Capital Markets and Securities

Life Sciences/Med Tech:

• Represented Irish pharmaceutical company in $87M secondary public offering of shares in a NASDAQ pharmaceutical company.
• Represented two biotechnology venture capital funds (co-lead investors), investing in a drug development company in a $45M purchase and sale of Series D Preferred Stock.
• Represented privately held San Diego medical device company in its Series B and Series C Preferred Stock financing in which $19M and $30M, respectively, was raised.
• Represented Silicon Valley-based bioelectronic medicine company in its successful $17.25M Nasdaq IPO.
• Represented pharmaceutical company in its Series B and Series C Preferred Stock financing in which $5M and $30M, respectively, was raised.
• Represented Italian biotech company in significant licensing/stock deal with NASDAQ biopharma company.
• Represented venture capital fund in its investment and purchase of preferred stock of various life science companies in which it is lead investor.
• Represented Silicon Valley-based integrated healthcare technology company in its Series A Preferred Stock Financing.
• Represented biomarker company in its seed and Series A Preferred Stock funding, and multiple licenses for platforms related thereto.

Software/Tech:

• Represented Nasdaq software simulation company in its $115M public offering underwritten by Oppenheimer and Raymond James.
• Represented technology company in its initial public offering, raising $65M from the sale of common stock shares.
• Represented software company in its proposed $40M offering of common stock, preferred stock, warrants and/or units under a universal shelf registration statement on Form S-3.
• Represented Nasdaq-listed emerging technologies company in its $30M registered direct public offering of common stock and warrants.
• Represented privately held San Diego-based technology company with over 150 shareholders in a $30M cash for stock transaction.
• Represented high performance computing company in its $20M Initial Public Offering and listing on Nasdaq.
• Represented high performance computing company in its $19.5M Initial Public Offering (IPO) and listing on Nasdaq.
• Represented Nasdaq technology company in its $10M ATM follow-on public offering.
• Represented Mexico-based VC firm in its $7M Series A lead investment into Silicon-Valley-based SaaS analytics company.
• Represented publicly-traded m-commerce company in its multi-million dollar tranched S-3 shelf public offering.
• Represented SaaS (BI) company located in San Francisco, in its Series A, Series B and Series C Preferred Stock financings, and in an all cash acquisition of the company by an acquiror located in the Bay area.
• Represented Carlsbad-based SaaS company in its Series A and Series B Preferred Stock financing, the filing of a Permit Application with the California Department of Corporations and the reincorporation into Delaware related thereto.
• Represented Los Angeles-based SaaS company in its conversion from an LLC to a C corporation, and the simultaneous reorganization and Series A Preferred Stock financing.
• Represented high-speed wireless data delivery company in its Reg A offering.
• Represented Silicon Valley-based enterprise sales technology company in its Series B Preferred Stock Financing.
• Represented advertising technology company in its Series A Preferred Stock Financing.
• Represented privately held Palo Alto based SEM company in its Series A and Series B Preferred stock financings and the acquisition of the company by a private equity group.
• Represented San Diego based CRM technology company in its seed, Series A, Series A-1 and Series B Preferred Stock financings.

Energy:

• Represented clean energy software solutions company in a $200M underwritten public offering and its registered at-the-market (ATM) offering of up to $500M.
• Represented publicly traded thermal energy company in public shelf offering of up to $15M.
• Represented biofuels company in $10.5M industrial development bond refinancing.

Food/Beverage:

• Represented nutrition bar company in significant private equity investment from leading food and brand firm.
• Represented underwriter in initial public offering of organic food company.
• Represented organic pasta company in its initial public offering.
• Represented agriculture technology company in its Series C Preferred Stock Financing.

Professional Services:

• Represented large public company bank in its $25M investment in a regional investment banking firm.
• Represented Canadian FinTech company in its Regulation (Reg A) offering in the United States.
• Represented FINRA-registered broker-dealer in the roll-up of competing investment banking team, broker-dealer and RIA.

Others:

• Represents race horse syndication crowdfunding platform company in its ongoing Regulation A (Reg A) offering of Series LLC interests.
  Represented high end hunting gear company in its $50M sale of minority interest to leading private consumer growth equity firm.
  Represents leading California angel group in the group’s investments in companies located on the West Coast.