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John W. Kaufmann

Partner
New York
+1.212.536.4009
Fax +1.212.536.3901

Primary Practice

Secondary Practices

Education

  • J.D., Georgetown University Law Center, 1975
  • A.B., Princeton University, 1972, (summa cum laude)

Admissions

  • Bar of New York
  • Bar of Ohio (Inactive)
  • Biography Overview
  • Additional Background
  • Representative Work
Mr. Kaufmann's practice consists primarily of private equity, mezzanine and venture capital financings; mergers and acquisitions; the organization and operation of domestic and off-shore private equity funds, venture capital funds and Small Business Investment Companies ("SBICs"); securities transactions and compliance matters, banking and general corporate finance.  His clients include investment funds, commercial banks, investment banks and other financial institutions, and companies in a variety of industries.  Mr. Kaufmann has counseled clients on acquisitions of or investments in manufacturing and service businesses, media and information companies, information processing and technology-related companies, and a number of entrepreneurial ventures in these businesses.

Professional Background

Prior to joining K&L Gates, Mr. Kaufmann was a partner at a New York  law firm where he practiced in the private equity and venture capital areas.

Professional/Civic Activities

  • American Bar Association, Business Law and Taxation Sections
  • Association of the Bar of the City of New York
Private Equity and Mezzanine Fund Formation 
  • Represented fund sponsor and managers in connection with organization of $500 million off-shore private equity fund to invest in medium-sized companies in the People's Republic of China, including formation of the fund, general partner and management company in the Cayman Islands, and 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 $100 million mezzanine fund for New York-based bank, and obtained license as an SBIC
  • Represented fund sponsors and managers in connection with organization of $200 million mezzanine fund
  • Represented global financial institution located in northeastern United States in connection with investments of $5 to $10 million each as limited partner in 11 U.S. private equity and mezzanine funds, including SBICs
  • Representing fund sponsors in connection with formation of $175million private equity fund targeting middle-market companies with businesses committed to principles of sustainability, related co-investment fund for LPs, and follow-on strategic opportunities fund
Private Equity Financings
  • Represented New York-based private equity and late-stage venture capital firm in connection with $15 million investment in convertible notes, preferred stock and warrants of a biometric technology company
  • Represented a $150 million group of affiliated private equity and mezzanine funds, including SBICs, in connection with investments in $6 million of preferred stock of a foreign-language broadcasting company
  • Represented private equity group affiliated with New York-based bank in connection with investments in $19 million of subordinated debt and $20 million of equity of a European consumer products manufacturer
  • Represented private equity group affiliated with New York-based bank in connection with a $9.6 million investment in subordinated notes and limited liability company interests of a defense contractor, and a subsequent recapitalization of the company and exit by the investor
  • Represented a private mezzanine fund in connection with $4.2 million subordinated debt and controlling common equity financing for the acquisition of a trucking, warehousing and logistics company; formed acquisition vehicle, structured arrangements among the equity holders, handled acquisition and new senior bank financing, resolved  DOT and other regulatory issues, and managed simultaneous closing of all the transactions
Mezzanine Financings
  • 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 $150 million group of affiliated private equity and mezzanine funds, including SBICs, in connection with investments in $6.4 million of subordinated debt and equity of a publicly held delivery services 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 a European investor group in connection with a proposed $22 million acquisition of technology company by merger with public shell corporation
  • 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
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