Securities Offerings, Ongoing Reporting

Ms. Mattick has been engaged in the following transactions, among others, within the last five years:

  • Representation of a significant shareholder of a NASDAQ Capital Markets listed company in selling half of his shares through Rule 144 and a private sale.
  • Acted as U.S. counsel for Australian company committing to invest a total of $500 million in a U.S. life sciences company over a period of time, negotiating a letter of intent and other preliminary agreements.
  • Work with a sponsor/broker of sales of actual mineral interests and joint ventures with those owners exploiting those minerals.
  • Work with a small company to create a letter of intent for a Series “B” preferred equity investment and the follow-on definitive documentation. Included conversion of an earlier SAFE capital raise from debt to equity.      
  • Work on an electronic platform offering for a mining company, including assembling all of the due diligence documentation, drafting and review of information disclosure, and filing required notices.  
  • Consult with a company capitalizing on its operating partner’s public storage experience to do a large private offering under Regulation A.
  • Preparation of disclosure packages for potential lenders and convertible debt investors so that the borrower/issuer client would be able to seek funding from different types of capital sources simultaneously. Negotiation of term sheets and final documentation of a term loan, revolving line of credit as well as a convertible debt investment.
  • Work with a bankrupt public company quoted OTC to issue freely tradable securities as a part of the confirmed plan of reorganization in bankruptcy and gear up to become current in its on-going public reporting responsibilities..
  • Work as a consulting or testifying expert on cases involving failure to timely remove restrictions on restricted stock held by founders of a publicly traded company; misrepresentation in private offering documents; and criminal indictments relating to violation of state securities laws.
  • Representation of clients before the State Securities Board and Ft Worth Office of the SEC, in investigations concerning illegal securities offerings, including inadvertent offerings over the internet, inadvertent advertising and legitimate businesses that have failed. Successfully negotiated with regulators concerning the content and access to areas of the company’s web site.  Ended investigations with no sanctions; In one case, submitted request for SEC no-action letter.