Public Companies

Funds managed by Bergen are prolific direct equity and equity-linked investors in the small-cap UK and Australian public markets.

While Bergen regularly participates in syndicated placements of equity by ASX and LSE/AIM-listed small-cap issuers, two of its funds focus on structured equity transactions – investments directly-negotiated with the issuer company, in which Bergen is typically the solo investor, and which 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.

Another fund managed by Bergen focuses on investments in longer-dated convertible instruments, appropriate for more developed companies, that prefer the flexibility of paying interest and principal in either cash or in kind (at the portfolio company’s election) with the certainty of a fixed conversion price.

As passive investors in the public markets, these funds do not seek board representation, allowing talented management teams to focus on unlocking value for all stakeholders.

With over 60 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.

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.