Kaoru advises companies on general corporate and securities matters beginning from the formation of the company through exit, whether through a sale of the company or an IPO. His practice spans the firm’s Energy & Sustainability, Life Sciences, and Technology Practices. Kaoru focuses his practice on advising clients on equity financing transactions, capital market transactions, securities law compliance, and general corporate matters within the energy & sustainability and life sciences industries. His experience includes advising start-up companies, venture capital funds and investors in equity financings, convertible note and Simple Agreement for Future Equity (SAFE) financings, and on general corporate matters, and counseling clients on corporate documents in connection with solar, wind and other renewables projects.
Kaoru acts as outside general counsel for private companies and advises publicly traded clients on SEC reporting and corporate governance obligations.
Kaoru frequently participates in startup competitions as a judge, including the Cleantech Open, and presents on topics related to the formation of startups, capital raising, and securities compliance matters. He enjoys teaching and participating in legal clinics for startups and entrepreneurs, and has taught undergraduate courses in Environmental Law at Boston College.
Prior to rejoining Mintz in 2021, Kaoru was an associate in a national law firm, where he represented start-ups, entrepreneurs, investors, and venture capital funds in various fundraising transactions and general corporate matters, and public companies in public offerings and securities compliance matters. He previously worked at Mintz as an Associate in the firm’s Corporate Practice and as a Summer Associate.
Experience
- Represented SOURCE, a hydropanel technology company, in its $130 million Series D financing.
- Represented Aeroseal, a duct and air-sealing technology company, in its $50 million Series B financing.
- Represented ZwitterCO, Inc., a water treatment and separation solution company, in their $33.4 million Series A financing.
- Represented a life sciences company in an at-the-market offering program valued at up to $100 million.
- Represented a life sciences company in a reverse merger IPO and a simultaneous private placement transaction with a total value of approximately $85 million.
- Represented WAVE Equity Partners in their investment in a tankless water heater company focused on residential, commercial, and industrial applications.
- Represented a life sciences company in a two-tranche Series A financing valued at up to $15 million.
- Represented a life sciences company in an $18 million IPO.
- Represented a life sciences company in a three-tranche Series C financing valued at up to $18 million.
- Represented a solar development company in a $25 million growth equity financing.
- Represented an energy efficiency app provider in a $10 million stock purchase acquisition.
- Represented an oncology-focused biotech company in a $50 million Series C financing.
- Represented a public life science company in a follow-on public offering of $345 million of common stock.
- Represented a public life science company in a sell-side merger with a private company that included $87 million in cash, stock, and redeemable notes.
- Represented a deicing service provider in a $95 million sell-side private equity buyout.
- Represent start-up companies on formation and corporate structure, including drafting certificates of incorporation with provisions to protect founders’ rights; form of equity incentive plans and stock option agreements; nondisclosure, non-competition and invention assignment agreements; stock restriction and stock purchase agreements; and the filing of 83(b) elections.
viewpoints
Energy & Sustainability Connections Newsletter — September 2024
September 3, 2024 | Article | By Thomas R. Burton, III, Sahir Surmeli, Kaoru C. Suzuki
This issue of Energy & Sustainability Connections includes a feature on ocean technologies company Tiburon Subsea and the outlook for regulatory scrutiny of PFAS, plus energy policy news from Washington, litigation and regulatory updates, a roundup of recent M&A activity, and information on upcoming industry events.
Checklist for Foreign Companies Expanding into the US
August 26, 2024 | Advisory | By Kaoru C. Suzuki, Larry P. Naughton, Joshua D. Fox
This article provides a checklist of action items for foreign companies making an initial expansion into the US, covering essential topics like choosing a business structure, navigating laws and regulations concerning immigration, employment, and taxes, and securing funding.
Crossing Borders: Key Considerations for International VC Investments
July 9, 2024 | Advisory | By Kaoru C. Suzuki
This article provides information for international angel investors and venture funds looking to invest in start-ups in the United States, including on investment frameworks like how terms are handled, regulatory considerations, and US tax implications.
