« Posts tagged stock pledge

Securities Lending VS. Traditional Banking

I get asked on a regular basis where our funding comes from. No matter how many times I explain that our money comes from a Global Hedge Fund people insist on asking if its from a bank. I thought I would dedicate this post to that very topic.The one thing that has continued to stall the economy is the same thing that continues to make this program of lending against securities prosper. The banks just don’t want to part with their money!  That’s a generalized statement, and of course the banks do still lend money…..to the Rockefeller family.

For many businesses, turning  to a bank is just not an option.  Securities lending in today’s economy means that publicly traded companies can take on a non-recourse loan and have the collateral that sits otherwise dormant in their coffers put to good use. Since the securities themselves are the collateral, it puts a business in a very good position to continue and run their day to day operations without having to liquidate their remaining cash holds to complete this type of loan.  One upside to this program that I have spoken of very little in the past, is that it allows the company owner or share holder to receive their securities back in the same if not better condition than when they originally pledged the shares. A responsible lender will make good use of those securities by making thoughtful and intelligent trades causing the stock to appreciate over the loan repayment period. As the banks continue to lend money to only the wealthiest and an air of uncertainty continues to plague the financial landscape, other forms of lending will continue to be needed. I believe for this very reason that regardless of how the banking industry fairs securities lending will be here to stay for quite some time.

Todd Rome
Southern Lending Solutions

Recourse or Non Recourse Loan in Securities Lending

A question we often get in securities lending is about recourse versus non-recourse loans. Specifically, the question is why would we get a recourse loan if we can get a non-recourse loan. Non-recourse means if the loan goes into default the client can just walk away and only surrender their shares.  Great, right?

Not necessarily.

For many clients, the non-recourse loan is the right choice especially if they are unsure of the company’s prospects for the future, need the cash for their business desperately or are using this as part of a multi step exit strategy out of the stock.

Since those 3 describe many of our clients, then who would recourse be good for?

1) Controlling interest- When a client has a controlling interest and anything that can be examined or construed as a sale of shares taking them below 50% ownership and thus losing that control

2) High Capital Gains Tax Jurisdictions- the verdict is still out on the taxability at the introduction of a securities loan. In a non-recourse loan the securities are only physically transferred away but all other aspects of ownership remain in tact.  See where your country falls on this list here.

If these 2 things are important, then recourse if available if the best choice. Next post will describe some of the differences in more detail.

Stu

Southern Lending Solutions

What is a Repo Trade?

A repo trade (repurchase trade) is an agreement to lend against an asset that allows for its repayment (the repurchase part) to remove the lien/pledge/encumberance against that asset.

Repo trades are the most common with securities where the securities are blocked or physically transferred away with the right to repurchase by paying the loan off and removing the pledge/encumberance from the shares.

They are a great way to utilize what many seem to consider a dead asset, their own personal securities or the company’s own treasury stock. However, all repo trade programs are not created equal.

Some actually lend against your securities in the hopes they decline in value. Crazy, huh? Well its true. We will show you why and how coming up in the next few entries.

Stu

Southern Lending Solutions