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Securities & Capital Markets

Representative Public Offerings

  • Provided issuer-side representation to a confidential biotech company in its initial public offering (IPO).
  • Provided issuer-side representation to a confidential medical diagnostic company in its $50-75M initial public offering (IPO).
  • Served as underwriters’ counsel in the $345M follow-on offering of American Depositary Shares GW Pharmaceuticals plc underwritten by Goldman Sachs; Morgan Stanley; J.P. Morgan and Cowen and Company, the $276M follow-on offering led by Goldman Sachs; Morgan Stanley; BofA Merrill Lynch; and Cowen and Company, the $252M follow-on offering led by Morgan Stanley; BofA Merrill Lynch; and Goldman Sachs, the $179.2M and $169.7M follow-on offerings led by Morgan Stanley; BofA Merrill Lynch; Cowen and Company; and Piper Jaffray & Co., and the $31.1M offering led by Lazard Capital Markets; Cowen and Company; Canaccord Genuity; and Roth Capital Partners.
  • Provided issuer-side representation to G1 Therapeutics, Inc. in multiple offerings, including its $180M follow-on offering underwritten by J.P. Morgan; Cowen and Company; Needham & Company; Wedbush Securities Inc.; and BTIG, its $108M follow-on offering underwritten by J.P. Morgan; Cowen and Company; Needham & Company; Wedbush Securities Inc.; and BTIG and its $105M initial public offering (IPO) underwritten by J.P. Morgan Securities; Cowen and Company; Needham & Company; and Wedbush Securities.
  • Served as underwriters’ counsel in the $115M follow-on offering of Dicerna Pharmaceuticals, Inc. led by Stifel Nicolaus; Citigroup; H.C. Wainwright & Co.; and SunTrust Robinson Humphrey, the $40M follow-on offering led by Stifel Nicolaus; Evercore ISI; H.C. Wainwright & Co.; and SunTrust Robinson Humphrey, the $48.8M follow-on offering led by Jefferies; Leerink Partners; Cowen and Company; and Stifel Nicolaus (May 2015), and the company’s $120M initial public offering (IPO) led by Jefferies; Leerink Partners; Stifel, Nicolaus & Company; and Robert W. Baird.
  • Provided issuer-side representation to Spring Bank Pharmaceuticals, Inc. in its $37.5M underwritten public offering led by Jefferies and Piper Jaffray.
  • Served as underwriters’ counsel in the $70M follow-on offering of ArQule, Inc. led by Leerink Partners; Needham & Company; Roth Capital Partners; B.Riley FBR; and Jones Trading Institutional Trading Services LLC.
  • Provided issuer-side representation to Spero Therapeutics in multiple offerings, including its $75M follow-on public offering led by Cowen and Company; Stifel, Nicolaus & Company; and Cantor Fitzgerald and its $77M initial public offering (IPO) underwritten by BofA Merrill Lynch; Cowen and Company; and Stifel.
  • Provided issuer-side representation to ImmunoGen, Inc. in its $94M follow-on offering underwritten by Jefferies; Leerink Partners; RBC Capital Markets; and Canaccord Genuity and its $100M Rule 144A convImmunoGen, Inc. in multiple offerings, including its $150.7M follow-on offering underwritten by J.P. Morgan; Goldman Sachs & Co. LLC; Cowen; Canaccord Genuity; and H.C. Wainwright & Co., its $94M follow-on offering underwritten by Jefferies; Leerink Partners; RBC Capital Markets; and Canaccord Genuity and its $100M Rule 144A convertible notes offering underwritten by J.P. Morgan.
  • Served as underwriters’ counsel in the $65M follow-on offering of Vericel Corporation led by Leerink Partners; BTIG; and Ladenburg Thalmann.
  • Served as underwriters’ counsel in the $46M follow-on offering of Sesen Bio, Inc. led by Jefferies and Canaccord Genuity.
  • Provided issuer-side representation to Evofem Biosciences Inc. in its $40M follow-on public offering underwritten by RBC Capital Markets LLC and Cantor Fitzgerald.
  • Served as underwriters’ counsel in the $147.5M follow-on offering of uniQure N.V. led Leerink Partners; Evercore ISI; Wells Fargo Securities; Chardan; and H.C. Wainwright & Co., and the company’s $91M follow-on offering led by Leerink Partners; Evercore ISI; Chardan; and H.C. Wainwright & Co.
  • Provided issuer-side representation to Synlogic, Inc. in multiple offerings, including its $30M registered direct offering underwritten by Leerink Partners and its $57.5M follow-on offering underwritten by Leerink Partners; Piper Jaffray; and H.C. Wainwright & Co.
