Of Counsel

Kenneth Bart

Overview

Ken is a part of our capital markets practice group and focuses on business and corporate transactional law, with an emphasis on publicly traded companies and their shareholders.  Ken routinely represents clients from initial formation and startup, through merger and acquisition transactions, OTC, NASDAQ and NYSE listings, uplistings and compliance, and potential exit strategies.  Clients rely on Ken to advise, assist, and represent them in a broad range of business matters including public and private offerings, 33 Act and 34 Act registration statements and filings, corporate governance and compliance issues, national securities exchange listings, and FINRA and DTC matters.  Ken has personally structured, negotiated and drafted all necessary documents for private and public offerings totaling hundreds of millions of dollars in offering proceeds.  Ken possesses extensive legal knowledge related to all aspects of business and corporate legal matters, which results in the ability for him to assist companies during each phase of corporate existence.

Ken has experienced client legal representation as a sole practitioner, as an attorney at a state-wide law firm, as well as at a national law firm.  During his career, these opportunities have taught him how businesses should operate, as well as how law firms should, and must, represent clients who place their trust in the attorneys hired to support and protect them.  While, as attorneys, we are service providers, Ken believes that the true nature of the profession is to help people, thereby helping clients’ businesses, officers, directors, employees, shareholders, and customers.  In addition, Ken strongly believes that developing personal relationships with clients results in better communication and has a positive impact on both the client and the firm.  

Education

  • Pepperdine University School of Law, J.D.  
  • Hope College, B.A.  

Representative Matters

  • Represented a publicly traded company in a reverse merger transaction with a private entity engaged in the CBD and health & wellness industries valued at approximately $97,000,000.
  • Preparation of a Form S-1 Registration Statement for a $2,500,000 secondary debt offering that received a review/no comment response from the SEC for a remote IT publicly listed company.
  • Preparation of Private Placement Memorandum for a $2,000,000 preferred equity offering as part of a $60,000,000 financing for a real estate development company based in Raleigh, NC.
  • Preparation of private placement memorandum and related transaction documents for a
  • $17,000,000 equity offering for a company operating in the waste-to-energy industry.
  • Representation of a national healthy beverages company related to multiple acquisitions, as well as a $16,000,000 firm commitment public offering and simultaneous Nasdaq uplist.
  • Preparation of registration statements on Form S-8 for publicly traded clients in order to register shares underlying company equity incentive plans.
  • Represented a publicly-traded company with respect to the registration of common shares and warrants as part of a $4,500,000 offering.
  • Negotiation and drafting of transaction documents to facilitate various acquisitions by a publicly-traded company operating in the regulated cannabis industry.
  • Preparation of private placement memorandum and related transaction documents for a
  • $17,000,000 equity offering for a company operating in the waste-to-energy industry.
  • Assisted with the sale of controlling interest with a simultaneous private offering in a publicly-traded healthcare products company.
  • Facilitation of a $10,000,000 funding transaction for a privately held company operating in the pharmaceutical industry.
  • Assisted with preparation of transaction documents and closing of an approximately $4,000,000 offering for a publicly-traded company operating in the remote managed information technology industry.
  • Preparation of transaction documents for a $5,000,000 offering for a privately held company operating in the LED lighting industry.
  • Represented a privately held supplemental healthcare company related to a $2,000,000 equity offering.
  • Preparation of offering documents related to a $7,000,000 private offering for an oil and gas company.
  • Representation of privately held entities in a multiple entity acquisition transaction with a publicly traded company listed on the Canadian Stock Exchange.
  • Representation of a private bioenergy company with respect to an offering of Class B membership units.
  • Representation of various entities with respect to initial registration filings on Form S-1 and assistance with obtaining initial stock symbol.
  • Drafted all legal documents for sale of complex Limited Partnership while taking into consideration applicable tax issues including a Trust.

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