Public Companies

Bergen is a prolific direct equity and equity-linked investor in the small-cap UK and Australian public markets.

While Bergen regularly participates in private placements of equity by ASX and LSE/AIM-listed small-cap issuers, its focuses on structured equity transactions – investments directly-negotiated with the issuer company, in which it is typically the solo investor. These investments are customized to meet the portfolio company’s specific objectives and give the portfolio company’s shareholders an opportunity to share in the price appreciation of its shares, while at the same time managing the downside for Bergen.

As a passive investor in the public markets, Bergen does not seek board representation, allowing talented management teams to focus on unlocking value for all stakeholders.

With over 100 investments in small-cap ASX and AIM listed companies, over the recent decade, Bergen and its team have become a well-known quantity in the Australian and UK public markets.

James  Gong

James Gong

Keytone Dairy Corporation Ltd’s (ASX:KTD) 
Founder and Chief Executive Officer

July 2018

Our partnership with Bergen has enabled us to break out from being a steadily-growing New Zealand company to a fast-growing and truly global market participant in the international dairy processing industry. It has done wonders for our speed of development, capital resources, and international profile.

Glen Parsons

Glen Parsons

Mariana Resources Ltd’s (AIM:MARL) 
Chief Executive Officer

March 2015

LSE Regulatory News Service announcement
I would like to thank Bergen for providing this flexible facility at a critical time in Mariana's portfolio expansion. The funding secured was at more favourable terms than what was available in the market at that time. Bergen has understood our business and what growth we were trying to achieve and has been exemplary in complying with its obligations under the agreement but has also been very flexible and accommodating beyond what was required under the agreement.

Stephen Carter

Stephen Carter

Suda Ltd’s (ASX:SUD) 
Executive Chairman and CEO

December 2013

ASX Announcement
We are extremely grateful to Bergen, who has been an excellent corporate citizen and supportive shareholder over this period... We are now financially well positioned to deliver on our goals.

All information on this webpage is for information purposes only, and are not, and should not be construed to be, a testimonial regarding Bergen or any advice, analysis, report or other service rendered by Bergen. See the Terms of Use for further information.