Representative Experience

  • Ongoing representation of an investment trust focused on alternative energy companies and other clean tech industries; counsel includes structuring, negotiating and documenting private investment in public companies (PIPE) transactions and numerous investments in venture-stage companies, ranging from start-ups to late-round financings; representation also includes preparing and managing the trust’s U.S. securities filing obligations and coordinating similar international filing obligations
  • Advised a utility on its carbon emission reporting obligations
  • Counseled on a $36 million investment in convertible preferred stock and common stock of World Water and Solar Technologies, a solar engineering and water management company; the clean tech developer provides solutions to water supply and energy problems including to agribusiness and irrigation, water utilities, food processing plants, and refrigeration and cooling systems
  • Staged a $12 million investment in ThermoEnergy Corporation, an integrated technologies company seeking to develop and commercialize patented water treatment and clean natural gas energy technologies
  • Staged $18 million investment in common stock and warrants of Axion Power International, Inc., which is developing super capacitive lead-acid-carbon energy storage devices combining battery and super capacitor performance characteristics
  • Structured a $12 million investment in common stock and warrants to purchase common stock of Solar EnerTech Corp., a manufacturer of high quality photovoltaic (PV) solar energy cells and state-of-the-art solar applications
  • Served as senior legal officer for a venture capital­backed, “distributed generation” company, which provides on­site electric and thermal energy power plants serving office, industrial, retail and hotel facilities. Successfully negotiated and closed more than 30 energy supply transactions over a three-year period as part of multi-unit growth plan; company was sold in 2004 as part of industry consolidation and we were responsible for all regulatory and compliance matters with local, state and federal agencies
  • For Informatica Corp. of Redwood City, we negotiated a number of professional services and other deals with Fortune 100 companies, leading railroads and electric utilities