Corporate Finance

We represent issuers in connection with initial public offerings, follow-on “shelf” takedowns, and other SEC-registered offerings, Rule 144A offerings, and other private placements of equity securities and debt instruments. We also represent selling security holders, investors, and financial intermediaries in financing transactions by both public and private companies.

We have helped our clients, many of them in the technology and life sciences industries, raise over $500 million of capital in the past few years, alone.

Representative matters we have handled include the following:

  • Private placement by OTCBB biotech company of $30 million of common stock and warrants.
  • Underwritten public offering by Nasdaq-listed development-stage oncology company of $86 million of common stock.
  • Underwritten initial public offering by Nasdaq-listed veterinary biopharmaceutical company of $60.375 million of common stock.
  • Private placement by OTCBB biopharmaceutical company of $23.3 million of common stock and warrants.
  • Initial public offering of $60 million of common stock and warrants of SPAC formed to acquire and consolidate specialty finances businesses in the U.S., Europe and Asia.
  • Underwritten public offering by Nasdaq-listed commercial biopharmaceutical company of $35 million of common stock and warrants.
  • Rule 144A sale of $53 million of trust preferred securities by NYSE Amex-listed theater owner and operator.
  • Represented underwriters of a $6.3 million public offering by Chinese media company.
  • SEC-registered direct placement of $2 million of common stock and warrants by OTCBB security lighting systems company.
  • Follow-on public offering of $24 million of common stock by Nasdaq-listed China-based automotive parts company.
  • Initial public offering of $100 million of common stock and warrants by SPAC formed to acquire media assets.
  • Rule 144A sale of $25 million of floating rate capital securities by Nasdaq-listed regional bank holding company.
  • Section 3(a)(10) exchange offer by Nasdaq-listed fuel cell technology company.
  • Private offering of $50 million of limited liability company interests by private broker-dealer.
  • Section 3(a)(10) exchange offer by OTCBB waste technology company.