Specializing in securities and corporate law, Jack has represented issuers, underwriters and investors in hundreds of transactions over his more than 30 years of practice, including IPOs, public primary and secondary offerings and domestic and cross-border private offerings involving issuers in a wide range of industries including life sciences, technology, clean tech, media and natural resources.
Jack has been listed in both the securities law and corporate law categories in The Best Lawyers in America since 2007, and Martindale-Hubbell has rated him a Top Technology Lawyer and awarded him the Peer Rating for Highest Level of Professional Excellence. Often quoted in legal publications, he frequently publishes articles and speaks on corporate finance issues.
Blockchain Technology & Digital Assets | Capital Markets & Securities | Corporate | Corporate Finance & Securities | Global Financial Crisis Group | Life Sciences | Mergers & Acquisitions | PIPEs & Registered Direct Offerings | Pipes, Spacs & Registered Direct Offerings | Private Equity | Private Equity & Mezzanine Financing | Transactions & Advisory Group
Represented Oppenheimer & Co Inc. as sole placement agent in a registered direct offering of common stock and warrants for Moleculin Biotech, Inc., a clinical stage pharmaceutical company with a broad portfolio of drug candidates targeting highly resistant tumors.
Represented Zomedica Pharmaceuticals Corp. (NYSE: ZOM), a veterinary diagnostic and pharmaceutical company, in a follow-on underwritten offering.
Represented Roth Capital Partners in their role as sole placement agent in a registered direct offering for Altimmune, Inc. (Nasdaq: ALT), a clinical-stage immunotherapeutics company based in Maryland.
Represented Oppenheimer & Co. Inc., as sole underwriter, in an underwritten public offering of Catabasis Pharmaceuticals, Inc. (Nasdaq: CATB).
Represented Special Situations Funds, as the lead investor, in a purchase and exchange transaction in which investors purchased all outstanding Series B Preferred Stock of Turtle Beach Corporation (Nasdaq: HEAR) with a market value of and exchanged them for common stock and pre-funded warrants.
Represented Roth Capital Partners, as underwriter and sole book-running manager, in a underwritten public offering for New Age Beverages Corporation (Nasdaq: NBEV).
Represented National Securities Corporation, as the sole book-running manager, and ROTH Capital Partners and Craig-Hallum Capital Group, as co-managers, in an initial public offering by Restoration Robotics, Inc. (NASDAQ: HAIR).
Represented Oppenheimer & Co. Inc. which acted as the representative for the initial purchasers in Akoustis Technologies, Inc.’s (NASDAQ: AKTS) Rule 144A offering of 6.5% Convertible Senior Secured Notes.
Represented Roth Capital Partners, LLC, as sales agent, in an at-the-market offering for Broadwind Energy, Inc. (Nasdaq:BWEN).
Represented lead investors in the sale of E Ink Corporation to Prime View.
Lowenstein Sandler was a Diamond sponsor of the 2016 28th Annual ROTH Conference. The event was a four-day conference that hosted 500 companies and 4,000 attendees, including institutional investors, private equity investors, VCs, company executives, and service providers working in the small and mid-cap space. In conjunction with the firm's sponsorship, we hosted the Keynote Presentation on Sunday, March 13, in which Michael Lerner introduced the keynote speaker, J. Craig Venter, Ph.D. We also hosted the Private Company Track on Tuesday, March 15, in which Jack Hogoboom and Steve Skolnick participated on a panel entitled "IPO Readiness." The panel reviewed the current market conditions, discussed the IPO market, and provided key insights for companies seeking public financing. To view the full video of the "IPO Readiness" panel, please click here.
Lawyers Steven Siesser, Jack Hogoboom, Michael Lerner, Steven Skolnick, Kate Basmagian, Sarah Saladini, Neeraj Kumar, and James O'Grady attended the conference.
Lowenstein Sandler is a sponsor of the 7th Annual ROTH Deer Valley Corporate Access Event which will be held at the Montage Deer Valley Resort in Park City, Utah.
Note: Attendance is by invitation only and is not open to the public.
Location: Montage Deer Valley Resort, 9100 Marsac Avenue Park City, UT 84060
Lowenstein Sandler is a sponsor of the 31st Annual ROTH Conference which will be held at The Ritz Carlton, Laguna Niguel in Orange County, CA.
Note: Attendance is by invitation only and is not open to the public.
Location: The Ritz Carlton, 888 San Clemente Drive, Newport Beach, CA 92660
ROTH’s RNA Revolution Conference will give investors the opportunity to dive deep into scientific discussions about differences between various RNA modalities (mRNA, ASO, siRNA, and RNA-targeted small molecule), the nuances of drug delivery, and how improvements have made these drugs more effective and safer. Yasmeen Rahimi, Ph.D., Co-Head of Biotechnology Research and Senior Research Analyst, will moderate four panel discussions on topics that address how companies are innovating in the main areas of RNA medicine. The panels are “From the Past to the Future: ASOs and Small Molecules,” “Knock Knock, Who’s at the Door? siRNA with Large Market Opportunities” and “Mirror, Mirror on the Wall, Why Would mRNA Deliver it All?”, with a fourth, key panel “A Delivery Revolution Beyond the Liver” that will allow investors to learn the ins and outs of RNA medicine delivery beyond the liver. Also, interact in one-on-one meetings with leading experts who have significant expertise in mRNA and ASO delivery, readthrough from pre-clinical studies to clinical trials, and what makes for a clean and efficacious RNA therapeutic.
Lowenstein Sandler is a sponsor of the ROTH RNA Revolution Conference.
Time: 7 a.m.-5 p.m.
Location: 1 Hotel Central Park, 1414 Avenue of the Americas, New York, NY 10019
Lowenstein Sandler is a bronze sponsor of the 2019 Gateway Conference. An annual invite-only conference that brings together the most compelling companies with the nation’s top investors and analysts. Featuring companies from a number of industries, including tech, business services, consumer, digital media, cleantech, life sciences, and financial services. The format has been designed to give attendees direct access to senior management via company presentations, Q&A sessions, and one-on-one meetings.
Company websites are becoming an increasingly important source of information for investors as Congress and the Securities and Exchange Commission have passed regulations and national exchanges, including NYSE and NASDAQ, have issued rules that govern what, when and how content should be posted on them. The SEC has also published guidance on specific areas in which they do not have regulations, but want to prevent investor confusion.
Some companies present the bare minimum information required, while others prefer to use their websites as a tool to attract and inform investors. This article discusses several of the key requirements for public company websites and touches on some of the more complex scenarios that companies may face when they use their websites.
On May 24, the Economic Growth, Regulatory Relief, and Consumer Protection Act (act) was signed into law. In addition to rolling back a number of regulations applicable to financial institutions originating in the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the act requires the U.S. Securities and Exchange Commission (SEC) to amend its rules to allow reporting companies to use Regulation A for securities offerings.
Regulation A, or “Regulation A+” as it has been more commonly referred to since it was expanded in 2015, provides an exemption from the registration provisions of the Securities Act of 1933, as amended (Securities Act) for several types of offerings (both primary and secondary) of up to $20 million (Tier 1 Offerings) or $50 million (Tier 2 Offerings) in any one-year period, subject to compliance with certain requirements. See 17 CFR Sections 230.251 through 263. Currently, Regulation A is only available to issuers that are not subject to the reporting requirements of the Securities Exchange Act of 1934, as amended (Exchange Act). However, the act orders the SEC to remove this eligibility requirement, so that Regulation A becomes available to reporting companies, and to change the rules under Regulation A to deem the ongoing reporting obligations associated with Tier 2 Offerings satisfied by continued Exchange Act reporting.
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