per investment, to established companies based in the U.S. Target companies have the following characteristics.
- Strong intellectual property portfolios;
- Qualified, experienced management with a meaningful stake in their business;
- Predictable cash flows sufficient to repay debt within the useful life of the IP;
- EBITDA in excess of $5 million;
- Defensible market positions; and
- Growth potential
Investment Structure
Our financings provide creative and minimally dilutive options to finance growth, expansion, acquisitions, buyouts and recapitalizations. The Fund will typically structure its investments as secured debt with the following primary characteristics:
- Interest: Cash and/or PIK Interest
- Equity Participation: Detachable warrants with nominal exercise price
- Security: First lien against all IP and a second lien against all other assets of the borrower
- Term: Not to exceed the useful life of the collateral, as determined by the Fund’s valuation of the borrower’s IP
Management/IP Owners
- Access to growth capital with minimal equity dilution
- Access to best-in-class IP management assistance
- Access to best-in-class IP portfolio strategies for improving market share, pricing and competitive positioning
Equity Investors
- Minimization of further dilution
- Increased returns
- Enhancement of quality and amount of EBITDA through long-term IP licensing revenues
- Increased exit value
- Additional capital
- Potential incremental IP revenue, improving borrower's financial performance
Investment Professionals
| James E. Malackowski | 312-327-4410 PH | 312-327-4401 FX |
| President and CEO | jmalackowski@oceantomo.com | Download v-card | Biography |
| Dean Becker | 561-309-0011 PH | 561-805-8765 FX |
| Vice Chairman | dbecker@oceantomo.com | Download v-card | Biography |
| Cameron Gray |
312-327-4403 PH | 312-327-4401 FX |
| Associate | cgray@oceantomo.com | Download v-card | Biography |