  • Provided issuer-side representation to Daré Bioscience Operations, Inc. in its public offering underwritten by Roth Capital Partners.
  • Provided issuer-side representation to Pieris Pharmaceuticals, Inc. in its $44M follow-on offering underwritten by Jefferies; Cowen and Company; and Evercore ISI and in its $16.5M PIPE underwritten by Cowen and Company; Oppenheimer; and Trout.
  • Served as underwriters’ counsel in the $40.1M follow-on offering of miRagen Therapeutics, Inc. led by Jefferies; Evercore ISI; Deutsche Bank Securities; Wedbush PacGrow; and Oppenheimer & Co.
  • Provided issuer-side representation to Albireo Pharma, Inc. in multiple offerings, including its $65M follow-on offering underwritten by Cowen and Company; William Blair & Company; Needham & Company; Wedbush Securities; and Roth Capital Partners and its $51.9M follow-on offering underwritten by Cowen and Company; William Blair & Company; Needham & Company; and Wedbush Securities.
  • Served as underwriters’ counsel in the $30M follow-on offering of Viveve Medical, Inc. led by Cowen and Company; Raymond James; Ladenburg Thalmann; and Maxim Group LLC, and the $32M follow-on offering led by Cowen and Company.
  • Served as underwriters’ counsel in the $69M follow-on offering of Adverum Biotechnologies, Inc. led by Cowen and Company; Piper Jaffray; and Raymond James.
  • Served as underwriters’ counsel in the $83.8M follow-on offering of Rocket Pharmaceuticals, Inc. led by Cowen and Company and Evercore ISI.
  • Provided issuer-side representation to Quanterix Corporation in its $64.1M public offering (IPO) underwritten by JP Morgan; Leerink Partners; Cowen and Company; BTIG; and Evercore ISI.
  • Provided issuer-side representation to NuCana plc in its $114M initial public offering (IPO) underwritten by Citigroup; Jefferies; Cowen and Company; and William Blair.
  • Provided issuer-side representation to Intra-Cellular Therapies, Inc. in multiple offerings, including its $150M follow-on offering underwritten by J.P. Morgan and Leerink Partners, its $345M follow-on offering underwritten by Leerink Partners; Cowen and Company; RBC Capital Markets; Guggenheim Securities; Ladenburg Thalmann & Co.; and SunTrust Robinson Humphrey, its $129.9M follow-on offering underwritten by Leerink Partners; Cowen and Company; RBC Capital Markets; Ladenburg Thalmann & Co.; SunTrust Robinson Humphrey; and JMP Securities, its $123.6M “re-IPO” led by Leerink Partners; Cowen and Company; Guggenheim Securities; and JMP Securities, and its $60M alternative public offering led by Deerfield Capital Management; Broadfin Capital; and Leerink Swann.
  • Served as underwriters’ counsel in the $200M follow-on offering of Acceleron Pharma Inc. led by JP Morgan; Citi; and Leerink Partners, the $150M follow-on offering led by Morgan Stanley; Leerink Partners; and UBS, the $138M follow-on offering led by Leerink Partners; Citigroup; Piper Jaffray; and JMP Securities, and the $96.2M initial public offering (IPO) led by Citigroup; Leerink Partners; Piper Jaffray; and Canaccord Genuity.
  • Served as underwriters’ counsel in the $68M follow-on offering of Omeros Corporation led by Cantor Fitzgerald, and the $79M and $35M follow-on offerings led by Cowen and Company; Wedbush; Needham & Company; Maxim Group; and WBB Securities; MLV.
  • Served as underwriters’ counsel in the $40M initial public offering (IPO) of Atlantic Acquisition Corp. led by Chardan Capital Markets.
  • Served as underwriters’ counsel in the $32.4M follow-on offering of Neos Therapeutics, Inc. led by Cantor Fitzgerald, the $25M follow-on offering led by Cowen and Company; BMO Capital Markets; and JMP Securities, and in the company's $82.8M initial public offering (IPO) underwritten by UBS Investment Bank; BMO Capital Markets; RBC Capital Markets; and JMP Securities.
  • Provided issuer-side representation to Catasys, Inc. in its $15M public offering underwritten by Joseph Gunnar & Co.
  • Provided issuer-side representation to WAVE Life Sciences in its $100M follow-on public offering underwritten by Jefferies; Leerink Partners; Mizuho Securities USA; JMP Securities; and SunTrust Robinson Humphrey as well as the company's $102M initial public offering (IPO) underwritten by Jefferies; Leerink Partners; JMP Securities; and Suntrust Robinson Humphrey.
