Anthony Epps
PEOPLE

Anthony Epps

Partner
epps.anthony@dorsey.com

Overview

A PARTNER IN DORSEY'S CORPORATE GROUP, ANTHONY HAS ACTED AS COUNSEL ON COMPLEX SECURITIES TRANSACTIONS, INCLUDING PUBLIC AND PRIVATE OFFERINGS AND MERGERS AND ACQUISITIONS.  HE SPECIALIZES IN CROSS-BORDER TRANSACTIONS.

Anthony's practice focuses on corporate governance, securities transactions, and mergers and acquisitions.  Anthony's corporate governance experience includes advising public companies with U.S. Exchange Act reporting and compliance, U.S. Securities Act matters and compliance with the rules and regulations of state securities commissions and self-regulatory organizations.  His complex securities transaction experience includes public and private offerings, at-the-market transactions, underwritten public offerings, bought deal offerings and PIPE offerings.  Anthony also advises clients on mergers and acquisitions, including representing both buyers and sellers in a variety of transactions, including joint ventures and reverse mergers.  Anthony has extensive experience in counseling clients engaged in cross-border capital markets transactions using the Multijurisdictional Disclosure System (MJDS), Rule 144A, Regulation S.  Anthony also provides clients with general broker-dealer regulatory advice relating to the rules and regulations of the Securities and Exchange Commission and the Financial Industry Regulatory Authority (“FINRA”).

Education & Admissions

University of Denver, Sturm College of Law (2009)

University of Denver (B.S.B.A., Information Technology, 2006), summa cum laude

Admissions

  • Colorado

Experience

Representative Transactions

Anthony regularly assists clients with complex securities transactions including a variety of public and private offerings, M&A transactions including reverse mergers, corporate governance, FINRA compliance, Regulation M compliance and ongoing U.S. Securities Act and Exchange Act Reporting, including:

  • Aytu BioScience, Inc.
  • Avinger, Inc.
  • Rezolute, Inc.
  • InMed Pharmaceuticals Inc.
  • NexGen Energy, Ltd.
  • Purple Innovation, Inc.
  • Great Basin Scientific, Inc.
  • Midway Gold Corp.
  • Vista Gold Corp.
  • Roth Capital Partners LLC
  • Piper Jaffray & Co
  • IMRIS Inc.
  • Tekmira Pharmaceuticals Corporation
  • Aptose Biosciences Inc.
  • FirstEnergy Capital Corp.
  • Golden Queen Mining Co Ltd.
  • Avalon Rare Metals Inc.
  • Global Securities Corporation
  • Bank of Montreal
  • Macquaire Capital Markets

Selected Merger and Acquisition Transactions:

  • Represented Aytu BioScience in connection with its merger with Innovus Pharmaceuticals
  • Represented Purple Innovation, LLC (now Purple Innovation, Inc.) in its merger with Global Partners Acquisition Corp., a SPAC, and related PIPE offering of Class A Common Stock and listing on the NASDAQ capital market
  • Represented Amesite, Inc. in its reverse merger transaction with Lola One Acquisition Corp.
  • Represented Energy Fuels Inc.  in its acquisition by Uranerz Energy Corporation
  • Represented Rezolute, Inc. in its reverse merger transaction with Fits My Style Inc.
  • Represented Franklin Covey Co. in multiple acquisitions

Selected IPOs, Follow-Ons and Secondary Offerings:

  • Represented Rezolute, Inc. in its $40 million private placement
  • Represented Purple Innovation Inc. in its 2020 registered secondary offering of Class A Common Stock
  • Represented Lipocine Inc. in its 2020 Registered Direct Offering to institutional investors
  • Issuer’s counsel for Avinger, Inc. in multiple public offerings of common stock
  • Represented Purple Innovation, Inc. in its 2019 registered secondary offering of Class A Common Stock
  • Represented Lipocine Inc. in its 2019 confidentially marketed public offering of common stock and warrants
  • Issuer’s counsel for Aytu BioScience, Inc. in its public offering of common stock, preferred stock, and warrants
  • Issuer’s counsel for Aytu BioScience. in its registered direct offerings
  • Issuer’s counsel for Aytu BioScience, in its at-the-market offering
  • Issuer’s counsel for Purple Innovation, Inc. in its PIPE offering of Class A Common Stock
  • Issuer’s counsel for BSD Medical Corporation in a shelf takedown and Registered Direct Offering to institutional investors 
  • Issuer’s counsel for BSD Medical Corporation in its shelf takedown and at-the-market (ATM) offering
  • Issuer’s counsel for Lipocine Inc. in its post-effective amendment S-1 in connection with a PIPE offering to institutional investors
  • Issuer’s counsel Nu Skin Enterprises, Inc. in a registered secondary offering of Class A Common Stock

Industries & Practices

  • Banking & Financial Institutions
  • Blockchain & Digital Assets
  • Canada
  • Capital Markets
  • Corporate Governance & Compliance
  • Emerging Companies
  • Energy & Natural Resources
  • Food, Beverage & Agribusiness
  • Franchise & Distribution Law
  • Healthcare
  • Mergers & Acquisitions
  • Mining

Professional & Civic

Professional Achievements

  • Colorado General Counsel Mentor Program, 2020
  • Serves as Guardian Ad Litem for the Rocky Mountain Children's Law Center

Accolades

  • Recognized as a “40 Under 40” winner by the Denver Business Journal, 2018
  • Named a 2015 Leadership Council on Legal Diversity (LCLD) Fellow
Anthony Epps