Securities Law & Financing

Today’s financial markets are ripe with change and volatility. Employment and management terminations are occurring at lightspeed pace. Companies are seeking financing opportunities during this economic turmoil only to find that lending institutions are no longer lending. As traditional sources of capital have dried up, many businesses are exploring non-traditional financing arenas. As companies and entrepreneurs continue to seek traditional and non-traditional funding sources, they need to rely on legal counsel that can listen to their needs and help steer them in the right direction.

Additionally, companies have become hesitant to extend stock options to their employees and management. If structured properly, equity participation can be a solid way of retaining your best and most profitable employees and managers in a down market. Without the value of an experienced attorney in these areas, companies can be set adrift in the seas of financial change, wasting precious resources and time. The McCollor & Primavera Law Firm is equipped to handle both traditional and non-traditional financings, and structuring prudent employee retention stock plans. Companies need a professional who understands the legal and economic hurdles in finding true sources of financing and who can negotiate a fair and economically viable deal. Whether it is stock and equity sales, warrant, or stock option agreements, traditional or convertible promissory notes, or debenture agreements, The McCollor & Primavera Law Firm can help.

Our securities law and financing services in The Woodlands, Texas include:

• Counsel companies involving offers and sales of stock, units, and equity interests.
• Provide securities exemptions analysis and recommendations regarding the Securities Act of 1933 and state blue-sky laws, to include Rule 144 resales, Section 3 exempt securities, Section 4 exempt transitions, as well as, Regulation D private offerings.
• Draft private offering documentation, to include offering memorandum / circulars and subscription agreements.
• Counsel and draft stock and asset sales / transfers.
• Assist in structuring and drafting of shareholder, debenture, warrants, and stock option agreements.