March 4, 2018

PIPE Transaction Trends: 2017 & 2018 Growth in Alternative Offerings

Private Investment in Public Equity (PIPE) transactions offer company issuers the opportunity to sell unregistered equity via a private marketing process. PIPEs include both individual […]
March 22, 2016

16 Alternatives to Venture Capital

Despite what the court of public opinion says, venture capital funding isn’t all that sexy. Sure, it’s a way to source capital, but it has […]
April 13, 2015

Myths About Public Company Share Registration & the SEC

Before I delve in to a discussion about what the SEC does and does not do, let me be very clear: the SEC produces and […]
February 6, 2015

$2.14MM to Raise $12.3MM? Are You Kidding Me?

I just picked up an article about an in-vitro diagnostics company that recently listed on London’s AIM Exchange. The company was reminiscent of some previous […]
January 30, 2015

We Don’t Like Ignorant Clients

This may sound pompous, but let me explain. We love all clients. We also like educating clients as to the benefits of what we do. But, after […]
January 29, 2015

“Bubble Gum & Duct Tape” — A Lesson in Entrepreneurial Bootstrapping

A conversation I had with a potential client this last week went something like this: Me: “Tell me about your financing to date” Client: “We’ve […]
January 28, 2015

The “Going Public” Process–Detailed Steps for Taking Your Company Public

We’ve gone over the go public process before, but I thought it would be helpful to provide some of the specifics in a brief post. […]
January 26, 2015

Required Forms & Schedules for Public Companies and Officers

While good securities counsel and financial accounting prowess will typically keep track of your regularly scheduled filings with the SEC, NASD and FINRA (depending on […]
January 23, 2015

Build a Great Company, THEN Take it Public

Someone, somewhere got the order mixed up. Somewhere we starting thinking the end goal was going public–not creating long-lasting value for shareholders by providing meaningful […]
January 23, 2015

1-Page : Venture Backed, Now Public on ASX

I just read the intriguing story of Joanna Weidenmiller, the Founder of 1-Page on FastCo. After taking in more than $3 million in Silicon Valley […]