  • Served as underwriters’ counsel in the $80.5M follow-on offering of Calithera Biosciences, Inc. led by Leerink Partners; Wells Fargo Securities; and JMP Securities and in the company's $80M initial public offering (IPO) of led by Citigroup; Leerink Partners; Wells Fargo Securities; and JMP Securities.
  • Served as underwriters’ counsel in the $10M follow-on offering of Aldeyra Therapeutics, Inc. led by Stifel; Canaccord Genuity; and Laidlaw & Company (UK) Ltd., and in the company’s $20.5M follow-on offering led by Cowen and Company; Canaccord Genuity; et al.
  • Served as underwriters’ counsel in the $172.5M follow-on offering of Puma Biotechnology led by Citigroup; J.P. Morgan; Credit Suisse; BofA Merrill Lynch; and Stifel, the $218M follow-on offering led by BofA Merrill Lynch; JP Morgan; Leerink Partners; and Cowen and Company, and the $138M underwritten offering led by BofA Merrill Lynch; Citigroup; Leerink Partners; Cowen and Company; and UBS Securities.
  • Provided issuer-side representation to OvaScience, Inc. in multiple offerings, including its $46.8M follow-on offering underwritten by Leerink Partners; Oppenheimer & Co.; H.C. Wainwright & Co.; Roth Capital Partners; and JonesTrading Institutional Services, its $132M follow-on offering underwritten by J.P. Morgan; Credit Suisse; Leerink Partners; H.C. Wainwright; and Ladenburg Thalmann, and its $55.2 and $35M follow-on offerings led by Leerink Partners.
  • Served as underwriters’ counsel in the $35.1M follow-on offering of BioAmber Inc. led by Canaccord Genuity; Barclays; Raymond James; and Societe Generale.
  • Served as underwriters’ counsel in the $34.5M follow-on offering of Alliqua BioMedical led by Cowen and Company; RBC Capital Markets; and Craig-Hallum Capital Group.
  • Served as underwriters’ counsel in the $38M follow-on offering of Galena BioPharma, Inc. led by Raymond James, the $35M underwritten offering led by JMP Securities; Roth Capital Partners; Maxim Group; MLV & Co; and Noble Financial Capital Markets, as well as the $32.9M underwritten offering led by Oppenheimer & Co.
  • Served as underwriters’ counsel in the $141M follow-on offering of Achillion Pharmaceuticals, Inc. led by Leerink Partners and Deutsche Bank Securities and the $142M underwritten offering led by Citigroup and Leerink Swann.
  • Served as underwriters’ counsel in the $48M follow-on offering of EPIRUS Biopharmaceuticals, Inc. led by Leerink Partners; Wedbush; and BTIG.
  • Served as underwriters’ counsel in the $60M underwritten offering of Stemline Therapeutics, Inc. led by Jefferies; Cowen and Company; Aegis Capital; Roth Capital Partners, Ladenburg Thalmann; and H.C. Wainwright, the $60M follow-on offering led by Jefferies & Company and Aegis Capital, and the $38.1M offering led by Aegis Capital; Feltl and Company; and Sunrise Securities Corp.
  • Served as underwriters’ counsel in the $50M initial public offering (IPO) of Zosano Pharma Corporation led by Roth Capital and Ladenburg Thalmann.
  • Served as underwriters’ counsel in the $35.2 initial public offering (IPO) of Bio Blast Pharma Ltd. led by Oppenheimer; Roth Capital Partners; and BTIG.
  • Provided issuer-side representation to Aspen Aerogels, Inc. in its $82M initial public offering (IPO) led by Barclays; J.P. Morgan; Citigroup; Baird; and Canaccord Genuity.
  • Provided issuer-side representation to Ruthigen, Inc. in its $20.3M initial public offering (IPO) led by Dawson James Securities and ViewTrade Securities, Inc.
  • Provided issuer-side representation to Compugen Ltd. in its $72.5 follow-on offering led by Jefferies; JMP Securities; Oppenheimer; and Chardan Capital Markets.
  • Served as underwriters’ counsel in the $33M initial public offering (IPO) of Dipexium Pharmaceuticals, Inc. led by Oppenheimer and Feltl and Company.
  • Served as underwriters’ counsel in the $35.5M underwritten offering of Rubicon Technology, Inc. led by Canaccord Genuity and a $32.4M follow-on offering led by the same.
  • Provided issuer-side representation to Amedica Corp. in its $21M initial public offering (IPO) led by JMP Securities and Needham & Company.
  • Provided issuer-side representation to NephroGenex, Inc. in its $37.2M initial public offering (IPO) led by Aegis Capital.
  • Served as underwriters’ counsel in the $20M initial public offering (IPO) of Biocept, Inc. led by Aegis Capital.
