Capital RAising

Robert assists companies in obtaining funds from investors and lenders to grow and operate their businesses. These services often involve advising on the legal and regulatory aspects of raising capital through equity, debt, or hybrid instruments, and ensuring compliance with securities laws, investor protections, and transaction structures. Fundraising efforts should be legally sound, properly structured, and compliant with regulatory requirements to help attract investment, manage risk, and position the company for growth while protecting the interests of the company and its investors.

Robert has represented companies in their capitalization matters by providing structural and deal guidance, drafting and negotiating Private Placement Memorandums, Offering Booklets, Subscription Agreements, Investor Questionnaires, Covered Person Questionnaires, Membership Interest Purchase Agreements, Stock Purchase Agreements, Preferred Stock Purchase Agreements, Convertible Notes, Convertible Note Purchase Agreements, SAFEs, Promissory Notes, Security Agreements, and applicable governance documents (e.g., Amended and Restated Certificates of Incorporation, Operating Agreements, Bylaws, Shareholders Agreements, Voting Agreements, Transfer Agreements, Buy-Sell Agreements, etc.), tracking investors and managing documents, and preparing and filing applicable regulatory filings.

Example client capital raises include:

  • $50 million secured convertible security raise for an energy company;

  • $50 million equity raise for a hedge fund;

  • $15 million equity raise for a digital asset fund;

  • $7.5 million equity raise for a private equity fund;

  • $6 million equity raise, $1.1 million equity raise, and $1.5 million equity raise for an energy technology company;

  • $6 million equity raise and $200,000 convertible security raise for an adventure park;

  • $4 million equity raise, $1.5 million equity raise, and $1.1 million convertible security raise for an agriculture company;

  • $4 million equity raise for a real estate fund;

  • $3.5 million equity raise for a restaurant;

  • $3.5 million equity raise for an energy project company;

  • $3 million equity raise for an SPV making two private equity-type investments;

  • $2.35 million equity raise for a restaurant;

  • $1.75 million equity raise for a brewery;

  • $1.7 million equity raise for an SPV making a private equity-type investment;

  • $1.5 million rights offering for an energy company;

  • $1.25 million convertible security raise for a medical device company;

  • $1 million convertible security raise, $750,000 convertible security raise, and $500,000 convertible security raise for food and beverage company;

  • $850,000 equity and convertible security raise for music technology company;

  • $600,000 equity and convertible security raise for beverage company; and

  • a liquidity process, a double-sided, “sealed-bid” auction to existing stockholders, facilitated by Nasdaq Private Market.