Syndicate Subscription Legal Plans

Syndicate Legal Services’ global Capital Markets Advisory is recognized for its skill in handling U.S., Canadian and international securities transactions, including (but is not limited to):

• Private Placements,

• Initial Public offerings,

• High Yield and Investment Grade Debt Offerings,

• Rule 144A and Regulation S Offerings,

• Registered Direct Offerings,

• At-the-Market Offerings (ATMs),

• Public and Private Equity Line Transactions,

• Special Purpose Acquisition Companies (SPACs),

• Real Estate Investment Trusts (REITs), and

• Private Investment in Public Entities (PIPEs).

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Syndicate Legal Services works with U.S. and international public and private issuers, as well as:

• Underwriters,

• Family Offices,

• Financial Institutions,

• Venture Capital Funds,

• Hedge Funds,

• Broker Dealers,

• Investment Companies, and

• Private Investment Firms

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EQUITY CAPITAL MARKETS:

In addition to Legal & Compliance services, Syndicate Legal Services provides Equity Capital Markets’ clients with informed guidance on timing, structural decisions, bank appointments, investor targeting, roadshows, deal tactics and allocations of shares. Our areas of expertise include (but is not limited to):

• ADR/GDR Registrations and Offerings,

• Confidentiality Marketed Public Offerings (CMPOs),

• Employee Stock Option Plans,

• Follow-On Offerings,

• Foreign Listings,

• Initial Public Offerings (IPOs),

• PIPE Transactions,

• Preferred Stock Offerings,

• Real Estate Investment Trusts (REITs),

• Registered Direct Offerings,

• Regulation A Offerings,

• Regulation S Offerings,

• Rights Offerings,

• Rule 144A Offerings,

• Shelf Registration Statements,

• Special Purpose Acquisition Companies (SPACs), and

• Transfer of Foreign Listings to the United States

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DEBT CAPITAL MARKETS:

In addition to Legal & Compliance services, Syndicate Legal Services helps privately-owned and sponsor-backed companies secure debt capital or leveraged financing for organic growth, acquisitions, dividend recapitalizations, and refinancings. The Management of Syndicate Legal Services works closely with clients to optimize their debt structures and secure the best long-term institutional partners for the business.

• Capital Trust Securities

• Cash Tender Offers

• Commercial Paper

• Exchange Offers and Consent Solicitations

• High Yield Offerings

• Insurance Linked Securities

• Investment Grade Offerings

• Municipal Securities

• Private Placements

• Project Bonds

• Rule 144A and Regulation S Offerings

• Securitizations

• Shelf Regulation Statements

• Structured Notes

• Subordinated Debt Offerings

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VENTURE CAPITAL:

Syndicate Legal Services provides Venture Capital Advisory to private companies as they seek funding from venture capital firms, angel investors or other institutional financing sources is a key component of the Firm’s Capital Markets Advisory practice. The management of Syndicate Legal Services has extensive experience in advising on a wide range of financing structures, including seed and angel investor financing, issuing convertible instruments, venture capital investments, venture debt transactions and private equity and other institutional financing. Syndicate Legal Services’ representation of cutting-edge companies and substantial relationships with the most prominent venture capital firms and angel investor groups throughout California allows it to stay apprised of developing market trends and, where appropriate, to make introductions to investors and companies.

PUBLIC COMPANY ADVISORY:

Syndicate Legal Services provides legal & compliance to publicly reporting securities clients trading on all levels of the OTC Market, the New York Stock Exchange and the NASDAQ.