Capital markets transactions require more than familiarity with financing documents. They demand an understanding of how investors, issuers, investment banks, and other market participants allocate risk, balance competing commercial objectives, and navigate an evolving regulatory environment. When disputes arise, they often turn on agreements negotiated months or years earlier.
Our lawyers advise hedge funds and public companies regarding sophisticated public and private financing transactions. We represent institutional investors and issuers in PIPE transactions, registered direct offerings, public offerings, at-the-market offerings, rights offerings, equity line facilities, convertible debt financings, and other complex capital-raising transactions. As general counsel of a hedge fund manager that regularly participated in these transactions, Brian Kohn negotiated securities purchase agreements, registration rights agreements, warrants, and a wide variety of related transaction documents, giving him extensive experience with the contractual rights and obligations governing these investments both at closing and thereafter.
Our experience spans both investors and issuers, and both transactional counseling and litigation. As a result, we understand not only how these transactions are structured, but also how they can unravel. We advise clients regarding post-closing disputes involving financing agreements and related commercial issues, allowing us to identify risks early, anticipate issues others may overlook, and structure transactions that advance our clients’ commercial objectives while minimizing execution risk and reducing the likelihood of future disputes.
