Upward Insights/Fundraising and M&A Guide

Fundraising and M&A

Fundraising or the sale of a company is a daunting process and requires significant investment of time and energy.

Advance prep, timing company performance, analyzing and timing the market are just some of the difficulties but, most of all, you need a deal team in place to help you execute the deal.

UI team can be part of your deal team and help you prepare and execute the deal. We've put an intro guide for you to know what to expect from the process.

Debt Financing

Even expensive debt, is cheaper than selling equity but in order to qualify for debt financing the business needs to demonstrate a track record of positive cash flows.

Types of Debt Financing

Traditional Bank Loans

Traditional bank loans are usually the least expensive and have good terms, but hardest to qualify for because banks need a good track record of positive cash flows. SBA loans fall under this category because the SBA funding is all done through banks. These loans take owners credit into heavy consideration and normally require personal guarantees.

Revenue Based Loans

This solution is great for companies that don't have assets to use as collateral or years of strong profits. It's great for service and SaaS companies with recurring revenue. Revenue-based lending focuses on predictable revenue and the lender gets repaid as the business receives money from customers.

Asset Backed Loans

Having collateral makes lenders view the deal as less risky. This is great for businesses that want to finance equipment purchases or already have equipment or hard assets to use as collateral. Real Estate backed loans also fall under this category. This is a very well developed lending industry and there are many lenders in this sector.

Convertible Notes

Convertible debt allows the lender to convert their loan plus interest into equity at a predetermined price later if the company is doing well. Normally done in private deals between private (angel) investors and the business.

Dividend Recaps

Dividend recapitalization is when the business takes a loan and uses the money to give owners a 'dividend' - this is a great way to "cash out" without selling equity or giving up control. Normally, this is done by investment banks and instituational lenders for larger businesses.

Equity Based Financing

Equity based financing is simply selling equity in the company (in the form of shares normally) to investors. Privately held and small businesses raise funding this way all the time and you do not need to be listed on the stock exchange to raise funding this way.

Types of Equity Funding

Priced Rounds

A privately held company can sell equity to investors without being listed on the stock exchange. A couple (of many) restrictions to note:

  • Accredited Investors Only

  • Must have restrictions on transfers

"priced" simply means that the company and its shares have a defined price. It sounds obvious, but there are plenty of instances where the price or value of the business is not determined at the time of funding for technical reasons.

Un-Priced Rounds

It's quite common with startups that raise investor funding to deliberately avoid placing a hard value on the business and its shares. This is often done when the company is very early in its development stage and its simply too difficult or impractical to value.

There are instances where startups with nothing but an idea will raise funding, in this example, they will likely use an investment vehicle like a SAFE or Convertible Note to get the deal done.

Crowd Funding

This is a relatively new industry and regulation that allows small companies to market it's shares to the general public. Normally, this is done through funding platforms (not by standing on a street corner selling a "hot deal").

There are multiple platforms for this, but many founders forget to appreciate the amount of marketing and effort required to do this on their own. You will need to invest time (and likely money) to market your deal and compete for eyeballs on these platforms.

Grid section

Add text, images, or both in a grid layout

Click on each item in the "Content" tab to add images, text, and buttons with links. You can style your images and arrange your grid items in columns or rows in the "Design" tab.

Selling a Business

If you like, you can add text here. Type or paste directly into the text box, and use the / key to pull up a menu with more formatting options.

Due Diligence

If you like, you can add text here. Type or paste directly into the text box, and use the / key to pull up a menu with more formatting options.

Finding Investors

If you like, you can add text here. Type or paste directly into the text box, and use the / key to pull up a menu with more formatting options.