Acing Your First Start-up Board Meeting: Board Deck Tips
July 2, 2024 | Alert | By Kaoru C. Suzuki
This article provides a detailed overview of how company founders can create an effective board deck to prepare for a meeting with investor directors.
Essential Annual Actions for Start-up Boards
March 18, 2024 | Alert | By Kaoru C. Suzuki
As a start-up begins to approach its fiscal year-end, company founders need to be mindful of key annual action items for boards, such as the budget, executive compensation, and other administrative actions.
Energy & Sustainability Connections Newsletter — March 2024
February 27, 2024 | Article | By Thomas R. Burton, III, Sahir Surmeli, Kaoru C. Suzuki
This issue of Energy & Sustainability Connections includes features on Mintz’s commitment to the energy transition with 80+ deal closings totaling $4 billion in the past 12 months and public benefit company Cultivo, a roundup of recent M&A activity in the energy space, energy policy news from Washington, litigation updates, and a list of upcoming industry events.
Energy & Sustainability Legal Feature — Department of Energy Awards $118 Million for Biofuel Projects
February 23, 2023 | Article | By Kaoru C. Suzuki, Alana D. Agron
Read about a Department of Energy (DOE) announcement of $118 million in funding for 17 projects to accelerate the production of sustainable biofuels and the selected projects.
ARPA-E: Biden’s Proposed FY 2023 Budget Boosts Investment in Clean Energy Technologies
May 6, 2022 | | By Kaoru C. Suzuki, Riya Rana
Read about President Biden’s proposed FY 2023 budget allocating funding to combat climate change and advance clean energy development, including funding for the DOE’s Advanced Research Projects Agency-Energy program.
SMART Program Doubles Capacity
January 5, 2022 | Blog | By Kaoru Suzuki
Pricing Overseas Carbon: The Rise of Border Adjustment Mechanisms on Both Sides of the Pond
September 10, 2021 | Blog | By Kaoru Suzuki, Luke Haubenstock
News & Press
Mintz is pleased to announce that 31 attorneys have been named Massachusetts Super Lawyers and 35 attorneys have been named Massachusetts Rising Stars for 2024.
The Best Lawyers in America 2025 Recognizes 184 Mintz Attorneys across 56 Practice Areas
August 15, 2024
187 Mintz attorneys have been recognized by Best Lawyers® in the 2025 edition of The Best Lawyers in America©. Notably, three Mintz attorneys received 2025 “Lawyer of the Year” awards, and 64 firm attorneys were included in the 2025 edition of Best Lawyers: Ones to Watch.
Fifty-Nine Attorneys Recognized as 2023 Massachusetts Super Lawyers and Rising Stars
October 12, 2023
Mintz is pleased to announce that 32 attorneys have been named Massachusetts Super Lawyers and 27 attorneys have been named Massachusetts Rising Stars for 2023.
BOSTON– Mintz represented Gradiant Corporation, a global end-to-end solutions provider of advanced water and wastewater treatment, in its Series D financing.
Mintz Advises Bio Client Asimov in $200M Fundraising
January 10, 2023
Mintz advised Asimov in a $200 million fundraising aimed at helping the synthetic biology company scale its tools and services business focused on biologics, cell and gene therapies, and RNA. Mintz Member and seasoned life sciences transactional attorney Joshua Fox led a team that included Associates Kaoru Suzuki and Michael Katz.
Best Lawyers® recognized 108 firm attorneys in the 2023 edition of The Best Lawyers in America©. Notably, two Mintz attorneys – Poonam Patidar and Scott M. Stanton – received 2023 “Lawyer of the Year” awards, and 28 firm attorneys were included in the inaugural edition of Best Lawyers: Ones to Watch.
Events & Speaking
Recognition & Awards
Identified in Best Lawyers in America as among the “Ones to Watch” – Corporate Law (2021, 2023 –2024)
Included on the Massachusetts Super Lawyers list: Business/Corp (2023)
Included on the Ohio Super Lawyers: Ohio Rising Stars list (2021)