Brad Shiffman is an accomplished attorney who concentrates his practice in the areas of securities and corporate law. Brad’s clients find that his accounting background has helped him identify, analyze, and better assist them in structuring transactions with complex accounting issues and with handling these issues as they arise. He has particular experience in the representation of issuers, underwriters and placement agents in connection with public and private securities offerings, including:
- IPOs and follow-on public offerings
- PIPEs and registered direct offerings (“RDOs”)
- SPACs and other structured blank-check offerings
- baby bond offerings
- perpetual and term preferred stock offerings
- at-the-market offerings (ATMs)
- private placements
- rights offerings
- debt tender offers
Brad has represented underwriters and issuers in well over 100 public offerings, 144 offerings, and private placements in various industries, including biotechnology, pharmaceutical device manufacturing, technology, licensing and brand management companies, defense contractors, REITs and mortgage REITs, maritime, logistics, industrial manufacturers, closed-end funds and business development companies, and SPACs. Brad also advises clients in structuring, negotiating, and completing venture capital investments, SEC reporting, and corporate law and governance matters.
He has extensive experience advising investment banks in all steps of a capital markets transaction, from drafting, reviewing, and negotiating engagement and retention letters, placement agent agreements, underwriting agreements, agreements among underwriters, selected dealer agreements and other syndicate documents, to advising on SEC and FINRA disclosure and regulatory issues and exchange listing issues.