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.
Tender Offer Takeover
Representation of publicly traded company in tender offer takeover.
$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.