Finance & Securities

Our attorneys understand the complexities involved with corporate finance and have experience with raising capital through equity transactions or debt. We assist clients when negotiating term sheets with institutional investors and help them close sophisticated financing transactions. We help our clients comply with federal and state securities laws in connection with their financing activities. When a company is ready to “go public,” we assist our clients in ensuring they are in compliance and minimize exposure to enforcement and regulatory claims and informal and formal investigations.

Representative Matters

• Representation of a zero-emission valve company in connection with ongoing capital-raising efforts from a SAFE round to a Series Seed round of financing.
• Representation of a school matching and recruiting company in connection with ongoing corporate matters, employment issues, trademarks, licensing, privacy policies, terms of service, and capital-raising efforts with angel investors and institutional investors through a SAFE offering and three separate preferred stock financings.
• Representation of a surgical device manufacturer in connection with ongoing corporate matters and capital-raising efforts with angel, strategic and institutional investors.
• Representation of a manufacturer of trans-dermally applied athletic performance-enhancing gel in connection with technology acquisition, domestic and international licensing and distribution agreements, and several capital-raising transactions in the U.S. and Canada.
• Representation of a social media aggregation software company in connection with capital-raising efforts, the acquisition of complementary businesses, and ongoing corporate advice.
• Representation of a veterinary practice management software company in connection with its formation, ongoing corporate matters, convertible debt financing, preferred stock financing, commercial agreements, and ultimate sale to a pet health insurance company.