Venture Capital & Securities
We provide a broad range of services to emerging companies funded by venture capital which are engaged in specialty finance, software development, digital media, other technologies, life sciences and medical equipment.
In this connection:
- We guide management in adhering to best practices in documenting the various facets of the business in preparation for capital raising, particularly its corporate equity, e.g. keeping a tight rein on warrants and options, and governance structure;
- We assist management with the all-important capital raising strategy, with an eye to keeping the cap table and the terms of the investors’ exit as favorable for the founders as possible, and in drafting the private placement investor disclosure documents; and
- We use the skill set described in “Mergers and Acquisitions” to assist the founders and the investors in arriving at the best liquidity event which is fair to all shareholders.
We have also had occasion to advise a venture fund acting as the lead investor in a series of rounds into a medical equipment start up.
Our experience involving public companies complements our expertise in designing and closing the Regulation D and S private placements described immediately above. In this connection, we have experience in:
- Preparing, filing and achieving effectiveness of registration statements on Forms S-1, S-4 and S-3 and, under the 1934 Act, preparing and filing registration statements on Forms 10 and 8A and assisting in the preparation of SEC periodic reports and reports under Section 16 and on Form 8-K;
- Complying with Rules 144 and 145 in connection with resale transactions; and
- Maintaining proper standards of corporate governance relating, among others, to director independence and Board committee charters.