Financings
Mergers & Acquisitions
Business Restructurings
Investor Services 
Other Engagements 

Financings:

• Represented publicly traded industrial prototyping systems manufacturer in securing $4 million asset-based credit facility.
• Represented data mining and process control software firm through series A, B & C venture financings, and establishment of a $500,000 lease financing facility.
• Represented digital imaging software firm in $5 million series A venture financing.
• Represented educational software vendor with the establishment of a $1 million factoring credit facility.
• Represented an EDA software vendor in a seed round private placement transaction and Series B $4 million venture capital financing.
• Represented global branded watch distribution agent with senior fixed asset purchase facility.
• Represented security semiconductor vendor in initial bridge financing and an $11 million Series A venture financing.
  
  

Mergers & Acquisitions:

• Represented digital interface software developer in a $10 million sale to a publicly held electronics firm.
• Represented investment group in purchase of controlling interest in publicly traded industrial prototyping systems manufacturer.
• Represented a data storage software company on merger with publicly traded U.K. software services firm.
• Represented software consulting firm in sale to large private competitor.
• Represented publicly traded industrial prototyping systems manufacturer in $45 million sale transaction to publicly traded competitor. 
• Represented global branded watch distribution agent in sale of business to publicly traded athletic shoe and apparel company.
  
  

Business Restructurings:

• Provided financial and management services to a financially troubled biotech firm resulting in its successful reorganization and ultimate profitable sale of the company.
• Provided financial services for a defense contractor as part of its successful Chapter 11 bankruptcy reorganization process.
• Represented a theater chain operator in restructuring a $22 million credit facility.
• Provided financial services for a publicly traded psychiatric and rehabilitation healthcare organization during its reorganization process.
• Represented digital interface software company in internal reorganization, procured interim financing and facilitated sale of substantially all of its assets to a publicly traded electronics firm. (Served as interim COO/CFO during the one year process.)
• Provided financial services to an oilfield services company during its reorganization process.
• Provided financial and management services to an insurance company in liquidation resulting in recoveries of approximately $200 million for the benefit of policyholders.

Investor Services:

• Represented a group of limited partners in a hedge fund regarding investigation of investments, capital account valuation, and propriety of management actions.
• Served as shareholder fiduciary to wind up final operations of sold company and collect/administer holdback and earn-out claims.
• Represented a venture capital fund in evaluating the recapitalization effect of an existing portfolio company’s financing transaction.
• Provided financial services to a high net worth individual with regard to certain early stage venture investments.
• Represented group of limited partners regarding a private company investment, transaction discrepancies, and liquidity prospects.
• Provided financial services to a high net worth individual regarding charitable foundation activities.
• Represented an individual investor in the evaluation and due diligence of proposed acquisition of commercial video production company.
• Provided financial services to a royalty owner as part of an investigation of royalty computations which resulted in a favorable settlement of a dispute with the licensee.
  

Other Engagements:

• Advised on the development of an equity incentive plan to retain key employees through company sale process.
• Advised on formation of stock option and equity plan for key executives of a sports and entertainment agency firm, including consultation on various related valuation issues.
• Performed a business appraisal for a retail and wholesale flooring company for gift and estate tax purposes.
• Performed a strategic market analysis focusing on major competitors and potential strategic partners for an internet enterprise software company.
• Advised a digital media interface company on a strategic partnership with a major Japanese electronics manufacturer, including negotiation coordination of a research agreement and a software license and distribution agreement.
• Performed a capital requirements assessment in connection with the spin-off of a watch distribution business.
• Developed a business plan for an educational software vendor as part of a strategic partner search.
• Advised investment management firm on initial organizational matters, including form of entity, compensation structure, accounting set-up, and hiring of controller.
• Coordinated the post-LBO resolution and settlement of a Holdback claim for a theater chain.