IPOs and Securities Offerings

Overview

BakerHostetler’s IPOs and Securities Offerings team focuses on our clients’ success by supporting corporate growth through the issuance of stock and debt appropriate to their needs. We represent issuers and underwriters in public and private common and preferred equity and debt offerings and in a wide range of capital market transactions.

We are experienced with a wide range of offering structures and security types and have assisted many clients in raising funds throughout their life cycles, from pre-IPO private offerings to firm commitment IPOs, as well as shelf takedowns, rights offerings, Rule 144A offerings of straight and convertible debt, at-the-market offerings, and PIPEs, among others.

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In our IPO practice, we seek not only seamless transaction execution but also to thoroughly understand the client’s goals and opportunities in order to serve as a true partner throughout the client’s transition into a public company. We have guided clients through traditional underwritten IPOs and stock exchange listings, as well as through business combinations with SPACs and uplistings.

We develop robust relationships with our clients, many of whom trust us for counsel on day-to-day matters. Because we understand their businesses, we can swiftly execute time-sensitive capital market transactions. Our goal is to consistently deliver excellent client service and provide the resources and experience to successfully complete transactions, regardless of size, industry or other factors.

Select Experience

Our team members’ experience includes:

IPOs and follow-on offerings

  • Served as counsel to a Nasdaq-listed restaurant industry client in connection with its IPO and follow-on equity offerings with an aggregate value of more than $1 billion.
  • Served as counsel to a Nasdaq-listed home furnishings retailer in connection with its $168 million IPO.
  • Served as counsel to a NYSE-listed investment company in connection with its $240 million IPO.
  • Served as counsel to a Nasdaq-listed clinical stage biopharmaceutical company in its IPO and subsequent at-the-market offering aggregating approximately $25 million.
  • Served as counsel to an electric vehicle developer in connection with going public and its listing on Nasdaq through a business combination with a SPAC providing approximately $675 million in proceeds.
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Professionals

Name Title Office Email
Partner Los Angeles
Partner Columbus
Partner Houston
Associate Houston
Partner Orlando
Associate Los Angeles
Partner New York
Partner New York
Partner Cleveland
Partner Cleveland
Counsel Houston
Associate Dallas
Associate Cleveland
Partner Seattle
Associate Houston
Associate Cleveland
Associate Seattle
Associate Los Angeles
Partner Columbus
Partner New York
Partner Cleveland
Associate Cleveland
Partner Dallas
Associate Cleveland
Associate Houston

Experience

Our team members’ experience includes:

IPOs and follow-on offerings

  • Served as counsel to a Nasdaq-listed restaurant industry client in connection with its IPO and follow-on equity offerings with an aggregate value of more than $1 billion.
  • Served as counsel to a Nasdaq-listed home furnishings retailer in connection with its $168 million IPO.
  • Served as counsel to a NYSE-listed investment company in connection with its $240 million IPO.
  • Served as counsel to a Nasdaq-listed clinical stage biopharmaceutical company in its IPO and subsequent at-the-market offering aggregating approximately $25 million.
  • Served as counsel to an electric vehicle developer in connection with going public and its listing on Nasdaq through a business combination with a SPAC providing approximately $675 million in proceeds.

Debt offerings

  • Served as counsel to a NYSE-listed energy industry master limited partnership in its registered $1.6 billion senior notes offering.
  • Served as counsel to a NYSE-listed insurance industry client in multiple registered senior notes aggregating more than $3 billion.
  • Served as counsel to a Nasdaq-listed restaurant industry client in connection with its $230 million Rule 144A convertible notes offering and its $300 million Rule 144A senior notes offering.
  • Served as counsel to a NYSE-listed energy industry client in connection with its refinancing of more than $1 billion of subordinated notes through a combination of tender offers and redemptions, issuances of new common shares, convertible notes and secured notes in privately negotiated exchange transactions, and the registered offering of new notes.
  • Served as counsel to a NYSE-listed industrial packaging company in connection with its $500 million Rule 144A senior notes offering to provide acquisition financing.
  • Served as counsel to a privately held steel manufacturer in its $600 million Rule 144A secured notes offering, which was the initial debt securities offering for the issuer.
  • Served as counsel to a Nasdaq-listed clinical-stage drug discovery and development company in its sale of notes in the principal amount of $55 million.

Other capital market transactions

  • Served as counsel to a NYSE-listed insurance industry client in its $500 million registered preferred stock offering.
  • Served as counsel to a NYSE-listed energy industry master limited partnership in its $300 million common unit offering.
  • Served as counsel to a Nasdaq-listed clinical-stage drug discovery and development company in its fully subscribed $75 million rights offering.
  • Served as counsel to a Nasdaq-listed diversified holding entity with healthcare, construction and investment divisions in its public offering of common stock and warrants.
  • Served as counsel to an energy-efficient lighting company in connection with its initial listing on Nasdaq and subsequent $50 million underwritten common stock offering.
  • Served as counsel to a Nasdaq-listed electric vehicle developer in its equity line of credit for up to $400 million.
  • Served as counsel to a Nasdaq-listed IP company in its $10 million litigation financing transaction.
  • Served as counsel to an OTC-listed modular homes company in its public rights offering.
  • Served as counsel to a Nasdaq-listed IP company in its public rights offering.
  • Served as counsel to a Nasdaq-listed biotech company in its $207.2 million overnight public offering of shares of its common stock.
  • Served as counsel to a Nasdaq-listed biotech company in several registered direct offerings aggregating more than $100 million.

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