Private Equity, Venture Capital, Hedge Fund, Family Office and other Financial & Strategic Investments

Financial and Strategic Investments involve investors, investment funds or companies making investments in business enterprises short of taking a majority stake or making a full acquisition.  Financial Investors are usually investment funds whose core business is investing, such as Private Equity Funds, Venture Capital Funds, Hedge Funds, Family Offices and Trusts.  Financial Investors usually are principally interested in a return on their investment, although they also sometimes seek to assemble a portfolio of companies that complement each other.  Strategic Investors are companies in any industry or business that invest in vertically integrated companies, which may be upstream vendors or suppliers, or downstream distributors or customers; or, sometimes, horizontal competitors.  While Strategic Investors also care about their return on investment, they are usually also motivated by the strategic implications of their investment, such as securing their supply or distribution chain, or taking a minority stake in a smaller company as a prelude to a full acquisition.  We are experienced in the special needs of “Deep Tech” innovative, research intensive projects requiring longer term investment horizons and technology transfer royalty-bearing transactions between universities or research institutes and private commercial parties or spin-offs.

Financial & Strategic Investments Solutions:

We represent both Financial Investors and Strategic Investors, and the enterprises in which they invest and lend, in:

  • Structuring, Formation, Governance and Administration for Onshore/Offshore Investment Funds and Companies
  • “Master Feeder” and Hierarchical Structuring for Segregating/Aggregating Onshore/Offshore Investor Pools
  • Tax and Regulatory Compliance Counseling for Onshore/Offshore Investment Funds
  • Private Equity Investments on both the Investor and Company Sides
  • Buyouts, Spin-Offs and Going Private Transactions
  • Early and Late Round Venture Capital Investments on both the Investor and Company Sides
  • Strategic Investments in Vertically Integrated and Horizontal Competitor Companies
  • Technology Transfer Royalty-bearing Transactions between Universities or Research Institutes and Private Commercial Parties or Spin-Offs
  • “Deep Tech” Finance and Support for Innovative, Research-Intensive Projects Requiring Longer Term Investment Horizons
  • Bridge and Mezzanine Lending
  • Private Investment in Public Equity (PIPE) and Reverse Merger Transactions
  • Growth-Equity Financing
  • Recapitalization, Restructuring and Acquisitions of Bankrupt or Distressed Companies and Assets

Financial & Strategic Investments Representative Transactions

Financial & Strategic Investments Whitepapers and Advisories:

Raising Capital Through Private Placements: Deal Points

Raising Capital Through Private Placements Exemption Chart

Special Purpose Vehicles: Uses and Abuses

EU to Modify IPO Rules to Attract Deep Tech Startups

Wyoming’s Digital Assets Law and How to Use It

Mergers & Acquisitions I: Overview and Transaction Types: Deal Points

Mergers & Acquisitions II: Tax Structuring Considerations: Deal Points

Mergers & Acquisitions III: Acquisition Consideration: Deal Points

Mergers & Acquisitions IV: Preliminary Documentation: Deal Points

Mergers & Acquisitions V: Stock Purchase Transactions: Deal Points

Mergers & Acquisitions VI: Asset Purchase Transactions: Deal Points

Mergers and Acquisitions VII: Mergers: Deal Points

SEC Proposes New Rules to Protect Private Fund Investors

Twitter Counters Elon Musk Takeover Offer with a Poison Pill

SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting

Resales of Restricted Securities: Deal Points

FTC Sets Ambitious M&A Enforcement Agenda

Inbound & Startup and Virtual General Counsel Legal Services

Powersharing: Allocating Rights and Responsibilities Early in Company Life to Avoid Trouble Later and Create a Viable Investment Vehicle


Practice Areas