James Guttman
PEOPLE

James Guttman

Partner
guttman.james@dorsey.com

Overview

JAMES ADVISES PUBLICLY-TRADED COMPANIES AND CLOSELY-HELD COMPANIES WITH RESPECT TO CORPORATE AND TRANSACTIONAL MATTERS, WITH A FOCUS ON MERGERS AND ACQUISITIONS, PUBLIC AND PRIVATE OFFERINGS, AND FINANCING TRANSACTIONS.

As a partner in the firm’s Capital Markets & Corporate Governance and Compliance Practice Group and the firm’s Mining Industry Group, James specializes in Canadian/U.S. cross border transactions.

Further, James advises clients with respect to regulatory and compliance issues, including compliance with the rules and regulations of the Securities and Exchange Commission, state securities bureaus and self-regulatory organizations, and he prepares the periodic and current reports required to be filed by public companies. James’ experience also includes advising companies on listing compliance standards of the New York Stock Exchange, Nasdaq, OTCQX marketplace, OTCQB marketplace and the NYSE American.

Education & Admissions

American University Washington College of Law (J.D., 2007), magna cum laude (Dual J.D/LL.B. degree program), Class Rank: Top 6%

University of Ottawa, Faculty of Law (Bachelor of Law, 2008), (Dual J.D./LL.B. degree program)

University of Western Ontario, Richard Ivey School of Business (Bachelor of Arts, Honours Business Administration, 2004), Graduated with Distinction

Admissions

  • New York
  • Licensed Foreign Legal Consultant in Ontario

Languages

  • English, French

Experience

Representative Transactions

Recent Financing Activities

  • Counsel to Banro Corporation (NYSE MKT) in its $252.5 million recapitalization (April 2017)
  • Counsel to Energy Fuels Inc. (NYSE MKT) in its $20 million at-the-market equity financing (December 2016)
  • Counsel to Energy Fuels Inc. (NYSE MKT) in its $13 million equity financing (September 2016)
  • Counsel to BMO Nesbitt Burns as lead underwriter for Golden Star Resources (NYSE MKT) in its $34.5 million equity financing offering and (August 2016)
  • Counsel to BMO Capital Markets as the initial purchaser for Golden Star Resources (NYSE MKT) in its $65 million convertible debenture offering (August 2016)
  • Counsel to Belo Sun Mining Corp. (TSX) in its Cdn$75 million equity financing (July 2016)
  • Counsel to Orezone Gold Corporation (TSX-V) in its Cdn$26.5 million equity financing (July 2016)
  • Counsel to Dundee Precious Metals Inc. (TSX) in its Cdn$54.7 million equity financing (July 2016)
  • Counsel to Nemaska Lithium Inc. (TSX) in its Cdn$69 million equity financing (July 2016)
  • Counsel to RTG Mining Inc. (TSX) in its $15 million equity financing (July 2016)
  • Counsel to Energy Fuels Inc. (NYSE MKT) in its $100 million shelf registration statement (April 2016)
  • Counsel to Energy Fuels Inc. (NYSE MKT) in its $12 million equity financing (April 2016)
  • Counsel to Nobilis Health Corp. (NYSE MKT) in its Cdn$70.6 million financing (May 2015)
  • Counsel to GMP Securities as lead underwriter for North American Energy Partners Inc. in its Cdn$60 million equity financing (May 2014)
  • Counsel to Altius Minerals Corporation (TSX) in its Cdn$65 million equity financing (May 2014)
  • Counsel to Energy Fuels Inc. (NYSE MKT) in its $100 million shelf registration statement (March 2014)
  • Counsel to Banro Corporation (NYSE MKT) in its $40 million convertible preferred share financing (February 2014)
  • Counsel to Concordia Healthcare Corp. in its Cdn$34.5 million equity financing (December 2013)
  • Counsel to Avalon Rare Metals Inc. (NYSE MKT) in its $500 million shelf registration statement (September 2013)  

