Insights
Practice Area
Capital Markets
Overview
Our Capital Markets practice group assists clients with their most complex and challenging capital raising and corporate governance needs, leveraging the deep expertise of our attorneys and paralegals.
We work with companies navigating every stage of the capital raising process, including advising issuers, underwriters, and other financial institutions on an all types of equity and debt capital raisings in a practical and highly responsive manner. From start-ups seeking seed or venture capital to larger private and public equity and debt financings, our extensive experience helps clients close successful transactions, including:
- IPOs, direct listings, and follow-on public offerings;
- shelf registrations and take-downs;
- registered “at the market” or ATM offerings, block trades, “bought deals,” and other creative financing and liquidity transactions;
- PIPEs (private investments in public equities);
- seed, venture capital, and private equity financings;
- Rule 144A transactions;
- reverse mergers and SPAC transactions;
- convertible and high-yield debt offerings;
- complex credit facilities; and
- public company acquisitions and tender offers.
Since January 2010, we have been involved in over 90 securities offerings by public companies raising in excess of $8 billion. Our attorneys lead offerings for clients diverse by geography, size, and industry, including within the biopharmaceutical, financial institutions and services, life sciences, pharmaceuticals, real estate, software, and technology space.
We also assist our clients with the challenges of operating as public companies. Our Capital Markets attorneys are trusted advisors to over a dozen public companies, providing them with strategic board- and committee-level counsel, and advising them on SEC and stock exchange rules, securities law compliance, reporting and disclosure obligations, corporate governance best practices (including on ESG matters), shareholder proposals and activism, investor relations, executive compensation, and management succession. We regularly present at industry conferences and publish articles on key developments within these and other Capital Markets areas.
Our Capital Markets practice group also partners with Wyrick Robbins attorneys across a range of other disciplines to assist with transactions and the daily operations of our clients, including banking and financial institutions, commercial litigation, emerging companies, employee benefits and executive compensation, environmental, regulatory and administrative law, labor and employment, licensing and technology, mergers and acquisitions, privacy and data security, and tax.
To discuss our Capital Markets services, please contact Don Reynolds at 919.865.2805 or dreynolds@wyrick.com or Halle Vakani at 919.865.1125 or hvakani@wyrick.com.
Meet Our Team
Responsive, committed, client-centric relationships. We believe great people attract great clients and great clients attract great people.
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Select Transactions
May 2023
Registered Direct Offering of Common Stock and Warrants
$15,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Mar 2023
Registered Direct Offering of Common Stock and Warrants
$5,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Feb 2023
Public Offering of Shares and Warrants
$15,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Feb 2023
Public Offering of
Common Stock and Warrants
$15,600,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Jun 2022
Private Placement of
Common Stock and Warrants
$8,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Jun 2022
Sale of Common Stock
$29,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Jan 2022
$10,000,000
Private Placement into
These securities have been
previously sold. This announcement
appears as a matter of record only.
Jan 2022
Private Placement of
Subordinated Notes
$12,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Nov 2021
Primary and Secondary Offering of Common Stock
$43,750,000
Sep 2021
Private Repurchase of 1.25%
Convertible Seniors Notes due 2023
$100,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
May 2021
At the Market Offering
of Common Stock
$30,000,000
May 2021
Sole Placement Agent in the $15,000,000 Private Placement of Subordinated Notes for Travelers Rest Bancshares, Inc.
These securities have been
previously sold. This announcement
appears as a matter of record only.
Apr 2021
Public Offering
of Common Stock
$34,500,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Feb 2021
Registered Direct Offering
of Common Stock
and Warrants
$76,500,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Jan 2021
Private Placement
of Common Stock
and Warrants
$20,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Dec 2020
Private Placement
of Common Stock
$31,416,800
These securities have been
previously sold. This announcement
appears as a matter of record only.
Dec 2020
Public Offering
of Common Stock
$34,500,000
Dec 2020
$32,000,000
Private Placement of Membership Units in 10 Federal Self Storage Acquisition Company 2, LLC
Oct 2020
Private Placement of
Subordinated Notes
$18,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Aug 2020
Public Offering
of Common Stock
$13,800,000
Aug 2020
Initial Public Offering
$34,300,000
Jun 2020
Private Placement of Convertible Preferred Stock
$80,000,010
These securities have been
previously sold. This announcement
appears as a matter of record only.
