Capital Markets

Glaser Weil’s capital markets attorneys represent a diverse array of publicly and privately held companies, from family businesses, start-ups and emerging growth enterprises to global corporations with household names. Our clients span industries including entertainment, hospitality, energy, software, life sciences, sports, manufacturing, retail and consumer products. We represent clients both on the company/issuer-side as well as the investor/capital-side, including funds (PIPE/VC/Hedge/PE), family offices, broker-dealers and investment bankers.

We provide strategic counsel on all aspects of business formation, operation, expansion and disposition, seamlessly navigating both the boardroom and the negotiating table. Whether structuring complex transactions or advising on day-to-day corporate matters, we deliver sophisticated, practical solutions tailored to our clients' needs.

Our attorneys also have deep experience handling a broad spectrum of capital markets matters. We advise on public offerings, SPAC and reverse merger transactions, securities law compliance, corporate governance, stock exchange listing requirements and more. We guide companies through securities regulations and public reporting obligations, ensuring they meet all applicable legal and regulatory standards.

Glaser Weil also represents clients in high-stakes securities litigation, including class actions, derivative lawsuits and shareholder disputes.

Areas of Focus

• 1933 Act registration statements
• ADR registrations and offering
• At The Market (ATM) offerings
• Corporate finance
• Corporate governance
• Crowd funding
• Entity formation
• Equity Lines of Credit (ELOC)
• Follow-on, resale, direct and alternate public offerings
• Fund formation
• Fundraising
• General corporate transactions
• Initial Public Offerings (IPOs)
• Loan documentation
• Mergers and acquisitions
• Private Investments in Public Equities (PIPEs)
• Private placements
• Proxy and information statements
• Registered direct offerings
• Regulation A, A+, D and S Offerings
• Reverse mergers
• Rule 144 opinions
• Section 16 compliance and reporting
• Securities Exchange Act reporting and compliance
• Securities litigation
• Special Purpose Acquisition Companies (SPACs)
• Stock exchange applications and listings
• Tax and executive compensation
• Venture capital and private equity financings

Notable experience includes our attorneys’ representation of:

• NAYA Biosciences, Inc. (Nasdaq: NAYA), a life science portfolio company, in its $9.5 million public offering.
• An online and mobile prepared food ordering and delivery company in a $308 million de-SPAC transaction and $75 million convertible note PIPE.
• An Oregon-based producer of premium spirits in a convertible note and warrant PIPE.
• An energy field services company in a $12 million PIPE transaction.
• A biotechnology company in a $25 million PIPE transaction.
• Numerous clients in the preparation of numerous Regulation D Private Placement Memorandums.
• An LA-based private equity firm in connection with its backstop agreement and $15 million equity investment in Biomotion Sciences, a clinical-stage, oncology-focused biotechnology company engaged in the discovery and development of proprietary treatments for KRAS-driven cancers, in connection with its de-SPAC merger.

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