 ROBERT L. FROME
Partner / New York
Mr. Frome is a corporate and securities lawyer. He is experienced in a wide variety of capital raising transactions representing issuers, investors and investment banks, as well as various parties in mergers and acquisitions.
Mr. Frome has been selected as a Super Lawyer by the publisher of Law and Politics Magazine for 2007 and 2008.
Mr. Frome is widely known for his familiarity and creativity in various financing techniques, including PIPE, SPACs, reverse mergers and securitizations, as well as for using his extensive relationships in the investment community to introduce clients to sources of capital. He is the co-author of "Raising Capital: Private Placement Forms & Techniques."
REPRESENTATIVE MATTERS
• 2008 — Represented NuCO2 Inc., the leading and only national provider of bulk CO2 products and services to the U.S. fountain beverage industry, in connection with the acquisition by Aurora Capital Group. The transaction is valued at approximately $487 million.
• 2008 — Represented Open Acquisition Corp., a SPAC and served on its board in a $125,000,000 initial offering.
• 2008 — Represented Exploriam, a long/short investment LLC (hedge fund) specializing in medical, pharmaceutical and healthcare stocks in its formation and sale of its LLC interests.
• 2008 — Diamond Design Inc. — Represented jewelry company in private placement.
• 2008 — China Evergreen — Represented underwriter in sale of $32,000,000 of units in a SPAC making acquisitions in China.
• 2008 — Firm represented and I provided strategic advice to a defendant in a $500,000,000 corporate derivative action.
• 2007–2008 — Supervised preparation of numerous periodic SEC filings and proxy statements.
• 2007 — Represented investors in PIPE transactions.
• 2007 — Represented issuers in PIPE transaction.
• 2007 — Hansen Trust LLC — Represented issuer a private placement.
• 2005 — Represented the underwriters in a SPAC offering of $55,200,000 by Aldabra Acquisition Corp.
• 2005 — Represented NuCO2 Inc. in its $124,000,000 public offering on The Nasdaq National Market.
• 2005 — Represented the underwriters in a SPAC offering of $55,200,000 by Aldabra Acquisition Corp.
• 2005 — Represented NuCO2 Inc. in its $124,000,000 public offering on The Nasdaq National Market.
• 2005 — Represented a private company in a reverse merger with a cash-rich Nasdaq company.
• 2004–2005 — Represented a publicly traded Nasdaq companies in connection with PIPE financings.
• 2004–2005 — Represented privately held companies in reverse acquisitions related to PIPE financings and stock based acquisitions.
BAR ADMISSIONS
New York Bar
DIRECTORSHIPS
HealthCare Services Group, Inc. (NASDAQ-NMS) The nation's largest provider of housekeeping, linen and laundry services to long term care facilities.
NuCO2, Inc. (NASDAQ-NMS) The nation's largest provider of bulk carbon dioxide to restaurant, fast food outlets and convenience stores.
Big Brothers Big Sisters of New York City, Inc.
The Hospital for Joint Diseases, a Member Organization of Mt. Sinai/NYU Health.
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Contact Information |
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Practice Areas |
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Corporate Finance
Securities
Mergers and Acquisitions
Securities Regulation
Venture Capital |
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Industries |
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Healthcare
Technology
Media and Entertainment |
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Education |
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LL.M., New York University School of Law
LL.B., Harvard University School of Law
B.S., New York University |
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My News |
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My Articles/Lectures |
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2008, Moderator, Discovering alternative structures to SPACs: Panel Discussion; Fall 2008: The Future of the SPAC Market Conference
2008, Structuring Alternatives: Trusts, Voting & Bankers Compensation, The SPAC Conference 2008
2001, Internet Lecture: Using Corporate Shells
1981, Co-Author: "Raising Capital Forms and Techniques" Harcourt,Brace
1972, Co-Author: "Sales of Securities by Corporate Insiders" Harcourt,Brace
1972, Co-Author: "Sales of Securities by Corporate Insiders — The Impact of the 140 Series" Harcourt,Brace |
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