Capital Markets

Selected capital markets transactions in which Polsinelli’s Securities & Corporate Finance lawyers have played a leading role include the following: 

• Represented a clinical-stage biopharmaceutical company in its $71.2 million PIPE transaction; its successful “uplisting” to Nasdaq; its $78.2 million follow-up public offering; and its $100 million “at-the-market” offering program.
• Represented a white label beverage producer in its successful “uplisting” to Nasdaq; its underwritten public offering of common stock; its registered direct offering of common stock; multiple equity offerings pursuant to exemptions from registration; and its “at-the-market” offering program.
• Represented a Nasdaq-listed bank holding company in its $100 million underwritten public offering of 5.25% Fixed-to-Floating Rate Subordinated Notes due 2030.
• Represented a Nasdaq-listed manufacturing company in its $500 million Rule 144A offering of 4.000% senior notes due 2029.
• Represented a Nasdaq-listed technology company focused on the car sharing and ride sharing marketplace in its $29.7 million underwritten common stock offering.
• Represented an NYSE American-listed issuer in its $40 million “at-the-market” offering.
• Represented an NYSE American-listed issuer in its $75 million “at-the-market” offering.
• Represented an NYSE-listed midstream energy company in its $500 million “at-the-market” offering.
• Represented an NYSE-listed natural gas gathering and transporting company in its $80 million underwritten common equity offering.
• Represented an NYSE-listed natural gas and natural gas liquids midstream company in its $100 million “at-the-market” offering.
• Represented a bank holding company in its initial public offering of $170 million of common stock and listing on Nasdaq.
• Represented a retailer of natural and organic groceries and dietary supplements in its initial public offering of $123 million of common stock and listing on the New York Stock Exchange.
• Represented a NYSE-listed issuer in its $72 million public offering of common stock.
• Represented a Nasdaq-listed issuer in its $73 million public offering of common stock.
• Represented a Nasdaq-listed issuer in $45 million public offering.
• Represented a NYSE-listed issuer in its $30 million draw down public offering.
• Represented a Nasdaq-listed issuer in its $375 million Rule 144A/Reg. S offering of senior unsecured notes.
• Represented a Nasdaq-listed issuer in the $158.7 million secondary public offering of common stock by a selling stockholder.
• Represented a Nasdaq-listed issuer in its $250 million Rule 144A/Reg. S offering of second-lien senior secured notes.
• Represented an NYSE-listed issuer in its $150 million Rule 144A offering of convertible senior notes.
• Represented a Nasdaq-listed issuer in its $92 million public offering of common stock and its Rule 144A/Regulation S offering of $80 million of debt securities.
• Represented a NYSE-listed lodging REIT in multiple Rule 144A offerings of secured and unsecured senior notes and related tender offers.
• Represented a NYSE-listed lodging REIT in registered public offerings of common stock and preferred stock.
• Represented a NYSE-listed company its $250 million Rule 144A offering of convertible senior subordinated notes and subsequent registration of notes for resale on Form S-3.
• Represented a NYSE-listed issuer in its $100 million Rule 144A offering of senior subordinated notes.
• Represented a NYSE-listed issuer in its $120 million Rule 144A offering of convertible senior subordinated notes.
• Represented a private label manufacturing and distribution company in its IPO and follow on offering of common stock and listing on NYSE.
• Represented a Nasdaq-listed issuer in a $125 million Rule 144A offering.
• Counseled the underwriters in the $253.4 million initial public offering of a lodging REIT focused on upscale and upper midscale hotels; its $50 million offering of Series A cumulative redeemable preferred shares; its $112.5 million follow-on offering; its $75 million offering of Series B cumulative redeemable preferred shares; its $155.3 million follow-on offering; its $85 million offering of Series C cumulative redeemable preferred shares; and its $158.7 million follow-on offering.
• Represented a mall-based specialty retailer in its $175 million Rule 144A offering of senior secured high yield notes and the Rule 144A offering by its parent company of $165 million of senior PIK toggle notes.
• Advised a leading NYSE-listed self-storage REIT in connection with 11 public offerings of depositary shares representing interests in its serial cumulative redeemable preferred shares having an aggregate offering price of more than $3.5 billion, and a secondary offering by a related party of approximately $105 million of common shares.
• Advised a NYSE-listed REIT specializing in leasing commercial, multi-tenant, flex, office and industrial space in connection with offerings of depositary shares representing interests in its serial cumulative redeemable preferred stock.
• Represented a specialized commercial finance company on its $340 million initial public offering and more than $2.5 billion of subsequent securities offerings, including its $300 million offering of senior secured high yield notes; approximately $800 million of convertible debt offerings; and seven placements of trust preferred securities for more than $400 million of proceeds.
• Counseled the sales agents in the $175 million “at-the-market” offering by a NYSE-listed self-storage REIT.