Experience

Served as Placement Agent Counsel in Multimillion-Dollar Energy Tech Company Fundraising

Represent placement agent and managing broker in placement of millions of dollars in convertible notes and warrants for U.K.-based energy startup across two different offerings.

Issuer Counsel to Health Care/Fintech Emerging Company

Negotiated multimillion-dollar Series Seed funding round for Missouri company with health care and financial technology product. Investors included leading venture capital firms from Chicago and St. Louis.

Registered or Secured Exemptions for $600 Million Church Extension Fund

Acted as registration counsel for large church extension fund and obtained registration approvals or exempt filings under Blue Sky Laws in 49 jurisdictions on annual basis.

Led Capital Raises for Missouri Medical Marijuana Licensees

Served as lead counsel for a half-dozen emerging companies seeking capital in late 2019 and early 2020 as new licensees under Missouri’s Medical Marijuana Constitutional Amendment. The aggregate value of the various offerings of equity securities and convertible promissory notes exceeds $40 million and involved more than 30 facility licenses.

Obtained Securities Registration Exemption in Construction of New Mill

Assisted client with obtaining securities registration exemption for Missouri new generation processing entities for purpose of construction of new mill.  Worked with Missouri Agricultural and Small Business Development Authority and the Missouri Securities Division to secure the exemption paving the way for capital formation necessary for construction of a new facility.

Managed Accelerator Program’s Onboarding and Capital Investments for Startup Company Participants

Assisted utility client with onboarding of and capital investments in startup technology companies as part of accelerator program in coordination with a local university and capital investors. Assisted with closing investments in more than a dozen program participants.

Formation of Qualified Opportunity Fund, Opportunity Zone Business

Assisted a client with the formation of a qualified opportunity fund and a qualified opportunity zone business, including drafting all fund offering documents for a $4 million capital raise to fund a hotel development.

$20 Million Preferred Stock Private Placement, Warrant Issuance

$20 million preferred stock private placement and warrant issuance for public company.

Going Private Transaction for Bank Holding Company

Exchange Act registration of bank holding company and subsequent going private transaction upon enactment of JOBS Act.

Initial Fundraising for Food Industry Startup

Initial fundraising for food industry startup and subsequent capital raises.

$85 Million IPO, Initial Nasdaq Listing

Initial public offering of $85 million of common stock of outdoor recreation company and initial listing on the Nasdaq Global Market.

IPO for Medical Device Manufacturer

Initial public offering of medical device manufacturer via reverse merger, registration of exchange offer and immediate listing on the Nasdaq Capital Market.

Assisted Private Fund Client with Launch, Registration

Assisted private fund client with launch of fund and registration of fund manager. Representation included licensure in Colorado, which does not offer traditional fund adviser registration exemption.

Shelf Registration Statements, Takedowns for Beverage Company

Filing of multiple shelf registration statements and subsequent takedowns for large publicly traded beverage company.

$200 Million Senior Secured Noted Offering for Coal Mining Company

Represented coal mining company as issuer’s counsel in $200 million underwritten offering of senior secured notes.

$114 Million Common Stock Offering for Wholesale Pharma Distributor

Represented a wholesale pharmaceutical distributor as issuer’s counsel in a $114 million underwritten offering of common stock.

Form 10 Filing, Common Stock Registration for Bank Holding Company

Representation of bank holding company in Form 10 filing for registration of common stock.

$209 Million Common Stock Offering for Plastics Manufacturer

Served as issuer’s counsel in $209 million underwritten offering of common stock for plastics manufacturer.

$10 Million Private Placement

Served as issuer’s counsel in a $10 million private placement of Series B preferred equity.

$32 Million Recapitalization of Bank Holding Company

Represented a bank holding company as lead counsel in its $32 million recapitalization.

$60 Million IPO for Recreation Company

Served as issuer’s counsel in a $60 million IPO for a recreation company.

Contact Us
  • Worldwide
  • Boston, MA
  • Denver, CO
  • Edwardsville, IL
  • Jefferson City, MO
  • Kansas City, MO
  • Las Vegas, NV
  • New York, NY
  • Philadelphia, PA
  • Princeton, NJ
  • Salt Lake City, UT
  • St. Louis, MO
Worldwide
abstract image of world map
Boston, MA
225 Franklin Street
26th Floor
Boston, MA 02110
Google Maps
Boston, Massachusetts
Denver, CO
4643 S. Ulster St.
Suite 800
Denver, CO 80237
Google Maps
Denver, Colorado
Edwardsville, IL
115 N. Second St.
Edwardsville, IL 62025
Google Maps
Edwardsville, Illinois
Jefferson City, MO
3405 W. Truman Boulevard
Suite 210
Jefferson City, MO 65109
Google Maps
Jefferson City, Missouri
Kansas City, MO
2345 Grand Blvd.
Suite 1500
Kansas City, MO 64108
Google Maps
Kansas City, Missouri
Las Vegas, NV
3770 Howard Hughes Parkway
Suite 200
Las Vegas, NV 89169
Google Maps
Las Vegas, Nevada
New York, NY
919 Third Ave., 37th Floor
New York, NY 10022
Google Maps
New York City
Philadelphia, PA
2005 Market Street
29th Floor, One Commerce Square
Philadelphia, PA 19103
Google Maps
Philadelphia, Pennsylvania
Princeton, NJ
100 Overlook Center
Second Floor
Princeton, NJ 08540
Google Maps
Princeton, New Jersey
Salt Lake City, UT
257 East 200 South
Suite 350
Salt Lake City, UT 84111
Google Maps
Salt Lake City, Utah
St. Louis, MO
7700 Forsyth Blvd.
Suite 1800
St. Louis, MO 63105
Google Maps
St. Louis, Missouri