Securities and Capital Markets
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 Practice Group provides sophisticated, innovative, and market-savvy counsel to NYSE, NASQAQ and NYSE American listed companies, emerging companies, underwriters, venture capital firms, and hedge funds.
Ranked among the top firms nationwide in investor-side PIPE transaction volume,* we skillfully handle matters such as proxy statements, 10-Ks and 10-Qs to public offerings, tender offers, exchange offers, and recapitalizationsโas well as highly innovative securities transactions such as 100-year-debt and simultaneous issuer-tender offers. We also help our foreign clients with U.S. sales of debt and equity securities.
In addition to representing underwriters and issuers in a range of public securities transactions, we serve as regular outside securities counsel for numerous publicly traded companies.
We also participate nationally and globally in venture capital and angel financing transactions, which have totaled more than $500 million in recent years. We pride ourselves on providing sound guidance to wide-ranging participants at every stage of the financing process.
Related Wiggin and Dana Practices:
Life Sciences
The firm serves a diverse group of clients in the biotechnology and life science industries, including domestic and foreign public companies, universities, and emerging companies active in such research areas as neuroscience, immunotherapeutics, pharma-genomics oncology, and viral diseases.
Technology and Outsourcing
Our technology and outsourcing attorneys claim substantial experience in representing every kind of participant in high-tech venture capital, providing sound guidance to both investors and portfolio companies at every stage of the financing process. With knowledge in patent, trademark, copyright, tax, labor and employment, and immigration matters, we are a one-stop shop for clients in technology, e-commerce, and other technology-driven industries.
*Sagient Research Systemsโ Placement Tracker PIPE Market League Tables
News
Publications
Podcasts
Videos
People
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 American listed companies, emerging companies, underwriters, venture capital firms, and hedge funds.
Representative public securities matters and current and prior clients include the following:
Exchange Act Compliance
- Hudson Technologies, Inc. (NASDAQ)
- Rego Payment Architectures, Inc. (OTC)
- Notable Labs, Ltd. (NASDAQ)
- Misonix, Inc. (NASDAQ)
- CAS Medical Systems, Inc. (NASDAQ)
- UIL Holdings Corporation (NYSE)
- AboveNet, Inc. (NYSE)
- RBC Bearings Incorporated (NASDAQ)
- TRC Companies, Inc. (NYSE)
- UIL Holdings Corporation (NYSE)
- AboveNet, Inc. (NYSE)
- ATMI, Inc. (NASDAQ)
- Memry Corporation (NYSE American)
- Proliance International, Inc. (NYSE American)
- AXS-One Inc. (OTCBB)
- ThinkEngine Networks, Inc. (OTCBB)
- BIW Limited (NYSE American)
- 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 American) 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 American) in connection with an S-4 registration statement filed to effect a merger with Birmingham Utilities Inc. (NYSE American).
- 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 American) 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 American).
- 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 American) 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 American).
- 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 American).
- SCO Securities LLC as placement agent in connection with a common stock PIPE financing for Bioenvision, Inc. (NYSE American).
- SDS Capital Partners LLC as lead investor in connection with a common stock PIPE financing for Adventrx Pharmaceuticals, Inc. (NYSE American).
- 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 American).
- SCO Securities LLC as lead investor in connection with a common stock PIPE financing for BioSante Pharmaceuticals, Inc. (OTC).