Recent Mergers and Acquisitions

  • Counsel to Eldorado Gold Corporation (NYSE) in its approximately Cdn$590 million acquisition of Integra Gold Corp (TSX-V) (July 2017)
  • Counsel to Entrée Gold Inc. (NYSE MKT) in its spin-off of Mason Resources Ltd. (TSX-V) (May 2017)
  • Counsel to Kirkland Lake Gold Inc. (TSX) in connection with its Cdn$1.2 billion business combination with Newmarket Gold Inc. (TSX) (December 2016)
  • Counsel to Kirkland Lake Gold Inc. (TSX) in its acquisition of St Andrew Goldfields Ltd. valued at Cdn$178 million (January 2016)
  • Counsel to Energy Fuels Inc. (NYSE MKT) in its acquisition of Uranerz Energy Corp. (NYSE MKT) (June 2015)
  • Counsel to Sphere 3D Corporation (NASDAQ) in its acquisition of Overland Storage Inc. (NASDAQ) valued at approximately $81 million (December 2014)
  • Counsel to Rio Alto Mining Ltd. (TSX) in its acquisition of Sulliden Gold Corp. Ltd. valued at approximately $300 million (August 2014)
  • Counsel to Vitran Corporation Inc. (NASDAQ) in its acquisition by a subsidiary of TransForce Inc. valued at approximately $136 million (March 2014)
  • Counsel to Dominion Diamond Corporation in its $550 million acquisition of BHP Billiton Canada Inc’s interest in the Ekati Diamond Mine (April 2013)
  • Counsel to Harry Winston Diamond Corporation (NYSE) in its $750 million sale of its luxury diamond jewelry and timepiece division to The Swatch Group Ltd. (March 2013)
  • Counsel to B2Gold Corp. (TSX) in its Cdn$1.1 billion merger with CGA Mining Limited (January 2013)
  • Counsel to Queenston Mining Inc. (TSX) in its Cdn$550 million acquisition by Osisko Mining Corporation (December 2012)
  • Counsel to Minefinders Corporation Ltd. (TSX) in its Cdn$1.5 billion acquisition by Pan American Silver Corp. (March 2012)
  • Counsel to Eldorado Gold Corporation (NYSE) in its $2.4 billion acquisition of European Goldfields Ltd. (February 2012)    

Recent Listing Activities

  • Counsel to SilverCrest Metals Inc. on its NYSE American listing (2018)
  • Counsel to Titan Medical Inc. on its NASDAQ listing (2018)
  • Counsel to Kirkland Lake Gold Ltd. on its NYSE listing (2017)
  • Counsel to Caledonia Mining Corporation Plc on its NYSE American listing (2017)
  • Counsel to Americas Silver Corporation on its NYSE MKT listing (2017)
  • Counsel to Sphere 3D Corporation on its NASDAQ listing (2014)
  • Counsel to Energy Fuels Inc. on its NYSE MKT listing (2013)
  • Assisted over 100 Canadian issuers on their trading on the OTCQX and OTCQB marketplaces including Bombardier Inc., Ivanhoe Mines Ltd., American Hotel Income Properties REIT, and Granite Oil Corp.   

News & Resources

Articles

The SEC Adopts New Rules Regarding Mining Disclosure
Canadian Cannabis Companies Begin to Trade on National Stock Exchanges in the United States
Recent NYSE and NYSE American Announcements
Changes to Upcoming Auditor’s Reports
Compliance with XBRL for Foreign Private Issuers that Prepare their Financial Statements in Accordance with IFRS Required Beginning with Annual Reports for Fiscal Periods Ending on or after December 15, 2017
Compliance with XBRL for Foreign Private Issuers that Prepare their Financial Statements in Accordance with IFRS Required Beginning with Annual Reports for Fiscal Periods Ending on or after December 15, 2017
Securities Law Matters to Consider for 2017
"Guide to Joining the OTCQX or the OTCQB Marketplaces for Canadian and Other Foreign Issuers" (co-authors Kenneth Sam, Chris Doerksen, Jason Brenkert, James Guttman)
“Guide to Listing on the OTCQX for Canadian Issuers” (co-authors, Kenneth Sam, Christopher Doerksen, Jason Brenkert and James Guttman)

News & Press Mentions

Dorsey & Whitney Names New Partners

Select Presentations

  • United States securities law presentations to various Canadian law firms (2017)
  • United States securities law presentations to various Canadian law firms (2016)
  • United States securities law presentations to various Canadian law firms and investment banks (2012)

Industries & Practices

  • Canada
  • Capital Markets
  • Corporate Governance & Compliance
  • Energy & Natural Resources
  • Food, Beverage & Agribusiness
  • Healthcare
  • Mergers & Acquisitions
  • Mining
  • Oil & Gas
  • Public Finance
  • Technology

Professional & Civic

Professional Achievements

  • New York State Bar Association
James Guttman