  • Provided issuer-side representation to Synta Pharmaceuticals Corp. in its $60.3M follow-on offering led by Jefferies; JMP Securities; Brean Capital; Roth Capital Partners.
  • Provided issuer-side representation to Intercept Pharmaceuticals, Inc. in its $119M follow-on offering led by BofA Merrill Lynch.
  • Provided issuer-side representation to Virtus Investment Partners in its $175M follow-on public offering led by Goldman Sachs; Morgan Stanley; BofA Merrill Lynch.
  • Provided issuer-side representation to Intercept Pharmaceuticals, Inc. in its $62M follow-on offering led by BofA Merrill Lynch and Citigroup.
  • Provided issuer-side representation to ARIAD Pharmaceuticals, Inc. in its $323M underwritten offering led by J.P. Morgan Securities, Cowen and Company; Jeffries & Company; BMO Capital Markets; Leerink Swann; RBC Capital Markets; and UBS Investment Bank.

Reverse Mergers / Alternative Going Public Offerings

  • Represented OvaScience in its merger with Millendo Therapeutics, Inc.
  • DropCar / WPCS International Incorporated
  • Evofem Biosciences, Inc. / Neothetics, Inc.
  • Alcobra Ltd.
  • Synlogic, Inc. / Mirna Therapeutics, Inc.
  • Molecular Templates, Inc. / Threshold Pharmaceuticals, Inc.
  • Daré Bioscience Operations, Inc. / Cerulean Pharma, Inc.
  • Dipexium Pharmaceuticals, Inc. / PLx Pharma Inc.
  • Aerpio Pharmaceuticals
  • Leap Therapeutics, Inc.
  • Albireo Pharma, Inc. / Biodel Inc.
  • Synta Pharmaceuticals, Inc. / Madrigal Pharmaceuticals
  • Valeritas Holdings, Inc.
  • Targacept Inc. / Catalyst Biosciences, Inc.
  • Akari Therapeutics plc (formerly known as Celsus Therapeutics plc) / Volution Immuno Pharmaceuticals SA
  • Microbot Medical Ltd. / StemCells, Inc.
  • ViewRay, Inc.
  • Kura Oncology, Inc.
  • Pieris Pharmaceuticals, Inc.
  • Corindus Vasular Robotics
  • MabVax Therapeutics, Inc. / Telik, Inc.
  • EPIRUS Biopharmaceuticals, Inc. / Zalicus Inc.
  • Igynta Inc.
  • Lipocine Inc.
  • Committed Capital Acquisition Corporation / The One Group LLC
  • Intra-Cellular Therapies, Inc.
  • OvaScience, Inc. (Form 10)
  • Vringo, Inc. / Innovate/Protect, Inc.
  • Puma Biotechnology, Inc.
  • Mandalay Media / Twistbox Entertainment, Inc.
  • Zoo Entertainment
  • NewLead Holdings
  • Jamba Juice
  • Navios Maritime Acquisition Corporation
  • InkSure Technologies, Inc. / Lil Marc, Inc.
Case Study
Mintz transactional and health regulatory professionals represented clinical-stage oncology company G1 Therapeutics in its $108.6 million initial public offering (IPO).
Case Study
In July 2018 Mintz represented Spero Therapeutics, a multi-asset clinical stage biopharmaceutical company, in its underwritten public offering. The offering included 3,780,000 shares of its common stock and 2,220 shares of its non-voting Series A Convertible Preferred Stock, with the gross proceeds to Spero being $75M prior to the deduction of any underwriting discounts and commissions.
Case Study
After helping Spero raise over $200 million, Mintz represented the biopharmaceutical company in its collaboration with the Bill & Melinda Gates Medical Research Institute to develop SPR720 for the treatment of lung infections caused by Mycobacterium tuberculosis (Mtb).
Case Study
Mintz helped women’s reproductive health care company Daré Bioscience Operations, Inc. become a wholly owned subsidiary of Cerulean and a publicly traded company named Daré Bioscience, Inc. The innovative deal utilized a variation of a reverse merger into a publicly traded fallen-angel.
Case Study
Mintz steered precision health company Quanterix Corporation through a $73.7 million initial public offering (IPO). The firm’s Securities & Capital Markets Practice advised Quanterix on the Securities and Exchange Commission review process as well as pricing and timing of the offering.
Case Study
Mintz’s work for synthetic biotic company Synlogic Inc. has included raising over $100 million in three VC financing rounds. Mintz attorneys also helped Synlogic form a multiyear global R&D collaboration with AbbVie and raise more than $40 million in an IPO via a reverse merger with Mirna Therapeutics.