Practice

Capital Markets, Securities and Governance

Sophisticated Legal Counsel for Capital Markets

Sheppard advises public companies, investors and underwriters on capital markets transactions, compliance with the SEC and corporate governance.  

We provide industry-focused counsel at all stages of growth, helping companies raise capital, manage regulatory risk and navigate complex market conditions. 

Helping Companies Go Public and Grow 

Sheppard’s Capital Markets team structures and executes equity and debt offerings in all transaction types and market conditions.

Our experience includes initial public offerings, follow-on offerings, private placements and other capital-raising transactions at every stage of corporate development. We advise all participants in capital markets transactions, including issuers, underwriters, investors and financial institutions. 

Our Capital Markets and Securities lawyers advise public companies and their boards on SEC reporting obligations, stock exchange compliance and disclosure requirements. Drawing on decades of experience, we counsel on governance standards, fiduciary duties and complex issues facing management, directors and shareholders. We actively participate in board discussions on material developments, providing real-time counsel during critical decision points. 

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Experience

Representative Matters

  • Represented Newsmax Inc., a leading American media company, in its initial public offering (IPO) and capital raise.
  • Represented Red Cat Holdings, Inc. (Nasdaq: RCAT), a provider of advanced drone technology solutions, in its underwritten public offering and multiple registered direct offerings of common stock.
  • Represented R.F. Lafferty & Co., Inc., a full-service investment banking and brokerage firm, in the initial public offering of OFA Group (Nasdaq: OFAL).
  • Represented Nova Minerals Limited (Nasdaq: NVA), a gold and critical minerals exploration company, in its public offering and initial U.S. public offering and Nasdaq listing.
  • Represented The Benchmark Company, LLC, an investment banking and financial services company, in the initial public offering of Lakeside Holding Limited (Nasdaq: LSH), an integrated cross-border supply chain solution provider.
  • Represented Alta Global Group Limited (NYSE American: MMA), a sports and fitness industry platform, in its initial public offering of ordinary shares.
  • Represented RadNet, Inc., a leading provider of outpatient diagnostic imaging services, in its underwritten public offering of common stock.
  • Represented Syra Health Corp. (Nasdaq: SYRA), a healthcare technology and services company, in its initial public offering and follow-on public offerings of securities.
  • Represented Mawson Infrastructure Group Inc. (Nasdaq: MIGI), a digital infrastructure provider, in multiple registered direct and at-the-market offerings of common stock.
  • Represented Hillstream BioPharma, Inc. (Nasdaq: HILS), a biotechnology company focused on oncology therapeutics, in its initial public offering and public underwritten offering of common stock.
  • Represented Hoth Therapeutics, Inc. (Nasdaq: HOTH), a biopharmaceutical company developing therapies for dermatological and inflammatory conditions, in multiple underwritten and public offerings of common stock.
  • Represented Immix Biopharma, Inc. (Nasdaq: IMMX), a biotechnology company developing treatments for cancer and other diseases, in its initial public offering of securities.
  • Represented Sidus Space, Inc. (Nasdaq: SIDU), a provider of commercial space and satellite solutions, in its initial public offering, follow-on public offerings, and registered direct offerings.
  • Represented Hepion Pharmaceuticals, Inc. (Nasdaq: HEPA), a biopharmaceutical company focused on therapeutic solutions for liver disease, in its public offerings of common stock.
  • Represented Genprex, Inc. (Nasdaq: GNPX), a clinical-stage gene therapy company, in multiple public and registered direct offerings of common stock.
  • Represented ThinkEquity, a leading investment banking firm, as underwriter’s counsel in the initial and follow-on public offerings of Virpax Pharmaceuticals, Inc., a specialty pharmaceutical company.
  • Represented GAN Limited, a provider of online gaming software-as-a-service solutions, in its initial and secondary public offerings in the United States.
  • Represented Aridis Pharmaceuticals, Inc. (Nasdaq: ARDS), a biopharmaceutical company focused on novel anti-infective therapies, in a registered direct offering of common stock.
  • Represented Cardiff Oncology, Inc. (Nasdaq: CRDF), a clinical-stage biotechnology company focusing on cancer treatments, in its public offerings and registered direct offerings of common stock and warrants.
  • Represented Greenwich LifeSciences, Inc. (Nasdaq: GLSI), a clinical-stage biopharmaceutical company, in its initial and follow-on public offerings.
  • Represented Astrotech Corporation (Nasdaq: ASTC), a technology company specializing in mass spectrometry solutions, in multiple registered direct and upsized public offerings of common stock, as well as “at the market” facilities.

Clients
  • ADiTx Therapeutics, Inc. (Nasdaq: ADTX)
  • Alta Global Group Limited (NYSE American: MMA)
  • Amesite, Inc. (Nasdaq: AMST)
  • Aridis Pharmaceuticals, Inc. (Nasdaq: ARDS)
  • Astrotech Corporation (Nasdaq: ASTC)
  • Cardiff Oncology, Inc. (Nasdaq: CRDF)
  • Celularity, Inc. (Nasdaq: CELU)
  • Fluent, Inc. (Nasdaq: FLNT)
  • GAN Limited (Nasdaq: GAN)
  • Genprex, Inc. (Nasdaq: GNPX)
  • Greenwich LifeSciences, Inc. (Nasdaq: GLSI)
  • Guardion Health Sciences, Inc. (Nasdaq: GHSI)
  • Hepion Pharmaceuticals, Inc. (Nasdaq: HEPA)
  • Hillstream BioPharma, Inc. (Nasdaq: HILS)
  • Hoth Therapeutics, Inc. (Nasdaq: HOTH)
  • Mawson Infrastructure Group Inc. (Nasdaq: MIGI)
  • Nova Minerals Limited (Nasdaq: NVA)
  • RadNet, Inc. (Nasdaq: RDNT)
  • Red Cat Holdings, Inc. (Nasdaq: RCAT)
  • Sidus Space, Inc. (Nasdaq: SIDU)