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The Corporate, Securities, and M & A Lawyer's Job: A Survival Guide
Bloomberg TV interviews Corporate & Securities Partner Matt Swartz on Whether Groupon the Cat Violates SEC Quiet Period Rules
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Matthew B. Swartz
Mr. Swartz concentrates his practice in the areas of mergers and acquisitions, private equity and venture capital investments, public and private securities offerings, and corporate governance. He primarily represents middle market and technology companies, investors in these companies, and the investment banks that serve them. He also represents funds of funds in the acquisition of limited partnership interests and secondary direct investments. Mr. Swartz's experience as a business lawyer includes representing issuers and investors in scores of venture capital and private equity transactions representing buyers and sellers in acquisitions of businesses in industries ranging from biotechnology, medical devices, semiconductor manufacturing, and software to government contracting, consumer products, and retail. He has also represented issuers in public equity and 144A debt offerings, as well as bulge bracket, mid-tier, and regional underwriters and placement agents.
Mr. Swartz spent several years practicing in Silicon Valley and Southern California prior to relocating to the Washington, DC area in 2001. Prior to becoming an attorney, he worked in business development at a large private biotechnology company in San Diego. He is the author (with Daniel Lee) of The Corporate, Securities, and M & A Lawyer's Job: A Survival Guide, published by the American Bar Association and the editor of Lawyer's Guide to Formulas in Transaction Documents and SEC Filings published by American Lawyer Media's Law Journal Press.
Mergers and Acquisitions
- Sale of Emergint Technologies, Inc. to CACI
- Acquisition of Systems Development Integration, LLC (SDI) by Monument Capital Group
- Sale of Paragon Technology Group to LLR Partners
- Sale of OrangeSoda, Inc. to Deluxe Corporation
- Acquisition of K2M, Inc. by Welsh, Carson, Anderson & Stowe
- Acquisition by Delta F. Corp. of Strategic Business Systems, Inc. from Brocade Communications Corp
- Acquisition of PerformTech, Inc. by General Physics Corporation
- Acquisition of Strategic Insight by Asset International
- Acquisition of the mobile and fixed satellite assets of TDC (TeleDenmark) by UltiSat, Inc.
- Acquisition of McClendon Corporation by L-1 Identity Solutions (NYSE: ID) for $66 Million
- Acquisition of NovusCG by IBM (NYSE: IBM)
- Acquisition of Finetre by Ebix (Nasdaq: EBIX)
- Acquisition of White House Black Market by Chicos (NYSE: CHS) for $90 million
- Acquisition of MDLinx by So-Net M3, a Sony Network Communications Company
- Acquisition of RedZone Interactive by Sony Entertainment America
- Acquisition of Wondir, Inc. by Revolution Health
- Acquisition of Jeffrey Chain Company by Code, Henessey & Simmons
- Acquisition of Advanced Performance Consulting Group by ICF, Inc. (Nasdaq: ICFI)
- Representation of Partners Group in acquisitions of venture capital and private equity fund limited partnership interests from pension funds, endowments and private parties
- Tender offer by SafeNet, Inc. for Datakey, Inc.
- Merger of Comps.com (Nasdaq: COMPS) with the Co-Star Group (Nasdaq: CSGP)
- Member of acquisition team of Netscape Communications Corp. after its IPO
- InScope International (sale of technology innovations division to Arrow Electronics)
- JR Miller Enterprises (acquisition of Cheyenne Industries and other transactions)
- TMC Technologies (acquisition of Galaxy Global Corporation)
- Covington Partners (sale of Jasmere.com property to Charity USA, a for-profit business)
- Acquisition of certain assets of CommScope by Anite plc
Venture Capital and Private Equity Investments
- Representation of the Knowland Group, a cloud-based SaaS hospitality technology company, in a significant minority investment by private equity fund Serent Capital.
- Representation of medical device company K2M Inc. in financings by Ferrer Freeman & Company, New Science Ventures, and Beta Advisors.
- Representation of Voxant, Inc. in multiple rounds of financing from Softbank, Longworth Venture Partners, and Court Square Ventures.
- Representation of Plainfield Asset Management in in the Senior Subordinated Note financing of RadioFrame Networks.
- Representation of Sekurus, Inc. in equity and debt financings.
- Representation of Macquarie Infrastructure Company in the acquisition of 50% of International Marine Tank Terminals for $250,000,000.
- Representation of Sigma Partners in financing Internet Security Systems (formerly Nasdaq: ISS, then acquired by IBM after IPO).
- Representation of PowerBar, Inc. in financing from Hellman & Friedman.
- Representation of investment funds including: Partners Group, Enterprise Partners, Genstar Capital, Sigma Partners, RedShift Ventures, Nextel Ventures, Ericcson Venture Fund, Norwest, Safeguard Scientific, Carlyle Group, Columbia Capital, Gotham Partners, Morgan Stanley Venture Partners
- IPO of BroadSoft, Inc. (as counsel to underwriters Goldman Sachs & Co., Jeffries & Company, Cowen and Company, and Needham & Company, LLC)
- Follow-on/Secondary offering of Broadsoft, Inc. (as counsel to underwriters Goldman Sachs & Co., Jeffries & Company, Cowen and Company, and Needham & Company, LLC)
- IPO of Avalon Pharmaceuticals
- IPO of QC Holdings
- IPO of SPAC JK Acquisition Corp. (and other SPACs)
- Secondary offering of Gaylord Entertainment
- Commenced IPO of WhiteHouse/BlackMarket
- 144A Offerings of Broadsoft, Inc., Xilinx, Quantum, Waste Connections
- Rights offering of Metro-Goldwyn-Mayer
- Represented underwriters, 144A Initial Purchasers, and placement agents, including: Bank of America Securities, Bear Stearns & Co., Deutsche Bank Securities, Robertson Stephens, Goldman Sachs, Roth Capital, Ferris Baker Watts, and Legg Mason
- Primary outside counsel to joint venture of Microsoft and Qualcomm
- Represented management team of NFL franchise in proposed management buyout
- Represented management teams in LBOs and executives in employment and severance arrangements
- Represented a venture capital fund in transaction-related dispute with another venture capital fund.
- Assisted family-owned conglomerate with design of equity-like compensation system for managers of acquired businesses.
- Represented middle-market communications company in complex, multi-national contract dispute negotiation with United Nations agency.
- Represented the American Red Cross in a major software and services agreement.
- Chambers USA, Corporate/M&A—Virginia (2012)
Lawyer's Guide to Formulas in Transaction Documents and SEC Filings