A skilled Alpine securities attorney can provide you a step-by-step walkthrough of the current financial laws allowing you to avoid future trouble with the SEC, FinCEN and other governing regulatory bodies. Arming you with the foresight needed to build the proper business structure required to achieve the desired results with minimal legal risks. Any document that you require can be provided and explained in detail for any stage of business you are in.
These equity documents are the backbone of a growing company’s financials. They can facilitate a significant capital injection accelerating its growth and success. Unfortunately, the number of laws and regulations required to be followed increases in complexity and are compounded in number when handling other people's monies. Ensuring these documents are completed correctly and are properly aligned with the company’s future trajectory is imperative to uninterrupted success.
The following is a partial list of equity financing related issues that Alpine can provide consultation:
Certificate Of Designation for New Classes of Shares
Convertible Note
Form D, Form CF Preparations
Investor Rights Agreement
Private Placement Memorandum
Reg D, Reg S, Reg A, Reg A+, And Reg CF Exemption Offering Documents
Securities Law Compliance Filings
Series A, B, C, Preferred Stock Issuance and Establishment
Simple Agreement for Future Equity (SAFE)
State Level Securities Filings
Subscription Agreements
Equity options or stock options add an additional layer of flexibility and capability for a company to provide financial incentives. They can be structured for investors, owners, or employees creating an attractive financial motivation to accomplish the company’s overall objective. Due to options having increased flexibility they also come with their own unique set of rules and laws that should be considered prior to their utilization.
The following is a partial list of option related issues that Alpine can provide consultation:
Equity Incentive Plan and Award Agreements
ESOP – Employee Stock Ownership Plan
Establishment of Employee Option Pool
Restricted Stock Award Agreement
Restricted Stock Unit Agreement
Rule 144
Safe Harbor Exemptions
Stock Option Package
Transfer of Stock Opinions
Vesting Periods