PIPE Transactions: Basics and Current Developments

PIPE transactions remain an important capital-raising alternative, especially during periods of market volatility.

Whether a public company is seeking to raise additional capital from sector or financial investors, effect a recapitalization or restructuring, or facilitate a liquidity opportunity for an existing stockholder, a PIPE transaction may be the most efficient approach.

During this session, we will discuss:

• Recent market trends;
• PIPE documentation and the principal negotiating issues;
• The securities exchange shareholder approval rules, recent changes to such rules, and the financial viability rule;
• Using warrants and structuring approaches for at-market deals;
• Venture capital and private equity PIPE transactions; and
• Change of control PIPE transactions.

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