Seattle
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Overview
David helps clients access U.S. capital markets and provides support through all stages of cross-border transactions.
David advises clients on regulatory compliance, corporate governance, and capital market matters, including private and public offerings, at-the-market transactions, and listings on NYSE and NASDAQ markets. As an associate in Dorsey’s Capital Markets and Corporate Governance & Compliance practice groups, David reduces friction in cross-border transactions by anticipating and delivering timely guidance covering complex securities laws, exchange requirements, and regulatory frameworks across a range of industries. David also advises companies of all sizes on a broad spectrum of corporate transactions, financing matters, and SEC reporting obligations.
Experience
Representative Experience
- Represented a NYSE American-listed mining and exploration company in its $60 million at-the-market sale facility and SEC reporting matters.
- Represented a global gold and copper producer on its successful cross-listing to the NYSE and subsequent U.S. registration of employee incentive compensation.
- Represented the lead underwriter on a $63.3 million initial public offering.
- Represented a TSX-listed gold mining company on its successful cross-listing to the NYSE American and ongoing SEC reporting obligations.
- Represented a NASDAQ-listed domestic company in its $9 million private placement.
- Represented a gold mining, development, and exploration company on its successful up-listing to the NASDAQ Capital Market.
- Assisted several entrepreneurs, startups, and microenterprises with early-stage corporate issues involving formation, governance, operations, and financing.
