Category Archives: Attorney – Public Securities Practice

Louis A. Wharton

STUBBS-042

Partner

Louis A. Wharton

Direct Voice: 818.444.4509
Direct Fax: 818.444.6309
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Louis A. Wharton is a Partner of the Firm and Director of the Preccelerator Program. Louis’ practice focuses on advising startup, emerging growth and middle market companies across a spectrum of industries in securities compliance, corporate finance, mergers and acquisitions and general corporate matters.

He counsels clients in the technology, internet/e-commerce, pharmaceutical, apparel and entertainment industries, among others.

Louis serves as a member of the Board of Directors of the Los Angeles Venture Association (LAVA), and previously served on the San Fernando Valley Bar Association Board of Trustees and the Executive Committee of ProVisors’ Technology Group.

Louis received his A.B., cum laude, from Harvard University and his J.D. from Stanford Law School. He is admitted to practice law in the State of California.

practice & experience

  • advising the Firm’s public clients on a variety of ’33 Act and ’34 Act work, including reviewing and filing registration statements and current, quarterly and annual reports;
  • structuring and negotiating public offerings and private placements of both equity and debt securities, including PIPEs and angel and venture backed transactions, for the Firm’s private and public clients;
  • strategizing with and negotiating on behalf of the Firm’s clients on a variety of public and private mergers (including reverse mergers), strategic stock and asset acquisitions and divestitures, both buy- and sell-side; and
  • counseling the Firm’s clients on other aspects of their business activities, including commercial transactions, incentive compensation and corporate governance.

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John McIlvery

John_McIlvery

Partner

John McIlvery

Direct Voice: 818.444.4502
Direct Fax: 818.444.6302
Mobile: 626.705.0758
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John McIlvery is a founder and partner of the Firm.  He chair’s the Firm’s Public Securities practice group.

John’s practice is focused on corporate securities, mergers and acquisitions, venture capital financing, and general corporate and business matters.

John has represented clients in a wide variety of industries and businesses, including Internet and e-commerce, apparel, medical device, semiconductor, biotech, entertainment, technology and manufacturing. He has represented these companies from inception through initial and start-up financing, venture capital financing, initial public offering and ultimate sale.

John received his B.A., summa cum laude, from the University of Southern California and his J.D. from the Boalt Hall School of Law, University of California at Berkeley. He is admitted to practice law in the State of California.

practice & experience

  • private placements of equity and debt securities, including venture capital and angel financings, PIPEs, initial public offerings, secondary offerings, Rule 144A debt offerings and other capital market transactions;
  • public and private company mergers and acquisitions, including tender offers and going private transactions;
  • strategic partnering arrangements and other joint ventures;
  • a wide range of general corporate issues, including executive employment agreements, stock incentive plans, licensing agreements, and various commercial contracts; and
  • all aspects of securities law compliance and corporate governance matters for publicly-held companies.

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Jonathan Friedman

Jonathan Friedman

Partner

Jonathan Friedman

Direct Voice/Fax/Text: 818.444.4514
Mobile: 818.625.0408
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Jonathan Friedman is Partner at the law firm of Stubbs Alderton & Markiles, LLP.

Jonathan advises a wide range of both public and private clients, including development-stage, emerging-growth and middle-market companies as well as angel investors, venture capital firms and strategic investors. Jonathan’s practice focuses on corporate finance, mergers and acquisitions, securities law, intellectual property licensing and general corporate and business matters. Jonathan also has experience forming venture capital funds.  Jonathan has represented corporations and other entities in a variety of industries, including Internet and e-commerce, apparel, medical devices, entertainment and high technology.

Jonathan has substantial experience managing strategic transactions, including private equity and debt financings transactions, mergers and acquisitions in the public and private markets, offerings by public companies and angel and venture capital financing transactions. In addition, Jonathan counsels companies in connection with SEC reporting requirements and registrations, federal and state securities laws, corporate governance issues, joint ventures and strategic alliances and commercial contracts. Jonathan also has expertise advising companies in their formation process.

As part of his practice, Jonathan facilitates cross-border financings, mergers and acquisitions and expansions by companies into new markets and works to promote bi-lateral trade opportunities between Canada and the United States that will result in the job creation, investment connection and trade partnership support.

Jonathan received his Bachelor of Applied Science in Mechanical Engineering in 1998, his M.B.A. in 2002, and his J.D. in 2002, all from the University of Toronto.  Jonathan is admitted to practice law in the States of California, New York and Massachusetts.

practice & experience

  • debt and equity financings
  • seed and venture capital financings and other private placements, including ICOs
  • mergers, acquisitions and divestitures
  • cross-border transactions
  • limited liability company (LLC) operating agreements
  • fund formation
  • stockholder agreements
  • commercial contracts
  • secured lending transactions
  • financial restructurings
  • brand development and licensing
  • technology licensing and IP protection
  • marketing and endorsement agreements
  • manufacturing and distribution agreements
  • securities regulation
  • executive employment agreements
  • options, profits interest and other equity incentive plans
  • 34 Act compliance
  • corporate governance
  • website compliance

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