REPRESENTATIVE EXPERIENCE
John’s extensive representative experience includes:
Public Offerings
Since 2004, John has been involved with more than 20 public equity offerings, 12 of which represented initial public offerings, including:
- Representing Marathon Acquisition Corp. in connection with a $300 million initial public offering.
- Representing ING Global Advantage & Premium Opportunity Fund in connection with a $345 million initial public offering.
- Representing ING Asia Pacific High Dividend Equity Income Fund in connection with a $275 million initial public offering.
- Representing Bear Stearns & Co., Banc of America Securities, UBS Investment Bank and SunTrust Robinson Humphrey in connection with a $300 million initial public offering by PennantPark Investment Corp.
- Representing TAC Acquisition Corp. in connection with a $120 million initial public offering.
- Representing Global Logistics Acquisition Corp. in connection with a $80 million initial public offering.
- Representing TICC Capital Corp. in connection with over $160 million in follow-on equity offerings.
- Representing Ares Capital Corp. as special counsel in connection with over $280 million in follow-on equity offerings.
On-Going SEC Reporting and Compliance
John regularly provides guidance to numerous NYSE and Nasdaq-listed companies in connection with ongoing corporate governance and SEC reporting and compliance matters, including:
- TICC Capital Corp. (NASDASQ:TICC)
- Immucor, Inc. (NASDAQ:BLUD)
- Minerals Technologies Inc. (NYSE:MTX)
- Harris & Harris Group Inc. (NASDAQ:TINY)
Public Company Acquisitions John has significant experience handling SEC reporting and compliance matters involving public company M&A transactions, including:
- The $1 billion acquisition of a container ship leasing company by a publicly traded special purpose acquisition company.
- The $110 million acquisition of a medical technology company by a publicly traded medical equipment manufacturer.
- The $150 million roll-up acquisition of a food brokerage business by a publicly traded business development company.
PROFESSIONAL HONORS AND AWARDS
- Recipient, Securities and Exchange Commission Capital Markets Award (2002)
PROFESSIONAL AND COMMUNITY INVOLVEMENT
- Member, Business Law Section, American Bar Association
- Member, Corporation, Finance and Securities Law Section, District of Columbia Bar
RECENT PUBLICATIONS AND SPEAKING ENGAGEMENTS
- Author, “Executive Compensation Disclosure: Practical Implications in the Age of Greater Disclosure,” Inside the Minds: SEC Compliance Best Practices (2009)
- Author, “Features and Practical Implications of the Recent Rule 144 Revisions,” Inside the Minds: Analyzing Rule 144 Revisions (2008)
- Co-author, The SPAC Phenomenon: A Discussion of the Background, Structure and Recent Developments Involving Special Purpose Acquisition Companies (July 2006)
- Co-author, Securities Offering Reform Q&A: Categories of Issuers (November 2005)
- Co-author, A Primer on SPACs: An Explanation of the Purpose, Structure and Current Issues Affecting Special Purpose Acquisition Companies (August 2005)
- Contributor, Publicly Traded Private Equity Review (April 2009; November 2008; June 2008)
- Contributor, Corporate Secretary’s Answer Book (Third and Fourth Editions)
- Contributor, Staff Report to the Securities and Exchange Commission on Implications of the Growth of Hedge Funds (September 2003)
- Panelist, “Fair Value: An Assessment of the Implementation of SFAS 157,” BDC Roundtable (September 2008)
- Speaker, “Everything You and Your Clients Need to Know About SPACs,” District of Columbia Bar (February 2008)
- Speaker, “Mergers and Acquisitions Issues,” 2003 International Institute for Securities Market Development, Securities and Exchange Commission