Cases
Representative Matters: Representing PeriphaGen, a biopharmaceutical company, in a trade secret
breach of contract case against Krystal, Inc. relating to complex gene therapy technology.
Represented a leading healthcare investment bank
affiliated companies in a transaction in which it spun off an investment advisory entity specializing in derivative investments in publicly traded pharmaceutical companies
the transaction established another unaffiliated entity to hold the interests in the advisory company,
payment was by combination of debt
warrant coverage.
Represented Protagen Protein Services GmbH, a world-leading German Contract Research Organization ( CRO )
protein science expert, in its acquisition of BioAnalytix, Inc., a pharmaceutically-oriented American biotech company spun-out from the Barnett Institute of Chemical
Biological Analysis at Northeastern University
the transaction establishes a new method of protein analysis in the United States.
Representing social application startup in company formation, international taxation
intellectual property matters.
Sale of medical device company out of chapter 11 in sealed bid auction process with various IP-sensitive bidders.
Effected merger of life sciences research company with broker/dealer registered investment banking firm.
Assisted investors in multi-tiered biotech company in structuring an exit format satisfactory to investors, common stockholders
management.
Effected acquisition by public acquirers of a software company, a semi-conductor materials company, a circuit board company, a fitness products company
a medical software company.
Representing offshore strategic investor in bridge financing of VC-backed Silicon Valley technology company.
Representing a long-dormant public company in its revival, SEC compliance
going dark.
Representing Investment Bank in $35,000,000 investment into bank,
related regulatory issues.
Representing investors in $50,000,000 D Round in information technology company.
Sale of defense contractor with proprietary technology
UK subsidiary.
Resurrection of publicly registered company after ten year dormancy, with related SEC clearances.
Advised venture capital leasing company on numerous national
international telecom leases, with related equity participations.
Structured
implemented international licensing regime for American-based, Harvard-affiliated business consulting concern.
Effected partial or complete family buyouts/succession strategies for privately owned hardware manufacturer, privately owned defense contractor
privately owned investment bank.
Represented senior executive employee in connection with whistleblower/Sarbanes-Oxley investigation.
Represented senior executives in connection with employment, severance, parachute
compensation acceleration (409A) issues in connection with acquisition by a public acquirer.
Effected private placements, PIPES
secondary public offerings for clients in diverse industries.
Advised public accounting firm in its consolidation with a national practice firm.
Served as an expert witness in cases involving the st
ard of care for corporate representation in emerging companies.
Established irrevocable trusts, serving as trustee
issuing private annuities, effecting investment programs
financing various operating companies.
As family trustee, invested
supervised portfolio to balance yield
growth in complex family situation.
As family trustee, had significant role in staffing
operating West coast manufacturing facility, East coast commodities distribution company,
factoring/receivables finance company.
Representation of bank in negotiating of master custodial agreements
related securities transaction documentation.
Designed deferred compensation, phantom stock
other compensation plans
funds for senior executives in the brokerage
financial services industries.
Provided comprehensive '34 Act, Sarbanes-Oxley
Regulation FD disclosure advice to exchange-listed public company.
Represented various senior executives in identifying, pursuing
documenting affiliations with (
investments in) their next businesses.
Advised domestically based financial services company in structuring derivative securities based upon stripped financial instruments
pools of senior settlement insurance policies.
Advised boards
committees of boards of directors relative to executive compensation, business valuation, option
restricted stock programs,
acquisitions.
