Representative Transactions and Engagements

The Principals of ProActive have managed or participated in the following engagements.

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.
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