Anthony J. Marsico

Anthony has more than 30 years of experience advising financial institutions, investment banks, underwriters, placement agents, broker-dealers, trading firms, private equity firms, hedge funds, family offices, and other private investors. He also counsels publicly traded and closely held domestic and international companies across a broad range of securities and corporate-finance matters.

Anthony’s practice spans the full spectrum of public and private equity and debt capital markets transactions, including initial public offerings, fully marketed and “alternative” or “hybrid” follow-on public securities offerings (including registered-direct offerings and confidentially marketed or “wall-cross” public offerings), “overnight” or “bought” deals, at-the-market offerings (ATMs), and public and privately placed committed equity facility financings (ELOCs).  He also advises on traditional and structured equity and debt private investments in public companies (PIPEs), debt-for-equity exchanges, and a variety of cross-border securities offerings, particularly U.S./Canadian cross-border public securities offerings for companies with dual listings of securities on Canadian and U.S. securities exchanges.

Anthony has extensive experience in various industries, including life sciences, medical devices, pharmaceuticals, technology, cryptocurrency and digital assets, manufacturing, retail, food and beverage, mining and natural resources, cleantech, and financial services.

Prior to Taft

Capital Markets

• Northland Securities, Inc., and The Benchmark Company, LLC: Represented underwriters in a confidentially marketed public offering (CMPO) of common stock of Blaize Holdings, Inc.
• Cohen & Company Capital Markets: Represented placement agent in registered direct public offering of Class A common stock and pre-funded warrants to purchase Class A common stock of Bakkt, Inc. (f/k/a Bakkt Holdings, Inc.).
• The Benchmark Company, LLC, Virtu Americas LLC, Clear Street LLC, Cohen & Company Capital Markets, Macquarie Capital (USA) Inc., Rosenblatt Securities Inc., and Roth Capital Partners, LLC: Represented sales agents in an at-the-market offering (ATM) of Class A common stock of Bakkt, Inc.
• The Lind Partners: Represented private investment firm in several structured equity and debt PIPE investments and committed equity line financing transactions.
• Clear Street LLC and Needham & Company, LLC: Represented underwriters in a confidentially marketed public offering of common stock of Streamex Corp. (f./k/a BioSig Technologies, Inc.), an institutional commodity tokenization company.
• Cantor Fitzgerald & Co. and Roth Capital Partners, LLC: Represented joint placement agents in PIPE offering of common stock and pre-funded warrants to purchase common stock of Heritage Distilling Holding Company, Inc., involving a token exchange component, with support from Story Foundation and other leading institutional investors, to support the launch of a first-of-its-kind $IP token digital asset treasury strategy, making Heritage the first Nasdaq-listed company to adopt $IP as its primary reserve asset.
• Clear Street LLC and Cohen & Company Capital Markets: Represented underwriters in a confidentially marketed public offering of Class A common stock and pre-funded warrants to purchase Class A common stock of Bakkt, Inc.
• Prenetics Global Limited: Represented Nasdaq-listed global consumer health company in a registered direct public offering of Class A ordinary shares, together with Class A and Class B warrants to purchase Class A ordinary shares.
• Jupiter Neurosciences, Inc.: Represented Nasdaq-listed clinical-stage biopharmaceutical company in connection with a structured convertible note and standby equity purchase financings by Yorkville Advisors Global, LP; represented company in various corporate governance and SEC compliance matters.
• Roth Capital Partners, LLC, and Roth Principal Investments, LLC: Advised and assisted an investment bank in establishing new lines of business providing committed equity financing facilities and structured loans on a principal basis to public companies; represented broker-dealer and its principal investor affiliate in providing multiple committed equity financing facilities to public companies, including “de-SPAC” combined companies and a Nasdaq direct-listed, non-diversified closed-end management investment company.
• Roth Capital Partners, LLC, The Benchmark Company, LLC, Craig-Hallum Capital Group, LLC, Lake Street Capital Markets, LLC, Loop Capital Markets, LLC, and TCBI Securities, Inc., doing business as Texas Capital Securities: Represented underwriters in an initial public offering of Class A common stock of Gloo Holdings, Inc. and listing of Class A common stock on Nasdaq.
