|
Practice/Industry Group Overview
Luce Forward helps California businesses and owners maximize risks. Our securities advice to public companies, underwriters, private companies, private equity funds, and their principals always focuses on these core objectives of clients. The public and private companies we represent, both large and small, trust us to understand their objectives and get the results they want. That is why Luce Forward's securities attorneys have represented issuers and investors in billions of dollars of public and private offerings of debt and equity securities.
Our extensive securities expertise includes:
- public offerings of equity, debt, and convertible securities
- Initial Public Offerings
- reverse mergers, SPACs, and other alternative public offerings
- financing transactions, conversions, and restructurings
- private placements
- going private transactions
- public company acquisitions and spin offs
- Section 3(a)(9) exchanges
- Section 3(a)(10) issuances
- Securities Exchange Act reporting and compliance
- public listing
- securities exchange
Representative Matters
- Represented public Italian entity in significant license/stock deal with NASDAQ biopharmaceutical company focused on acquiring, developing, and commercializing proprietary products that address the need of patients treated by physician specialists, including registration of milestone securities with the SEC.
- Represented pharmaceutical company listed on NASDAQ in connection with several PIPE financings and in all necessary filings with the SEC.
- Represented pharmaceutical company to increase revolving commitment amount under its credit agreement.
- Represented provider of information connectivity solutions that capture, analyze, and present real-time information to its customers in the Department of Defense, Department of Homeland Security, other government agencies, and large industrial companies, in multiple PIPE financings and then its merger to become a wholly-owned subsidiary of a provider of engineering, IT services, and warfighter solutions primarily in the U.S. and traded on NASDAQ.
- Represented publicly traded bank holding company in its acquisition of a bank through merger, and in all necessary filings with the SEC.
- Represented developer of innovative technologies to stabilize biological materials at room temperature, in multiple private offerings of preferred stock to investors.
- Represented privately held company in acquisition of existing bank holding company through stock exchange transaction approved by the California Department of Corporations after fairness hearing and simultaneous private capital offering to fund acquisition and recapitalizition of bank.
- Represented private school founded to fulfill coastal North County San Diego's need for excellence in secondary and college-preparatory education in bond financing intended by school to be used for several capital projects, including, purchasing additional real property, installing an athletic field, building a permanent high school building, expanding current high school buildings, and building a new athletic center/gymnasium.
- Represented bank holding company in initial public offering with the SEC.
- Represented private company developing lead compounds in new medicines for acne, wound healing, prostate cancer, and for other androgen or androgen receptor-related disorders in multiple private offerings of preferred stock to investors.
- Represented manufacturer and distributor of audio recording, vibration monitoring, and process control equipment and products and its security holders in the sale of all company stock to a public, diversified, industrial company that produces engineered products for global niche markets.
- Represented California state-chartered banks in offerings under purview of the California Department of Financial Institutions.
- Represented nationally chartered banks in offerings under the purview of the Office of the Comptroller of the Currency.
- Represented private company providing video hardware to document "bad driving" events and to aid in crash reconstruction in multiple private offerings of preferred stock to investors.
- Represented bank holding company in TARP financing.
- Represented janitorial, security, and related services company and its security holders in sale of all of company stock to large strategic partner.
- Represented sole shareholder of custom plastic injection molder offering full engineering services including product design consultation, mold design, and material recommendations, as well as in-house and offshore precision injection mold making, and sale of company stock.
- Represented distributor of both veterinary and physician healthcare products and its security holders in the sale of all of the stock of the company to a leading supplier of top quality animal health products and services.
- Represented Audit Committees of NASDAQ listed companies in connection with review of various accounting practices/issues, “tone at the top,” and other regulatory and disclosure issues.
- Represented companies, including AMEX and NASDAQ listed companies, regarding Securities Exchange Act of 1934 reporting and compliance.
|