Apr 2020
Private Placement of
Subordinated Notes
$10,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Feb 2020
has acquired
Aevi Genomic Medicine, Inc.
$15.6M plus contingent
value rights up to $6.5M
Dec 2019
Private Placement of
Subordinated Notes
$12,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Dec 2019
Private Placement of
Fixed-to-Floating
Subordinated Notes
Due Dec 2029
$32,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Sep 2019
Private Placement of
Subordinated Notes
$10,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Jul 2019
Public Offering
of Common Stock
$14,000,000
May 2019
Lead Book-Running Manager
in the $31,050,000IPO for
Apr 2019
Public Offering
$5,300,000
Mar 2019
Common Stock Offering
$10,000,000
Mar 2019
Secondary Public Offering
$316,542,774
Feb 2019
Private Placement of Mandatory
Convertible Subordinated Notes
$18,550,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Jan 2019
Private Placement of
Common Stock and
Convertible Preferred Stock
$15,200,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Dec 2018
Follow-on Public Offering
of Common Stock
$3,400,000
Dec 2018
$240,000,000
Rule 144A Offering of
1.25% Convertible Senior Notes
Due 2023
Nov 2018
$10,000,000
Private Placement of Membership Units in 10 Federal Self Storage Acquisition Company 1, LLC
Aug 2018
Follow-on Public Offering
of Common Stock
$63,250,008
Aug 2018
Secondary Public Offering
$298,380,000
Jun 2018
Receivables Securitization
Financing
$250,000,000
May 2018
Private Placement
of Common Stock
$11,643,750
These securities have been
previously sold. This announcement
appears as a matter of record only.
May 2018
Follow-on Public Offering
of Common Stock
$19,968,000
Mar 2018
Common Stock
Rights Offering
$12,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Feb 2018
Private Placement
of Common Stock
$30,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Jan 2018
Private Placement
of Common Stock
$8,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Sep 2017
$19,500,000
Regulation A+ Offering
Aug 2017
Private Placement of
Common Stock and Non-voting
Convertible Preferred Stock
$17,500,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Aug 2017
Series B Financing
$10,000,000
Aug 2017
has secured a
$30 million loan facility
from
Knight Therapeutics Inc.
Aug 2017
$6,800,000
Public Offering
Aug 2017
Series B Preferred Stock Financing
$5,000,000
Aug 2017
$119,025,000
Public Offering
Jun 2017
Private Placement
of Common Stock
$16,500,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Jun 2017
Seed Financing
$4,600,000
May 2017
Series B Preferred Stock Financing
$2,200,000
May 2017
Convertible Promissory Note
Financing of
StrideBio, Inc.
Apr 2017
Class A Unit Financing
$2,500,000
Mar 2017
Series A Preferred
Stock Financing of
Boragen, Inc.
$10,000,000
Jan 2017
Private Placement
$94,500,000
Jan 2017
Series Seed Preferred Stock
Financing
$2,150,000
Dec 2016
Series B Preferred Stock
Financing
$20,000,000
Nov 2016
Underwitten Public Offering of
Common Stock and Warrants
$8,600,000
Oct 2016
Convertible Notes Investment in
Infacare Pharmaceutical
Corporation
Oct 2016
Private Placement of
Subordinated Notes
$10,000,000
Sep 2016
Series A Preferred Stock
Financing
$14,200,000
Aug 2016
$193,500,000
Secondary Public Offering
$64,500,000
Share Repurchase
Aug 2016
Series C Preferred Stock Financing
$6,200,000
Aug 2016
Class A Unit Financing
$2,100,000
Aug 2016
Series E Preferred Stock
Investment in
Phononic Devices, Inc.
