Business Services
Scope of Practice
Jim’s primary focus is on sophisticated corporate work, including, M&A, venture capital, debt and equity finance, workouts, restructuring, corporate governance, shareholder disputes and unwinds, with expertise in related tax and accounting matters, including working capital issues in the M&A context.
Having worked exclusively in the transaction and finance area for over 30 years, Jim has been involved in hundreds of transactions of various sizes, has seen, and heard it all, and has a proven track record for finding creative solutions to complex and emotional issues and for getting deals done in a timely and cost efficient manner.
Specialties
Mergers & Acquisitions
▸ Sale of SAAS-based HR software company to a private equity search fund, including equity roll, seller subordinated note, and earn-out.
▸ Sale of CRO to private equity-backed strategic acquirer, including buyer side rep and warranty insurance, option roll, and earnout.
▸ Sale of genetic sequencing/testing company to a large private equity-backed strategic acquirer, including seller side rep and warranty insurance and earnout.
▸ Sale of specialty hospital to a private equity fund, including significant equity roll.
▸ Purchase of wholesale and retail supply company by existing management, including senior secured debt, senior subordinated debt, junior subordinated debt, equity raise, and credit enhancement from certain members of seller group to the senior secured lender.
▸ Purchase of a Marina and resort including senior secured debt, seller subordinated debt, and equity raise.
▸ Repurchase of a division of a company previously sold to a strategic buyer; acquisition from buyer financed by equity raise, the release of funds held in escrow, and senior secured debt from the original buyer.
▸ Purchase of various engineering and surveying firms, both asset and equity deals, on behalf of a national firm pursuant to a successful roll-up strategy.
Debt & Equity Financing
Dozens of debt and equity financings over 3 decades, representing both investors and issuers across numerous industries, including convertible debt deals, series seed, safe, series A, B, C and D rounds, senior secured debt, and various levels of senior and junior secured and unsecured subordinated debt.
Corporate Law
▸ Dozens of Shareholders, members, debt holders, and other interested party settlements, unwinds, redemptions, and recapitalizations.
▸ Equity compensation plans and related grants and options, phantom plans, profit-sharing plans, and related tax issues.
▸ Employment termination and separation matters, including related equity redemptions.