Closely Held Business Transactions
New business owners are driven by a desire to control their own destinies and are looking for capital and leverage to help their emerging companies succeed. Our closely held business team has a long history of helping entrepreneurs and small companies plan and blossom into powerful contributors on local and national stages. Our attorneys concentrate in the areas of corporate finance, entity formation, securities, tax, labor and employment, intellectual property, cybersecurity, and regulatory compliance. We’re able to assist clients in every stage of capital development, from initial seed capital to follow-on and growth equity financing.
We also represent numerous venture capital firms and private equity sponsors, for which we provide comprehensive due diligence reviews and negotiate the terms of the investment to include preferred share terms, investor rights/stockholder agreements, as well as executive employment agreements, option plans and grants. We pride ourselves on working collaboratively with clients to ensure a smooth investment process as they look to expand their businesses through strategic partnerships and alliances. Our attorneys bring both passion and pragmatism to closely held business transactions, helping our clients strategically navigate the myriad of challenges found in today’s financial, tax, regulatory environments.
Key Contacts
Partner
Louisville, KY
Partner
Louisville, KY
Partner
Cincinnati, OH
How We Help Clients
We understand the issues unique to business mergers with complex capital structures, multiple series of preferred shares, convertible debt, warrants and option plans. In addition to traditional mergers and acquisitions, we counsel our clients through the unique equity provisions and intellectual property licensing arrangements concomitant to the strategic partnerships and alliances being negotiated in today’s business climate.
We help structure, negotiate, and close a broad spectrum of closely held business transactions, with notable depth as it relates to the following:
- Entity Formation and Tax Planning
- Initial Public Offerings (IPOs)
- Private Placements
- Mezzanine Financing
- Preferred and Convertible Preferred Share Financing
- Convertible Debt Securities
- Mergers and Acquisitions
- Equity Compensation Plans and Incentive Awards
- Strategic Partnering and Alliances
- Corporate Governance
- Stock Purchase and Subscription Agreements
- Registration Rights Agreements
- Investor Rights/Stockholder Agreements
- Federal and State Securities Law Compliance
- SBIC Investment Compliance
- Qualified Small Business Stock Tax Treatment
- Section 1244 Stock Tax Treatment
- Section 83(b) Elections
- Restricted Stock Plans
- Technology Licensing and Protection
- Confidentiality and Nondisclosure Agreements
- Executive Employment Contracts
Our team works with clients in every major industry as well as numerous emerging growth sectors, including:
- Telecommunications
- Wireless Communications
- Internet Service Providers (ISPs)
- E-Commerce
- Website Development
- Software Development
- Financial Services
- Healthcare
- Electronic Devices
- Biotechnology and Pharmaceuticals
- Pharmaceutical Industry Outsourcing
- High Tech Manufacturing
- Outsourced Service Providers to Emerging Growth Businesses
Related Insights
April 16, 2024 | Publications
The Simple Agreement for Future Equity (SAFE) was introduced in 2013 on the startup accelerator Y Co...
March 29, 2024 | Corporate Transparency Act
The Corporate Transparency Act (CTA)[1] is designed to combat the use of shell company structures t...
March 25, 2024 | Corporate Transparency Act
On January 1, 2024, the Corporate Transparency Act (CTA) became effective. This sweeping new law imp...
March 14, 2024 | Publications
What Is Selective Disclosure? The desire of investors to obtain additional information regarding iss...
March 7, 2024 | Corporate Transparency Act
On March 1, 2024, a federal district court in the Northern District of Alabama entered a final decla...
February 4, 2024 | Publications
How to perfectly surf the artificial intelligence (AI) wave is a challenge for many businesses and t...
February 1, 2024 | Publications
On January 24, 2024, the Securities and Exchange Commission (SEC) adopted final rules related to spe...
December 6, 2023 | Corporate Transparency Act
Part II: Assessing Sources of Substantial Influence Beyond Voting Power The Corporate Transparency A...
December 6, 2023 | Corporate Transparency Act
Part I: Substantial Influence The Corporate Transparency Act (CTA)[i] was enacted to combat the use ...
November 6, 2023 | Corporate Transparency Act
The reporting requirements of the Federal Corporate Transparency Act (CTA)[1] will go into effect be...
Stay ahead of the law.
Subscribe to receive email updates and choose your topics.