• A.G.P./Alliance Global Partners: Represented the lead underwriter in an initial public offering of equity securities of a special purpose acquisition corporation (SPAC) based in Hong Kong.
• Roth Capital Partners, LLC, Clear Street LLC, Rosenblatt Securities Inc. and The Benchmark Company, LLC: Represented underwriters in an initial public offering of ordinary shares of Redcloud Holdings plc, a public limited company organized under the laws of England and Wales, and listing of ordinary shares on Nasdaq.
• LTC Properties, Inc.: Represented NYSE-listed, self-administered health care REIT in an ATM offering of common stock, including forward sale option, with Citizens JMP Securities, LLC, BMO Capital Markets Corp., KeyBanc Capital Markets Inc., Wells Fargo Securities, LLC, Huntington Securities, Inc., and Wedbush Securities Inc., as sales agents and/or principal.
• ThinkEquity LLC: Represented lead underwriter in public offering of common stock and warrants of American Battery Materials Inc. and uplisting to the NYSE American exchange.
• Kartoon Studios, Inc.: Represented NYSE American-listed global content and brand management company in a two-tranche registered direct offering of common stock and pre-funded warrants to purchase common stock to an institutional investor; represented company in various corporate governance and SEC compliance matters.
• BioVie Inc.: Represented Nasdaq-listed, clinical-stage life sciences company in several registered direct public offerings of Class A common stock and warrants (including pre-funded warrants) to purchase Class A common stock through ThinkEquity LLC, as exclusive placement agent; represented company in various corporate governance and SEC compliance matters.
• TeraWulf Inc.: Represented Nasdaq-listed company that owns and operates vertically integrated, domestic bitcoin mining facilities in an ATM offering of its common stock through Cantor Fitzgerald & Co., B. Riley Securities, Inc., Northland Securities, Inc. and Compass Point Research & Trading, LLC, as sales agents; represented company in M&A transactions, corporate governance and SEC compliance matters and regulatory compliance matters.
• Cantor Fitzgerald & Co.: Represented investment bank as sales agent in an ATM offering of common stock of Lineage Cell Therapeutics, Inc.
• LifeMD, Inc.: Represented Nasdaq-listed telemedicine company in a wide range of capital markets offerings, including an ATM offering through Cantor Fitzgerald & Co. and B. Riley Securities, Inc., as sales agents, and follow-on public offerings of common and preferred stock underwritten by B. Riley Securities, Inc.; M&A transactions, corporate governance and SEC compliance matters, and regulatory compliance matters.
• B. Riley Securities, Inc.: Represented investment bank as lead underwriter in a variety of underwritten public offerings, and as sales agent in ATM offerings.
• B. Riley Principal Capital II, LLC: Represented subsidiary of B. Riley Financial, Inc., in establishing a committed equity financing facility line of business and represented the subsidiary as investor in numerous committed equity financing facilities for public companies, including several “de-SPAC” combined companies.
• Jefferies LLC; Stifel, Nicolaus & Company, Incorporated; Cantor Fitzgerald & Co.: Represented underwriters in a confidentially marketed public offering (CMPO) for KalVista, Inc.
• Oppenheimer & Co. Inc.: Represented sales agent in an ATM for VolitionRx Limited.
• AGP/Alliance Global Partners: Represented lead underwriter in initial public offerings and follow-on public offerings; represented placement agent in private placement.
• Aegis Capital Corp.: Represented lead underwriter in initial public offerings and follow-on offerings; represented lead placement agent in private placements and bridge financings.
• Joseph Gunnar & Co., LLC: Represented lead underwriter in initial public offerings and follow-on offerings; represented lead placement agent in private placements and bridge financings.
• Laidlaw & Company (UK) Ltd.: Represented lead underwriter in initial public offerings and follow-on offerings; represented lead placement agent in private placements and bridge financings.
• Chardan Capital Markets, LLC: Developed an ATM equity distribution program for broker-dealer; represented broker-dealer sales agent in various ATM transactions.
