Experience

Representative Securities and Capital Markets Matters

Broadly experienced in public offerings and private placements of securities, Exchange Act compliance, PIPE transactions, angel and venture capital financings, bond finance, and other areas of equity and debt financing, our veteran Securities and Capital Markets Group provides sophisticated, innovative and market-savvy counsel to NYSE, NASDAQ and NYSE MKT-listed companies, emerging companies, underwriters, venture capital firms, and hedge funds.

Some recent public securities matters and the clients we represented include the following:

Exchange Act Compliance

Wiggin and Dana acts as regular outside securities counsel to the following public companies:

  • Hudson Technologies, Inc. (NASDAQ)
  • Misonix, Inc. (NASDAQ)
  • CAS Medical Systems, Inc. (NASDAQ)
  • RBC Bearings Incorporated (NASDAQ)
  • TRC Companies, Inc. (NYSE)

We have also acted as regular outside securities counsel to the following public companies prior to their sale:

  • UIL Holdings Corporation (NYSE)
  • AboveNet, Inc. (NYSE)
  • ATMI, Inc. (NASDAQ)
  • Memry Corporation (NYSE MKT)
  • Proliance International, Inc. (NYSE MKT)
  • AXS-One Inc. (OTCBB)
  • ThinkEngine Networks, Inc. (OTCBB)
  • BIW Limited (NYSE MKT)
  • Imagistics International Inc. (NYSE)

Public Securities and Rule 144A Transactions

  • Hudson Technologies, Inc. (NASDAQ) in connection with a $50 million secondary public offering of common stock underwritten by William Blair & Company and Craig-Hallum Capital Group.
  • Biodel Inc. (NASDAQ) in connection with a $35 million secondary public offering of common stock underwritten by William Blair & Company and Ladenburg Thalmann.
  • CAS Medical Systems, Inc. (NASDAQ) in connection with a secondary public offering of common stock underwritten by Craig-Hallum Capital Group.
  • CBC AMMO LLC and CBC FinCo Inc. in connection with their $250 million senior notes offering under Rule 144A. Deutsche Bank Securities was the sole book-running manager and Pine was the co-manager of the offering.
  • UIL Holdings Corporation (NYSE) in connection with a $500 million public offering of common stock underwritten by a syndicate led by Morgan Stanley, JP Morgan and BofA Merrill Lynch.
  • CAS Medical Systems, Inc. (Nasdaq) in connection with a secondary public offering of common stock underwritten by Northland Capital Markets.
  • UIL Holdings Corporation (NYSE) in connection with a $450 million public offering of senior debt underwritten by a syndicate led by Morgan Stanley, JP Morgan and BofA Merrill Lynch.
  • UIL Holdings Corporation (NYSE) in connection with a $90 million public offering of common stock underwritten by a syndicate led by JP Morgan and Morgan Stanley.
  • BIW Limited (NYSE MKT) in connection with its acquisition in a cash-out merger.
  • Assa Abloy AB in connection with the acquisition of Fargo Electronics, Inc. (NASDAQ) through a cash-out merger.
  • TRC Companies, Inc. (NYSE) in connection with a registered option exchange offer.
  • AXS-One Inc. (OTCBB) in connection with an issuer tender offer.
  • BIW Limited (NYSE MKT) in connection with an S-4 registration statement filed to effect a merger with Birmingham Utilities Inc. (NYSE MKT).
  • UIL Holdings Corporation (NYSE) in connection with a public note offering, the disposition of its electric generation assets, and a share exchange and related restructuring into a holding company structure.
  • Lifecodes Corporation with respect to an S-4 registration statement filed in connection with its acquisition by Orchid BioSciences, Inc. (NASDAQ).
  • Transpro, Inc. (NYSE MKT) in connection with an issuer tender offer.
  • Lifecodes Corporation in connection with its initial public offering.
  • Vion Pharmaceuticals, Inc. (NASDAQ) in connection with two simultaneous exchange offers.
  • PerBio Science AB in connection with a tender offer for Endogen, Inc. (NASDAQ).
  • Popkin Software & Systems, Inc. in connection with its initial public offering on the London Stock Exchange and EASDAQ.
  • Yale University in connection with an innovative $125 million offering of 100 year notes.
  • Virium Pharmaceuticals, Inc. in connection with its merger with MacroChem Corporation, a publicly traded biotechnology company.
  • META Group, Inc. (NASDAQ) in connection with an issuer tender offer.

PIPE Transactions

  • CAS Medical Systems, Inc. (NASDAQ) in connection with two common stock PIPE financings with accredited investors.
  • Vision Opportunity Master Fund as lead investor in a common stock PIPE financing for Security With Advanced Technology, Inc. (NASDAQ).
  • SCO Capital Partners LLC as lead investor in a preferred stock PIPE financing for MacroChem Corporation (OTCBB).
  • A significant Connecticut-based investment management firm as lead investor in connection with a convertible debt PIPE financing for GlobalOptions Group, Inc. (OTCBB).
  • Vision Opportunity Master Fund as lead investor in a common stock PIPE financing for Electric & Gas Technology, Inc. (OTCBB).
  • SCO Securities LLC as placement agent in a common stock PIPE financing for Antares Pharma, Inc. (NYSE MKT).
  • SDS Capital Partners LLC as lead investor in connection with a preferred stock PIPE financing for NeoRx Corporation (NASDAQ).
  • A significant Connecticut-based investment management firm as lead investor in connection with a preferred stock PIPE financing in Boston Life Sciences, Inc. (NASDAQ).
  • AXS-One Inc. (NYSE MKT) in connection with a common stock and warrant PIPE financing with institutional investors and insiders.
  • A significant Connecticut-based investment management firm as lead investor in connection with a preferred stock PIPE financing with National Coal Corp. (NASDAQ).
  • BayStar Capital as lead investor in connection with a bridge note and warrant PIPE financing with Critical Home Care, Inc. (OTCBB).
  • A significant Connecticut-based investment management firm as lead investor in connection with a bridge note and warrant PIPE financing for Transmeridian Exploration Incorporated (NYSE MKT).
  • SDS Capital Partners LLC as lead investor in connection with a bridge note and warrant PIPE financing for Nutracea (OTCBB).
  • SCO Securities LLC as placement agent in connection with a common stock PIPE financing for Access Pharmaceuticals, Inc. (NYSE MKT).
  • SCO Securities LLC as placement agent in connection with a common stock PIPE financing for Bioenvision, Inc. (NYSE MKT).
  • SDS Capital Partners LLC as lead investor in connection with a common stock PIPE financing for Adventrx Pharmaceuticals, Inc. (NYSE MKT).
  • SCO Securities LLC as lead investor in connection with preferred stock PIPE financing for Spectrum Pharmaceuticals, Inc. (NASDAQ).
  • SDS Capital Partners LLC as lead investor in connection with a preferred stock PIPE financing for NexMed, Inc. (NASDAQ).
  • SCO Securities LLC as lead investor and placement agent in connection with two preferred stock PIPE financings for Genetronics Biomedical Corporation (NYSE MKT).
  • SCO Securities LLC as lead investor in connection with a common stock PIPE financing for BioSante Pharmaceuticals, Inc. (OTC).