I am a corporate and securities attorney in Seattle. Over the years, I have represented numerous private companies, VC funds, placement agents, and others in venture transactions. Today, much of my work involves capital markets transactions, public company SEC reporting, and related corporate and disclosure advice. I have advised in dozens of initial public offerings, stock exchange listings, secondary offerings, public and private M&A deals, international transactions, PIPEs, spin-offs, going private transactions, and other transactions.
I contribute to this blog because I often get questions regarding what successful private companies should do as they plan for future public offerings or other strategic transactions. Knowing the issues and considerations that matter to companies, underwriters, regulators, accountants, and others involved in such transactions can provide a unique perspective for maturing private companies.
My wife (a 4th grade teacher) and I went to Washington State University as undergrads, and we have a son and a daughter. I went to law school at the University of Washington. I have lived in the Northwest my whole life, and now live on Bainbridge Island.
- AsiaInfo-Linkage (Nasdaq:ASIA) in a ~$770M merger with Linkage Technologies
- OCZ Technology Group (Nasdaq:OCZ) in a ~$23M PIPE, ~$15M PIPE, ~$17M block resale transaction, and ~$35M acquisition of Indilinx
- Feihe International (NYSE:ADY) in a multi-year restatement, NYSE listing, $60M private placement to Sequoia Capital, selling shareholder registration statements, and structured share repurchase
- China Dredging in its initial public offering and selling shareholder registration statement
- Coupons.com in an acquisition of worldwide licensing rights and restructuring
- Maxim in underwriting a ~$5M offering of China Metro-Rural (Amex:CNR)
- Kingold Jewelry (Nasdaq:KGJI) in a ~$23M initial public offering
- Nimbic (f/k/a Physware) in its Series A, Series A-1, bridge note, and Series B financing
- GLG Life Technology (Nasdaq:GLGL, TSX:GLG) in a ~$32M US initial public offering and Nasdaq listing
- LPath (OTCBB:LPTN) in a ~$5M PIPE transaction
- Investor group in a Series B and Series B-1 financing and recapitalization of CoCo Communications
- Ruslan Investments in a SPAC offering on Euronext (withdrawn)
- Northstar Neuroscience (Nasdaq:NSTR) in a public company liquidation
- Starbucks (Nasdaq:SBUX) $550M public debt offering
- Artes Medical (Nasdaq:ARTE) in a ~$2.4M PIPE transaction
- FinAnalytica in a Series A transaction, recapitalization, and convertible note offering
- Imperium Renewables in its initial public offering (withdrawn)
- FLO Corporation (OTCBB:FLRP) in its spin-out from Saflink and a ~$7 PIPE transaction