Home - Blank Rome LLP

Register to receive insights and analyses on breaking news and trends across varying industries.
<a class="link-primary mt-4" href="/subscribe">Subscribe</a>

Philadelphia, PA

New York, NY

Wilmington, DE

Cincinnati, OH

Princeton, NJ

Los Angeles, CA

Houston, TX

Tampa, FL

Shanghai

South Florida

Pittsburgh, PA

Washington, D.C.

Chicago, IL

Orange County, CA

Dallas, TX

Boston, MA

Main

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:<ul>	<li>IPOs and follow-on public offerings</li>	<li>PIPEs and registered direct offerings (“RDOs”)</li>	<li>SPACs and other structured blank-check offerings</li>	<li>SPAC business combination transactions and related de-SPACing matters</li>	<li>Baby bond offerings</li>	<li>Perpetual and term preferred stock offerings</li>	<li>At-the-market offerings (“ATMs”)</li>	<li>Private placements</li>	<li>Rights offerings</li>	<li>Debt tender offers</li></ul>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.

core/freeform

New York

Investment Management

Family Offices

Private Funds

Registered Funds, Board Members & Investment Advisers

Blank Rome Represents Kiora Pharmaceuticals in Private Placement for Up to $24 Million

Blank Rome Represents iBio, Inc. in Connection with Closing of $50 Million Public Offering

Blank Rome Advises PHX Minerals Inc. in the Closing of Its Previously Announced Sale to WhiteHawk Income Corporation

Blank Rome Advises PHX Minerals Inc. in Strategic Acquisition by WhiteHawk Income Corporation

Capital Markets

SPACs

Cross Border / International

Qualified Opportunity Zone Funds

Environmental, Social, and Governance (“ESG”)

Investment Management – Tax

Corporate

<ul>
<li>Novus Capital Corporation, a special purpose acquisition company, in connection with its $100 million IPO; initial business combination with AppHarvest, Inc. and $375 million PIPE.</li>
<li>Novus Capital Corporation, a special purpose acquisition company, in connection with its $287.5M IPO.</li>
<li>Churchill Capital Corp., a special purpose acquisition company, in connection with its initial business combination with Clarivate PLC.</li>
<li>A leading boiler room solutions provider, in connection with a $375 million 144A senior secured note offering and tender offer and consent solicitation for outstanding senior secured 144A notes.</li>
<li>A global NASDAQ-listed worldwide brand management company engaged in licensing, marketing, and providing trend direction for a portfolio of consumer and entertainment brands, with respect to a $288 million 144A convertible senior subordinated notes offering and hedge.</li>
<li>Xcel Brands, Inc., a public company engaged in the design, licensing, marketing, and retail sales of consumer brands, in several transactions, including acquisition of leading apparel brand, simultaneous private placement of its equity securities, and negotiating a credit facility to fund the purchase price, as well as a reverse merger into a publicly traded company on the OTC Bulletin Board; follow-on brand acquisitions and a public offering with a simultaneous up-listing on NASDAQ.</li>
<li>Alliance Entertainment Holdings Corp., a publicly traded leading global wholesaler and distributor of physical media, entertainment products, hardware, and accessories across various platforms.&nbsp;We serve as general securities counsel. Served as counsel in connection with its going public through a business combination with a special purpose acquisition company and its listing on Nasdaq through a public offering. </li>
<li>Lucid Capital LLC, as underwriter, dealer manager, and agent in connection with numerous IPOs, follow-on offerings, public preferred stock and debt offerings, and ATMs.</li>
</ul>

Brad L. Shiffman

Slide Menu

Slide Search

Offices

Stay Connected