Practice Description
I have represented clients in the following kinds of financing transactions:
- venture capital
- angel investments
- bank financing
- public stock and debt offerings
- institutional placements of convertible debt with underlying public equity
- venture debt transactions
- equipment financing
I have represented companies raising money, investors and underwriters. While I have particularly extensive experience with representation of university-based startup companies, my work in the finance field also includes representation of mature companies in a wide variety of industries.
Representative Engagements
| CLIENT | TRANSACTION | INDUSTRY | |||
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Series B investment in Visible Assets, Inc. | Inventory tracking systems | |||
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Angel investment | Fashion | |||
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Angel investment | Beverages | |||
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Individual Angel Investors |
Seed financing of Webalo, Inc. | Software | |||
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$16 million Series B Convertible Preferred Stock venture capital round led by New Enterprise Associates | Internet radio software | |||
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Q Step, LLC |
Seed financing | Medical device development | |||
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Private placements of Convertible Preferred Stock with Arkwright Capital Partners; and of Subordinated Debt and Common Stock with Pacific Mezzanine Fund | Laser pointer manufacturer | |||
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Public offering of Fujitsu's Ross Technology, Inc. subsidiary | Semiconductors | |||
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Initial public offering | Educational books | |||
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Private placement of convertible debt with institutional investors; initial and subsequent public offerings | Clinical laboratory | |||
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Two rounds of venture investments in Immunetech Pharmaceuticals | Pharmaceuticals | |||
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Public offering | Specialty retailer | |||
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