Securities

Our Securities practice primarily involves assisting issuers in private placements of securities in exempt transactions.  We advise clients on Regulation D exemptions, prepare offering materials, close the subscription and prepare and file Form D and related Blue Sky filings.  Our clients include startups raising capital to launch new products, and established businesses raising capital for expansion or acquisitions.  Even the smallest of equity offerings must comply with federal and state securities laws, and we work closely with our clients to structure and execute securities offerings in a cost-effective manner.

Examples of our recent experience include:

  • $1,000,000 of equity to fund the acquisition of distressed real estate developments.
  • $1,350,000 of preferred securities issued by a craft brewery in a Rule 506 Regulation D exempt offering.
  • $3,000,000 of Series A equity issued by a bioplastics manufacturer in a Rule 506 Regulation D exempt offering.
  • $15,000,000 of equity and debt issued by a maritime services business to private investment funds.
  • $20,000,000 of equity and debt issued by a manufacturing and distribution business to private investment funds.