Securities Transactions and Financings

Gamma Law has a sophisticated practice supporting companies in our selected industries with securities and investment transactions, including venture capital and other equity, convertible note and debt financings. Unusual among specialized law firms, our lawyers have experience earned at the highest levels of securities finance and investment. Many of our lawyers have worked for the world’s largest law firms, based in New York and international financial centers, working on billion-dollar public offerings, debt facilities, and private placements. Our lawyers are experienced with initial public offerings, SEC compliance matters, and preparation of disclosure documents. We represent both issuers and investors in financings and securities transactions of all types.

For emerging-company clients, Gamma Law regularly advises on seed financings, angel investments, and venture capital rounds as well as strategic investments. We are familiar with SAFEs and other convertible note structures and can support clients with equity crowdfunding and “Reg. A+” offerings and Rule 506(c) placements.

We also support clients with secondary transactions and related SEC and state securities compliance, including founder exits, transfers among shareholders, and stock repurchases.

securities lawyer

Selected Transactions

  • Represented Japanese public company in $10 million Series B strategic investment in US digital device logistics startup.
  • Represented organic foods company as issuer in $6 million Series A and B LLC unit rounds with international social investment funds.
  • Represented VR technology startup as issuer in $2 million convertible note financing with premier Silicon Valley investment firms.
  • Represented Japanese public company in $8 million two-tranche Series B investment in education technology startup.
  • Represented Hong Kong e-commerce company with high-profile institutional investors as issuer in $2.5 million Series C round.
  • Represented international technology investment fund in proposed investments in various early-stage companies.

Securities and Investment Law