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The Issuer's Guide to PIPEs: New Markets, Deal Structures, and Global Opportunities for Private Investments in Public Equity

Steven Dresner (Editor)
ISBN: 978-0-470-88550-5
352 pages
June 2010
The Issuer
Regulatory changes, market fluctuation, and new deal structures have ushered in a new era for the PIPEs market. Companies must understand the complexities of a market gone global, with private investments in public equity expanding in the United States as well as in Asia and Europe.

Steven Dresner brings together an all-star cast of contributors in his follow-up to PIPEs: A Guide to Private Investments in Public Equity, focusing this new book on the most prescient topics for informed readers. With chapters on international PIPEs, new deal structures, the latest legal complications, and the most recent regulation, Dresner’s new book details the changes in the PIPEs market, with an emphasis on the matters most closely tied to issuers.

Steven Dresner is the founder of DealFlow Media, a publishing, database, and events company focused on analysis of emerging financial markets. He is also an active investor.
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Introduction (Steven Dresner, DealFlow Media, Brad Ackerman, Hull Capital).  

PART ONE. STATE OF THE MARKET.
 
1 PIPEs and Registered Directs (Richard E. Gormley, Lazard Frères & Co).
 
2 PIPE Market Statistics (David Lee, PrivateRaise, a DealFlow Media Service).  

3 International PIPEs: Private Placements by Australian Securities Exchange-Listed Companies (Eugene Tablis, KTA Capital).  

4 International PIPEs: Rules, Regulations, and an Overview of the Capital Markets in the United Kingdom (Douglas Rofè and Sarah Hooker, Reed Smith).
 
5 Developing Aftermarket Support and Liquidity (Crocker Coulson, CCG Investor Relations).  

PART TWO.  LEGAL AND ACCOUNTING ISSUES.
 
6 Legal and Regulatory Overview (Eleazer N. Klein, Schulte Roth & Zabel).  

7 Listing Considerations (Christopher Auguste, Alexander Freedman, and Antonia Lee, Kramer Levin Naftalis & Frankel).
 
8 Registration Issues (Jack Hogoboom, Lowenstein Sandler).
 
9 Valuation of PIPEs (Espen Robak, Pluris Valuation Advisors).

10 Placement Agent Agreements (Darren L. Ofsink, Esq., D. Reeves Carter, Esq., Matthew A. Pek, Esq., Guzov Ofsink).  

PART THREE.  ALTERNATIVE DEAL STRUCTURES.

11 Registered Directs (Susanne Mulligan, Deutsche Bank).
 
12 Common-Stock Transactions (Edmund P. Chiang).
 
13 Structured PIPEs (Mark Wood, Ziemowit T. Smulkowski, Katten Muchin Rosenman, Todd M. Scherrer, Szymkowiak & Associates, CPAs).
 
14 Equity Lines of Credit (David J. Fine, Kristin M. Hespos, Yorkville Advisors).  

PART FOUR.  Alternative Deal Structures.
 
15 Shell Mergers and SPACs (Meghan Leerskov, DealFlow Media).
 
16 Reverse Mergers (David N. Feldman, Feldman LLP).  

17 Anatomy of a Chinese APO (Louis A. Bevilacqua, Thomas M. Shoesmith, Joseph R. Tiano, Jr., Pillsbury Winthrop Shaw Pittman).  

Afterword (Michael Vasinkevich, Rodman and Renshaw).

Glossary.
Index.
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Steven Dresner is the founder of DealFlow Media. Dresner is the author of PIPEs: A Guide to Private Investments in Public Equity (Bloomberg Press, 2006) and has been quoted in Barron's, the New York Times, the Wall Street Journal, and other major media outlets. Dresner lives in New York.
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