John Kaufmann
PEOPLE

John Kaufmann

Partner
kaufmann.john@dorsey.com

Overview

JOHN HELPS CLIENTS ORGANIZE DOMESTIC AND OFF-SHORE PRIVATE EQUITY, VENTURE CAPITAL, AND REAL ESTATE FUNDS, AND COMPLETE PRIVATE EQUITY, MEZZANINE AND VENTURE CAPITAL INVESTMENTS, COMPLEX BANK FINANCINGS, PRIVATE PLACEMENTS OF DEBT AND EQUITY SECURITIES, AND MERGERS AND ACQUISITIONS.

Co-Head of the Corporate Group in the firm’s New York and Washington, DC offices, John has broad experience with investment funds, investment managers, and entrepreneurs in a diverse group of industries, including manufacturing, banking, investment management, real estate, communications, media, information services, cleantech, and consumer products.

His clients include domestic and off-shore investors and investment funds, commercial banks and other financial institutions, non-profits, entrepreneurs, and companies in a variety of businesses.

Education & Admissions

Georgetown University Law Center (J.D., 1975)

Princeton University (A.B., 1972), summa cum laude

Admissions

  • New York

Experience

Representative Experience

Private Equity and Mezzanine Fund Formation

  • Represented a fund sponsor in the organization of a $500 million private equity fund, sited in the Cayman Islands, that invests in medium-sized companies in the People's Republic of China, including offering of limited partnership interests to various institutional, tax-exempt, quasi-governmental and off-shore investors in the United States, Europe, Australia, Asia and Africa
  • Formed a $100 million mezzanine fund for a New York-based bank, and obtained license as an SBIC
  • Represented a sponsor group in connection with formation of $175 million private equity fund that makes control equity investments in middle market companies
  • Represented fund sponsors and managers in connection with organization of $200 million mezzanine fund
  • Represented real estate asset management firm in connection with a $400 million joint venture with a leading investment management company, and the formation of a separate $200 million private real estate fund

Private Equity, Mezzanine and Specialty Banking Transactions

  • Represented a New York-based private equity firm in connection with a $15 million investment in convertible notes, preferred stock and warrants of a biometric technology company
  • Represented a bank-affiliated private equity group in connection with a control investment in the developer of a leading sports-related app for smartphones
  • Represented a New York-based bank in connection with long-term, structured loan facilities, of $10–25 million each, provided to a middle-market private equity firm, a national developer of real estate projects, a regional automotive dealership group, and a national manager of solid waste disposal sites  
  • Represented a mezzanine group within a major New York-based investment bank in connection with an investment in $15 million of subordinated notes, warrants and common equity of an owner of radio and television stations
  • Represented a mezzanine fund managed by a New York-based bank in connection with investments, of $2.5 million to $8.5 million each, in subordinated notes, warrants and common equity of 10 portfolio companies involved in a variety of manufacturing, services, transportation, publishing and construction businesses

Represented a mezzanine group within a major life insurance company in connection with an investment in $18 million of subordinated notes in the leveraged acquisition of a specialized consumer insurance company

Mergers and Acquisitions

  • Represented selling stockholders of a multinational precision instrument maker in its $225 million acquisition by General Electric Power Systems
  • Represented New York private equity group and individual entrepreneurs in connection with leveraged buy-out of Washington, D.C. - based provider of IT services to agencies of the federal government, including extensive due diligence review of target's government contracts, and financing consisting of senior bank loans, seller notes, performance-based earn-outs, and equity investments
  • Represented the sellers in a $32 million sale of stock of a publisher of print and electronic reference products to a media-oriented private equity fund
  • Represented a branded consumer products company located in northeastern United States in connection with a $16 million acquisition of a consumer products distributor, and related recapitalization, issuance of equity and secured bank loans

Representative Clients

  • Emigrant Bank and Emigrant Capital Corp.
  • HAO Capital Fund II, L.P.
  • National Community Reinvestment Coalition, Inc.
  • NGEN Partners, LLC
  • Satori Capital, LLC
  • Stelac Capital Partners, LLC
  • Sylvan Road Capital, LLC

News & Resources

Articles

Advisers Act Registration Exemptions for Venture Capital Fund Advisers and Private Fund Advisers: The SEC Adopts Final Rules, Investment Management Alert
Advisers Act Registration Exemptions for Venture Capital Fund Advisers and Private Fund Advisers: SEC’s Proposed Rules Address Some Issues, But Many Remain, Investment Management Alert
Blocker Corporations: Pros and Cons in Private Equity Funds, Insights: PEF Services, October 2010 Private Equity Newsletter
Global Financial Markets — Legal, Policy and Regulatory Analysis
Private Equity: Changing Markets, Changing Deals, Metropolitan Corporate Counsel
The Patriot Act's Anti-Money Laundering Rules: What Private Funds and Investment Advisers Need to Know

Events & Speaking Engagements

Dorsey's Private Funds Symposium 2017 Post-Event Resources
Dorsey's Annual Private Funds Symposium
Private Funds Symposium

Select Presentations

  • Panelist, International Mezzanine Market Roundtable, Financier Worldwide, July 2006

Industries & Practices

  • Asia-Pacific
  • Banking
  • China
  • Clean Technology
  • Emerging Companies
  • Energy
  • Food, Beverage & Agribusiness
  • Health Care
  • Investment Funds
  • Investment Management
  • Lending Transactions
  • Mergers & Acquisitions
  • Private Equity

Professional & Civic

Professional Achievements

  • American Bar Association, Business Law and Taxation Sections
  • Association of the Bar of the City of New York
John Kaufmann