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Caroline Xu

Associate

My practice focuses on corporate finance and commercial transactions. My experience includes advising on venture capital/private equity investments, mergers & acquisitions and joint ventures, debt financing transactions, initial public offerings on the Hong Kong Stock Exchange and other corporate and commercial matters.

I am fluent in English, Cantonese and Mandarin.

Career Highlights

Venture Capital/Private Equity

  • Advised a PRC used recycling and trading service provider on its Series A and C financing

Mergers and Acquisitions

  • Advised a leading China-based foodservice equipment provider on its strategic sale of assets to Middleby

Debt Financing

  • Advised a subsidiary of a State-owned Bank in granting of four loan facilities in the aggregate amount of up to HK$1.18 billion to various Hong Kong companies, each of which are wholly-owned subsidiaries of a Listed Company in Hong Kong
  • Advised an investment management subsidiary of a State-owned Bank, on its subscription of senior secured guaranteed notes in the aggregate principal amount of up to US$60 million issued by a Listed Company in Hong Kong in multiple tranches
  • Advised an investment management subsidiary of a State-owned Bank, on its subscription of senior secured guaranteed notes in the aggregate principal amount of US$19.8 million issued by a Listed Company in Hong Kong

Equity Capital Markets

  • Acted for Macau E&M Holding Limited (HKEx stock code: 1408), an electromechanical engineering services works contractor in relation to its HK$125 million H-share listing on the Main Board of the Hong Kong Stock Exchange

Regulatory and Compliance

  • Advised HKEX listed companies on their ongoing regulatory compliance obligations under the HKEX listing rules, Securities and Futures Ordinance, Takeovers Code and Share Buy-backs Code