Securities Law
Structuring private capital for growing companies
We represent privately held companies in private placements, convertible note offerings, preferred stock transactions, and other exempt securities offerings. From initial deal structuring through offering documents, investor negotiations, and regulatory compliance, we handle the full lifecycle of private capital raises.
What We Handle
Regulation D offerings (Rule 506(b) and 506(c))
Section 4(a)(2) private placements
Convertible note and SAFE agreements
Preferred stock designations and issuances
Subscription agreements and investor questionnaires
Private placement memoranda
Securities legends and transfer restrictions
Blue sky compliance and state notice filings
Form D filings and amendments
Investor relations and ongoing compliance
Section 351 tax-free exchanges and contribution transactions
Cap table management and equity structuring
Our Approach
Our managing partner previously held Series 7 and Series 63 licenses and worked on the floor of the Chicago Board of Trade. That financial industry background informs how we structure offerings, not just for legal compliance but for commercial viability. We understand what investors look for and how to structure deals that attract capital while protecting the issuer.