Securities | Lippes Mathias LLP

Lippes Mathias has a long history of service to businesses including those ranging from local, family-owned manufacturers to publicly-held, international conglomerates.

For many of these clients, Lippes Mathias has provided the counsel and execution necessary to assist in growing their revenues through M&A activities and accessing capital markets in public and private debt and equity offerings. We represent some of the largest companies in upstate New York, including most of the area’s leading banks and financial institutions. We also represent numerous mezzanine investors, private equity funds, venture capitalists, entrepreneurs and other investors in connection with capital raising transactions.

Our Securities Practice Team has extensive experience representing clients in a wide variety of capital market transactions, periodic and current report filings, proxy statements, information statements, public offerings of debt and equity, private placements and other non-public offerings, going private transactions, tender offers and exchange offers.

Our Securities Practice Team has served as outside general counsel to significant publicly held upstate New York companies, one for more than 25 years. For some of these clients, we worked with them through their initial public offerings and the subsequent navigation of their growth in the public markets.

Representative engagements include:

Representing a supplier to automotive OEM and aftermarket customers which became one of Western New York’s most successful, fastest growing, international companies. At its peak, this client had revenues in excess of one billion dollars, operations in 19 countries and over 18,000 employees. During its growth, we provided general counsel services to its entire global enterprise on an expansive number of matters ranging from SEC compliance, multiple M&A transactions, executive compensation and benefits to litigation support. Subsequent to its acquisition by a private equity group, Lippes Mathias provided this client with assistance in the divestiture of non-core businesses.

Our 25+-year tenure with another client, a prominent upstate manufacturer with global reach, and its management team has included providing general counsel advice to both the parent company and its many subsidiaries located across the United States that helped grow the company as a whole to over one billion dollars in consolidated revenues, 44 facilities in 21 states, customers throughout North America, Europe, Asia, and Central and South America and 2,100 employees globally. Since its initial public offering, we have provided counsel and assistance in all of their Exchange Act reporting, corporate governance and securities offerings. In addition, in the last several years, we have assisted this client with numerous M&A transactions, several of which were acquisitions, ranging in transaction value of several million to $200+ million. We also work closely with this client and its management team on a variety of corporate and commercial matters, including, among others, executive compensation, corporate governance intellectual property and litigation matters.

We have also represented several other smaller public companies in connection with their corporate capital raising activities, corporate governance and securities compliance matters, including a growing, mid-size manufacturer of technology products which we have counseled on executive compensation, corporate governance, securities regulations, and general corporate matters.

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