Kevin Friedmann is Chairman of the Corporate Department of Mitchell Silberberg & Knupp (MSK) and a member of MSK's Governing Board. He focuses his practice on corporate and securities law, particularly corporate finance and mergers & acquisitions for publicly traded companies. He is particularly known for completing complex mergers, acquisitions and corporate finance transactions for emerging growth technology companies, having counseled numerous issuers, underwriters, and placement agents in all areas of the corporate finance field. Mr. Friedmann has extensive experience representing early stage private companies in venture capital financings as well.
Mr. Friedmann represents public and private companies spanning a broad spectrum of technology sectors, including numerous biotechnology, life sciences, data analytics, information technology and digital media companies. He guides them through each phase of going public, mergers and acquisitions transactions, public and private offerings and U.S. stock exchange listings. Mr. Friedmann has extensive experience representing issuers and underwriters in underwritten IPOs and follow on public offerings and has counseled issuers and investors in completing tender offers. His expertise includes all forms of Securities Act registration and Exchange Act reporting. Mr. Friedmann also counsels issuers in complying with their continued listing requirements, and has had numerous successful appearances before the NASDAQ Hearings Panel in Washington, D.C.
- Represent Helios and Matheson Analytics Inc. (NASDAQ: HMNY) in its offering of $100M in convertible notes to further increase its stake in MoviePass™.
- Represent Helios and Matheson Analytics Inc. (NASDAQ: HMNY) in its acquisition of a majority stake in movie theater subscription technology company MoviePass Inc. for $27 million and a concurrent $10.3 million convertible note financing of HMNY from an institutional investor to finance part of the investment in MoviePass™.
- Represent Cadiz Inc. (Nasdaq: CDZI), in its $60 million senior debt transaction with funds affiliated with Apollo Global Management, LLC to initiate funding for the construction and implementation of the Cadiz Valley Water Conservation, Recovery & Storage Project.
- Represented Ta Chen Stainless Pipe Co., Ltd., a publicly traded Taiwan corporation, in its $55 million purchase, through its wholly-owned subsidiary, Ta Chen Investment Corporation, of Empire Resources, Inc. (NASDAQ: ERS), a distributor of value-added, semi-finished aluminum and steel products. The acquisition has since become a finalist for The M&A Advisor Deal of the Year Award (2017) in the categories of Materials Deal of the Year and Cross Border Deal of the Year ($50MM - $100MM).
- Issuer’s counsel in underwritten public offering of Cadiz Inc. (Nasdaq: CDZI), with B. Riley & Co., LLC acting as sole book-runner in the offering. Cadiz Inc. is a renewable resources company that owns 70 square miles of property with significant water resources in Southern California. The proceeds will fund ongoing development of the Cadiz Valley Water Conservation, Recovery and Storage Project.
- Represented Helios and Matheson Analytics Inc. (NASDAQ: HMNY) in its merger with Zone Technologies, Inc., the creator of the mobile RedZone Maps global crime mapping application, whose mission is to enhance personal safety worldwide. The merger has since become a finalist for The M&A Advisor Deal of the Year Award (2017) in the categories of Information Technology Deal of the Year ($10MM – $50MM), Corporate/Strategic Deal of the Year ($10MM - $25MM), and M&A Deal of the Year ($10MM - $25MM).
- Represented VBI Vaccines Inc. (NASDAQ: VBIV) in its merger with SciVac Therapeutics, Inc. (TSX: VAC)(OTCQX: SVACF). The merged company is listed on the NASDAQ Capital Market under the symbol “VBIV” and on the Toronto Stock Exchange under the symbol “VBV. The merger has since become a finalist for The M&A Advisor Deal of the Year Award (2016).
- Private placement of common stock of VBI Vaccines Inc. (NASDAQ: VBIV), led by institutional investors RTW Investments, ARCH Venture Partners and Perceptive Advisors.
- Series A Preferred Stock financing of Reload Studios, Inc., a virtual reality entertainment developer based in Los Angeles, California. World Innovation Lab, a technology investment firm based in Silicon Valley and Tokyo, Japan, acted as lead investor.
- Issuer’s counsel in private placement of equity-linked securities of Uni-Pixel, Inc. (NASDAQ: UNXL) to two institutional investors. Cowen and Company, LLC acted as sole placement agent for the financing. Uni-Pixel develops Performance Engineered Films™ for the touch screen, flexible printed electronics and display markets.
