Ken is a business and securities attorney practicing corporate and transactional law. He works with public and privately held companies and their shareholders. Clients rely on Ken to advise, assist, and represent them in a broad range of business matters including public and private offerings, 33 Act and 34 Act registration statements and filings, corporate governance and compliance issues, FINRA and DTC filings, and public entity uplisting. He has also negotiated and closed numerous mergers and acquisitions. He practices from our Wilmington office.

REPRESENTATIVE EXPERIENCE

Ken has represented both private and publicly held companies in a range of industries in SEC registration, acquisition, and funding transactions including:

• Representation of a national healthy beverages company related to multiple acquisitions, as well as a $16,000,000 firm commitment public offering and simultaneous Nasdaq uplist

• Preparation of registration statements on Form S-8 for publicly traded clients in order to register shares underlying company equity incentive plans

• Represented a publicly-traded company with respect to the registration of common shares and warrants as part of a $4,500,000 offering

• Negotiation and drafting of transaction documents to facilitate various acquisitions by a publicly-traded company operating in the regulated cannabis industry

• Assisted with the sale of controlling interest with a simultaneous private offering in a publicly-traded healthcare products company

• Facilitation of a $10,000,000 funding transaction for a privately held company operating in the pharmaceutical industry

• Assisted with preparation and closing of approximately $4,000,000 offering for a publicly-traded company operating in the remote managed information technology industry

• Preparation of transaction documents for a $5,000,000 offering for a privately held company operating in the LED lighting industry

• Represented a privately held supplemental healthcare company related to a $2,000,000 equity offering

• Preparation of offering documents related to a $7,000,000 private offering for an oil and gas company

• Representation of privately held entities in a multiple entity acquisition transaction with a publicly-traded company listed on the Canadian Stock Exchange

• Representation of a private bioenergy company with respect to an offering of Class B membership units

• Representation of privately held company operating in the fantasy sports industry, related to corporate restructuring and private offering

• Representation of various entities with respect to initial registration filings on Form S-1 and assistance with obtaining initial stock symbol