Aug 2016
$210,300,000
Secondary Public Offering
Jun 2016
$28,750,000
Initial Public Offering
May 2016
$360,960,000
Secondary Public Offering
May 2016
Series A Preferred Stock Financing
$2,000,000
Mar 2016
Series A-2 Financing
$2,000,000
Jan 2016
$100,000,000
Public Offering
Dec 2015
$272,100,000
Secondary Public Offering
$135,000,000
Share Repurchase
Oct 2015
Series A investment in
Oct 2015
Series A Preferred Stock
Financing
$11,000,000
Aug 2015
$30,000,000
Common Stock PIPE Transaction
(investment in
The Medicines Company)
Aug 2015
Private Placement of
Convertible Promissory Notes
$5,175,000
Aug 2015
Series B Preferred Stock
Financing
$14,285,000
Aug 2015
Series B Preferred Stock
Financing
$14,285,000
Aug 2015
$358,000,000
Secondary Public Offering
Aug 2015
$83,903,741
Secondary Public Offering
Jul 2015
$93,500,000
Initial Public Offering
Jul 2015
Series C Preferred Stock
Financing
$40,000,000
Jun 2015
Series A Preferred Stock
Financing
May 2015
Private Placement
of Common Stock
$7,800,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
May 2015
$249,550,000
Secondary Public Offering
$150,000,000
Share Repurchase
Apr 2015
Class D Preferred Share
Purchase
Mar 2015
Private Placement of
Convertible Preferred Stock
$15,112,500
These securities have been
previously sold. This announcement
appears as a matter of record only.
Mar 2015
Class B-1 Preferred Unit
Financing of
Nimbus Therapeutics, LLC
Feb 2015
Strategic investment by
and expansion of
commercial relationship
with
Mercer
$74,700,000
Feb 2015
Series B Preferred Stock
Financing
$33,000,000
Feb 2015
Series A Expansion Round
$4,000,000
Feb 2015
Series B Financing
$29,000,000
Jan 2015
$147,900,000
Public Offering
Nov 2014
Series A Financing of
$6,000,000
Nov 2014
$172,500,000
Initial Public Offering
Aug 2014
Private Placement
of Common Stock
$75,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Aug 2014
$17,500,000
5.0% Senior Convertible Notes
Due 2017
Aug 2014
Series E Preferred Stock
Financing
Aug 2014
$15,000,000
Revolving Credit Facility
Aug 2014
Series C Preferred Stock
Financing
$9,100,000
Jul 2014
Class A Preferred Units
Financing
$1,500,000
Jul 2014
Private Placement
of 458,132,991 Shares
of Common Stock
$45,813,299
These securities have been
previously sold. This announcement
appears as a matter of record only.
Jul 2014
has been acquired by
$1,100,000,000 cash
plus CVRs worth up to $353 million
Jul 2014
Series A Preferred Stock
Financing
$11,000,000
May 2014
Series C Preferred Stock
Investment in
Infacare Pharmaceutical
Corporation
Mar 2014
$7,400,000
Registered Direct Offering
Jan 2014
Series C Preferred Stock
Financing
$3,500,000
Jan 2014
Placement Agent Counsel
for Private Placement of
Common Stock by
VantageSouth
Bancshares, Inc.
$47,000,000
These securities have been
previously sold. This announcement
appears as a matter of record only.
Nov 2013
$27,000,000
Registered Direct Offering
Sep 2013
$150,400,000
Initial Public Offering
Aug 2013
Series E Preferred Stock
Financing
$11,746,248
Jun 2013
Series A Preferred Stock
Financing
$5,000,000
Jun 2013
Placement Agent Counsel
for Private Placement of
Convertible Preferred Stock by
Hometown Bankshares Corp.
These securities have been
previously sold. This announcement
appears as a matter of record only.
Jun 2013
$8,900,000
Private Placement
Jun 2013
$54,200,000
Public Offering
May 2013
has accepted an investment
from
May 2013
$1,500,000
Convertible Note Offering
Jan 2013
investment in
Pharmaxis Ltd.