- Buyer’s counsel in acquisition by Uni-Pixel, Inc. (NASDAQ: UNXL), through its wholly owned subsidiary, Uni-Pixel Displays, Inc., of the manufacturing assets of Atmel Corporation's (NASDAQ: ATML) XSense® touch sensors group, together with the licensing of patents and intellectual property from Atmel for the use of XSense-related technologies. Also counseled UniPixel in its licensing of fine line technology from Atmel's partner, CIT Technology Limited, a wholly owned subsidiary of Carclo plc (LSE: CAR), with minimum royalties during the initial term. Cowen and Company, LLC acted as exclusive financial advisor to UniPixel on the acquisition and licensing transactions.
- Issuer’s counsel in underwritten follow-on public offering of common stock of ClearSign Combustion Corporation (NASDAQ: CLIR), an emerging leader in combustion and emissions control technology for industrial, commercial and utility markets. MDB Capital Group, LLC acted as underwriter for the offering.
- Borrower’s counsel to VBI Vaccines Inc. (NASDAQ: VBIV) in entering into a venture debt facility from Perceptive Advisors, LLC, a New York based life sciences fund with approximately $1 billion under management. VBI Vaccines is a biopharmaceutical company developing novel technologies that seek to expand vaccine protection in large underserved markets.
- Borrower’s counsel to Response Genetics, Inc. (NASDAQ: RGDX) in entering into a venture debt facility from SWK Funding LLC, a wholly-owned subsidiary of SWK Holdings Corporation. Response Genetics is a CLIA-certified clinical laboratory focused on the development and sale of molecular diagnostic testing services for cancer.
- Borrower’s counsel to Viveve Medical, Inc. in entering into a venture debt facility with Square1 Bank. Viveve Medical is a life sciences company focused on women’s health.
- Counsel to Variation Biotechnologies (US), Inc. in its merger with Paulson Capital (Delaware), Inc. (NASDAQ: PLCC) and concurrent private placements. The post-merger entity, VBI Vaccines, Inc., is listed on the NASDAQ Capital Market under the symbol VBIV.
- Counsel to Sysorex Global Holdings Corp. (NASDAQ: SYRX) in its acquisition of AirPatrol Corporation. Sysorex is a provider of cyber security, data analytics, custom application development, cloud solutions, Mobile/BYOD solutions and strategic outsourcing to government and commercial clients in major industries around the world. AirPatrol is a developer of location-based cybersecurity and commercial services systems for mobile devices.
- Issuer’s counsel to Sysorex Global Holdings Corp. (NASDAQ: SYRX) in connection with its initial public offering (IPO). Wellington Shields & Co., LLC and Dougherty & Company LLC acted as the co-managing underwriters in connection with the IPO.
- Issuer’s counsel to ClearSign Combustion Corporation (NASDAQ: CLIR) in its registered direct public offering. Brean Capital, LLC acted as underwriter for the offering.
- Issuer’s counsel to Ideal Power Inc. (NASDAQ: IPWR) in its initial public offering (IPO). MDB Capital Group LLC acted as the Managing Underwriter and Northland Capital Markets acted as the co-managing underwriter for the IPO.
- Issuer’s counsel to Uni-Pixel, Inc. (NASDAQ: UNXL) in its underwritten public offering of common stock. Cowen and Company LLC acted as underwriter for the offering.
- Issuer’s counsel to ClearSign Combustion Corporation (NASDAQ: CLIR) in its initial public offering of common stock. MDB Capital Group, LLC acted as underwriter for the offering.
Honors & Awards
- 16th Annual M&A Advisor Awards Finalist (2017)
- 15th Annual M&A Advisor Awards Finalist (2016)
- New York Metro Super Lawyers (2014)
- Southern California Rising Stars – Super Lawyers (2008)
Professional, Business and civic Affiliations
- Co-Chair, MSK Diversity & Inclusion Committee
Other Career Experience
- Predecessor Firm, Richardson & Patel LLP
- Corporate Associate, Loeb & Loeb LLP
- Judicial extern for the Hon. Terry J. Hatter, Jr., Chief Judge of the United States District Court for the Central District of California
- November 14, 2017
- November 13, 2017
- September 18, 2017
- August 17, 2017
- May 11, 2017
- Cadiz Inc. Announces Strategic Transaction With Apollo Global Management to Finance Cadiz Water Project ConstructionMay 2, 2017
- December 13, 2016
- December 6, 2016
- December 6, 2016
- August 26, 2016
- June 21, 2016
- June 20, 2016
- May 9, 2016
- October 28, 2015
- July 1, 2015
- July 1, 2015
- October 2014
- September 5, 2014
- September 4, 2014
- September 3, 2014
- April 2014
- December 5, 2013
- February 15, 2016
Events & Speaking Engagements
- December 1, 2015
- Emerging Growth Companies Pursuing IPOs May be Forced to Disclose More than the JOBS Act Requires2012
- District of Columbia
- New York
University of Southern California Gould School of Law, J.D., 1998
University of Chicago, B.A. with Honors in History & International Relations, 1993