Helping businesses and ventures with compelling technologies reach their growth objectives with sound legal strategies and solutions.

Securities / Corporate Transactions

Louis counsels on public offerings and private placements of equity, equity-linked and debt securities.  In commenting on his prowess, Chambers USA said, “His domain experience in public offerings and private placements of equity, equity-linked, and debt securities, mergers, acquisitions, dispositions, spinoffs, strategic investments, and joint ventures, as well as corporate governance and securities law compliance matters, serves his clients well.”

Louis advises on corporate governance and securities law compliance matters and represents U.S. and non-U.S. registrants before the SEC, FINRA, NYSE and NASDAQ.

Services include:

• Private and public equity financings of common stock, preferred stock and equity linked offerings of convertible and exchangeable notes
• Public and private placements of debt securities, including senior secured notes, subordinated notes, second-lien notes, investment grade and crossover products
• Rule 144A private placements to qualified institutional buyers
• Regulation S offshore private placements to non-US persons
• Secondary financings

Representative Clients:

• Lead counsel for doc.ai and founders in combination with Sharecare and Falcon Capital Acquisition Corp. in a de-SPAC’ing transaction (2021)
• Guided Zonehaven in its acquisition by Genasys Inc. (NASDAQ: GNSS) (2021)
• Represented Semarchy SAS and Semarchy, Inc. in their sale to Provident Strategic Growth, the growth equity arm of Providence Equity Partners (2021)
• Advised SoftBank as selling holder in Slack’s direct listing (2019)
• Counseled SoftBank as selling holder in 10x Genomics’ IPO (2019)
• Represented SoftBank as selling holder in Guardant Health’s IPO and follow-on offerings (2018)
• Advised CHC Group, Ltd. in its IPO (formerly NYSE: HELI) (2014)
• Counseled LegalZoom in its attempted IPO (2012)
• Shepherded RealD in its IPO and follow-on offering (July and December 2010)
• Guided OpenTable in its follow-on offering (2009)
• Represented the underwriters, Micron (2009)
• Counseled CBRE in multiple capital markets transactions
• Represented the underwriters in Heckmann Corporation’s SPAC IPO and financial advisors in its subsequent de-SPAC transaction (2007-2008)
• Represented the underwriters in AMIS Holdings’ public offering (2007)
• Softbank Group International