$40,000,000
Dec 2012
Series A Preferred Stock
Financing
Oct 2012
Private Investment in
Public Equity (PIPE)
$25,000,000
Sep 2012
$16,000,000
Series A Preferred Stock
Financing
Aug 2012
Series 1 Preferred Stock
Financing of
Aug 2012
$100,000,000
Initial Public Offering
Jun 2012
$5,495,237
Series B Preferred Stock
Financing of
Jun 2012
$5,000,000
Secured Subordinated
Convertible Promissory Note
Financing
Jun 2012
$3,600,000
Series C Preferred Stock
Financing
Jun 2012
$4,750,000
Series B Preferred Stock
Financing of
May 2012
$3,200,000
Subordinated Convertible
Promissory Note Financing
Mar 2012
Series A Financing of
Mar 2012
$690,000,000
Rule 144A Offering of
1.5% Convertible Notes
Due 2019
Feb 2012
$58,000,000
Initial Public Offering
Dec 2011
has been acquired byaffiliates of
The Carlyle Group
and
Hellman & Friedman
$3,900,000,000
Dec 2011
$10,000,000
Loan and Security Agreement
Nov 2011
$4,500,000
Series A Preferred Stock
Financing of
Nov 2011
$13,900,000
Series B Preferred Stock
Financing of
Oct 2011
Series 2011 Preferred Stock
Financing
Sep 2011
Common Stock Financing
Aug 2011
Common Stock Financing
Aug 2011
$13,155,000
Series D Preferred Stock
Financing
Aug 2011
$5,000,000
Unsecured Convertible
Promissory Note and
Warrant Financing
Jul 2011
$51,750,000
Public Offering
Jun 2011
$5,000,000
Series C Preferred Stock
Financing of
Jun 2011
Credit Facility with
Wells Fargo Bank, N.A.
Jun 2011
$35,000,000
Series D Preferred Stock
Financing
Apr 2011
$3,000,000
Series A Preferred Stock
Financing of
Row Sham Bow, Inc.
Mar 2011
Waste Industries
$750,000,000
Senior Secured Credit Facility
with
Bank of America
Dec 2010
$20,000,000
Initial Public Offering
Nov 2010
Series C-2 Preferred Stock
Financing
Oct 2010
$35,000,000
Public Offering
Aug 2010
$13,000,000Series C Preferred Stock
Financing
Jun 2010
has spun off
as a separate
publicly traded company
Jun 2010
$345,000,000
Offering of 2.75%
Senior Convertible Notes
Due 2015
Mar 2010
$2,000,000
Series C-1 Preferred Stock
Financing
Mar 2010
$1,570,000
Series AA Preferred Stock
Financing
Jan 2010
Series A Preferred Stock
Financing
Jan 2010
$3,500,000
Convertible Promissory Note
and Warrant Financing
Dec 2009
$25,000,000
Series B Preferred Stock
Financing
Nov 2009
$133,000,000
Public Offering
Oct 2009
$6,100,000
Series C Preferred Stock
Financing
Oct 2009
$2,310,996
Series C-1 Preferred Stock
Financing
Oct 2009
has invested
$100,000,000
in
Oct 2009
$12,300,000
Series C Preferred Stock
Financing
Jul 2009
$13,300,000
Registered Direct Offering
Jul 2009
$1,251,000
Private Placement
Jul 2009
Common Stock Financing
Jun 2009
$4,000,000
Secured Convertible Note
Financing
Jun 2009
$5,000,000
Term Loan Financing
Jun 2009
$8,000,000
Series B Preferred Stock
Financing
Jun 2009
$18,000,000
Series B Preferred Stock
Financing
May 2009
$46,000,000
Series C Preferred Stock
Financing
Apr 2009
$6,300,000
Series C Preferred Stock
Financing
Apr 2009
Secured Convertible Note
Financing
Apr 2009
$35,000,000
Series A Preferred Stock
Redemption
Mar 2009
$4,000,000
Subordinated Convertible Note
Financing
Mar 2009
$2,000,000
Series A-3 Preferred Stock
Financing
Oct 2008
$6,250,000
Series A Preferred Stock
Financing
Sep 2008
$7,000,000
Series B-2 Convertible Preferred Stock
Financing
Sep 2008
$5,000,000
Series D Preferred Stock
Financing
Aug 2008
$60,000,000
Rule 144A Offering of
5.5% Convertible Notes
Due 2028
May 2008
Waste Industries
Go Private Transaction
$749,000,000
May 2008
$16,600,000
Series E Preferred Stock
Financing of
May 2008
$11,400,000
Series B Preferred Stock
Financing of
May 2008
$3,750,000
Credit Facility with
Mar 2008
$3,050,000
Series B-1 Preferred Stock
Financing
Jan 2008
$1,000,000
Preferred Stock Financing
Jul 2007
$125,000,000
Loan Facility
to fund the acquisition of
the assets of
American Community
Newspapers LLC
