StephenA.
Cohen

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Stephen Cohen

Overview

Stephen Cohen is a corporate transactional attorney who represents clients across the United States as well as international clients in U.S.-based transactions. He consistently delivers strategic counsel that aligns with each client’s goals and special transaction dynamics.

Stephen’s practice focuses primarily on corporate and securities law matters, with an emphasis on corporate finance transactions. In that context, he represents public and private companies, investment banks and investors in a various capital-raising strategies, including:

  • Venture capital and private equity investments
  • Initial public offerings
  • Follow-on public offerings
  • Registered direct offerings
  • Confidentially marketed public offerings
  • Private placements
  • Private investment in public Equity offerings (PIPEs)
  • SPAC transactions
  • At-the-market offerings
  • Digital strategy transactions
  • Debt transactions
  • Other capital-raising opportunities

Boards of directors, management teams and investors turn to Stephen for guidance on corporate law issues, disclosure obligations under federal securities laws and corporate governance- matters. He also handles strategic acquisitions and dispositions for both public and private companies. Additionally, Stephen advises asset managers on fund formation, secondary market purchases, specialty finance and regulatory issues arising under the Investment Advisers Act, as well as broker-dealers on regulatory and compliance- issues.

Stephen serves as co-leader of the firm’s capital markets team and is a member of the firm’s opinion committee.

Outside his legal practice, Stephen enjoys spending time with his three children, watching football and coaching youth sports.

Experience

Issuer’s Counsel

  • Represented BioXcel Therapeutics, Inc. (NASDAQ: BTAI) in its $60 million initial public offering
  • Represented Aridis Pharmaceuticals, Inc. (NASDAQ: ARDS) in its $26 million initial public offering
  • Represented Hoth Therapeutics, Inc. (NASDAQ: HOTH) in its initial public offering and subsequent follow on offerings
  • Represented Workhorse Group, Inc. (NASDAQ: WKHS) in connection with its $35 million credit facility and term loan with Marathon Asset Management.
  • Represented Synergy Pharmaceuticals, Inc. in its $125 million follow-on public offering
  • Represented Synergy Pharmaceuticals, Inc. in its $200 million Convertible Note Rule 144A  offering
  • Represented Synergy Pharmaceuticals, Inc. in its $17.25 million public offering and uplisting to Nasdaq, as well as a subsequent $51 million public offering
  • Represented ContraVir Pharmaceuticals, Inc. (NASDAQ: CTRV) in its $7 million follow-on offering, as well as its subsequent $12 million follow-on offering
  • Represented Genprex, Inc. (NASDAQ: GNPX) in its $17.5 million registered direct offering
  • Represented Immune Pharmaceuticals, Inc. in its $18 million follow-on public offering
  • Represented Synergy Pharmaceuticals, Inc. in its $50 million At-the-Market offering with Cantor Fitzgerald & Co.
  • Represented ContraVir Pharmaceuticals, Inc. in its $50 million At-the-Market offering with Cantor Fitzgerald & Co.
  • Represented Astrotech Corp. (NASDAQ: ASTC) in its $8 million At-the-Market offering with B. Riley FBR, Inc.

Underwriter’s Counsel

  • Represented The Benchmark Company, LLC and FT Global Capital, Inc. as underwriter in connection with a follow on public offering of $62 million of American depositary shares (ADSs) of Wimi Hologram Cloud, Inc. (NASDAQ: WIMI)
  • Represented WestPark Capital, Inc. as underwriter in connection with a $16 million Initial Public Offering of American depositary shares (ADSs) of AnPac Bio-Medical Science Co., Ltd. (NASDAQ: ANPC)
  • Represented Ladenburg & Co., Inc. in connection with a $16.5 million follow on public offering of Jaguar Health, Inc. (NASDAQ: JAGX).
  • Represented The Benchmark Company, LLC and ViewTrade Securities, Inc. in a $30 million at-the-market offering of India Globalization Capital, Inc.
  • Represented Laidlaw & Company (UK) Ltd. as underwriter in connection with a $24 million Initial Public Offering of Viking Therapeutics, Inc. (NASDAQ: VKTX)
  • Represented Laidlaw & Company (UK) Ltd. as underwriter in connection with a $18.5 million Initial Public Offering of PhaseRx Inc. (NASDAQ: PZRX)
  • Represented Maxim Group LLC, as representative of the underwriters, in connection with a $9 million follow on offering of common stock and warrants and uplisting to NASDAQ for MYnd Analytics, Inc.

Investors’ Counsel

  • Represented Arena Investors LP in connection with its investment in Chanticleer Holdings, Inc. (NASDAQ: BURG).
  • Represented Arena Investors LP in connection with its investment in GOIP Global, Inc.
  • Represented Amzak Health Investors LLC and Acorn Bioventures LP in connection with its investment in Regulus Therapeutics, Inc. (NASDAQ: RGLS)
  • Represented Amzak Health Investors LLC in connection with its investment in GTx, Inc. (NASDAQ: GTXI)
  • Represented Amzak Health Investors LLC in connection with its investment in Selecta Biosciences, Inc. (NASDAQ: SELB)
  • Represented Ionic Ventures LLC in connection with its investment in Dthera Sciences, Inc.

Mergers and Acquisitions

  • Represented Avant Diagnostics, Inc. in connection with the sale of substantially all of its assets to OncBioMune Pharmaceuticals, Inc.
  • Represented RCX Capital Group, Inc. in connection with its joint venture with Ensenia Wealth, LLC.
  • Represented Baker Technologies, Inc. in connection with its business combination with Briteside Holdings, LLC, Sea Hunter Therapeutics, LLC and Santé Veritas Holdings Inc. to form TILT Holdings Inc. and its subsequent private placement of $119M and listing on the Canadian Securities Exchange.
  • Represented Datum Corporation in connection with the sale of substantially all of its assets to Datum Technologies, LLC
  • Represented Synergy Pharmaceuticals, Inc. in connection with its spin off of ContraVir Pharmaceuticals, Inc.
  • Represented Synergy Pharmaceuticals, Inc. in connection with its merger with Callisto Pharmaceuticals, Inc.
  • Represented interclick, inc. in connection with its acquisition by Yahoo, Inc.
  • Represented SinoEnergy Corporation in connection with its going private transaction.

* Includes some matters prior to joining SheppardMullin

Credentials
Education

J.D., New York Law School, 2005

B.A., Amherst College, 2000

Admissions

New York

Connecticut

Honors

New York Super Lawyer, Super Lawyers, 2025

Rising Star, Super Lawyers, 2014-2018

Legal 500, Mergers and Acquisitions, 2017