• KCG Holdings, Inc. (acquired by Virtu Financial, Inc. in 2017): Developed an ATM equity distribution program for broker-dealer; represented broker-dealer sales agent in various ATM transactions.
• BTIG, LLC: Developed an ATM equity distribution program for broker-dealer; represented broker-dealer sales agent in various ATM transactions.
• Noble Capital Markets, Inc.: Developed an ATM equity distribution program for broker-dealer; represented broker-dealer sales agent in various ATM transactions.
• Acqua Capital Management, Inc.: Structured and developed a variety of public and private equity line and structured debt financing products; represented affiliated investment funds in more than 60 equity line and structured debt transactions with an aggregate commitment of over $2 billion; general securities law representation.
• Terrapin Opportunity Fund, L.P.: Structured and developed a variety of public and private equity line products.
• Lincoln Park Capital, LLC: Represented private investment firm in more than 100 public and private committed equity financing transactions and structured equity and debt pipe investments over two decades.
• 3i Fund: Represented private investment fund in numerous structured equity and debt PIPE investments and committed equity line financing transactions.
• Magna, LLC: Represented private investment firm in numerous PIPE and equity line transactions.
• Nomis Bay Ltd.: Represented private investment firm in numerous PIPE and equity line transactions.
• Kalani Investments Ltd.: Represented private investment firm in numerous PIPE transactions.
• Kingsbrook Opportunities Master Fund LP: Represented private investment firm in equity line transactions.
• Hudson Bay Master Fund Ltd.: Represented private investment firm in PIPEs and equity line transactions.
• Iroquois Master Fund Ltd.: Represented private investment firm in PIPEs and equity line transactions.
• Stellar Biotechnologies, Inc.: Registered direct offering of equity securities.
• Invivo Therapeutics Holdings Corp.: ATM offering.
• Identive Group, Inc.: Equity line transaction; ATM offering.
• Cosi, Inc.: Registered subscription rights offering.
• Bionovo Inc.: PIPE and registered direct transactions; ATM and equity line transactions.
• Enzo Biochem, Inc.: Registered direct offering of equity securities; CMPO of equity securities.
• Advaxis, Inc.: PIPEs of equity and debt securities; equity line transactions.
• Commodore Separation Technologies, Inc.: Initial public offering of equity securities.
• Represented a software company and video game publisher in its initial public offering of equity securities.
• Compass Plastics & Technologies, Inc.: Initial public offering of equity securities.
• Josephthal Lyon & Ross Incorporated: Public offering of ordinary shares of Magal Security Systems, Ltd.
• Topjobs.net plc: Initial public offering of American depositary shares.
• Royce Investment Group, Inc.: Initial public offering of common stock of Grand Court Lifestyles, Inc.
• Xethanol Corporation: Public offering of equity securities; equity line transactions.
• HemoBiotech, Inc.: PIPE and public offering of equity securities.
• Seitel, Inc.: Registered warrant offering and Rule 144A/Regulation S offering of senior notes.
• Represented a Central American country in its Rule 144A/Regulation S sovereign debt offering.
• Itemus, Inc.: Canadian registered rights offering and simultaneous U.S. private placement of equity securities.
• Applica Incorporated: Public offerings of equity and debt securities.
• Greenwich Air Services, Inc.: Public offerings of equity and debt securities.
• Commodore Applied Technologies, Inc.: Initial public offering of equity securities.

Mergers and Acquisitions

• Mack-Cali Realty Corporation: Represented public REIT in acquisition of real estate interests and development and management businesses of Roseland Partners, LLC.
• Starwood Capital Group Global, L.P.: Represented consortium of funds led by Starwood Capital Group, L.P. (including affiliates of TPG Partners and Five Mile Capital Partners), in connection with bid to acquire Extended Stay Hotels, Inc., and its debtor affiliates through sponsored Chapter 11 plan of reorganization.
• Representation of bondholder group in connection with restructuring of unsecured debt claims in Chapter 11 reorganization of a major American corporation.
• Glenhill Capital Management, LLC: Acquisition (by cash merger) of Restoration Hardware, Inc., by Catterton Partners and equity co-sponsors.
• Telefonica, S.A./Terra Networks, S.A.: Stock-for-stock business combination with Lycos, Inc.
• Enzo Biochem, Inc.: Represented incumbent board in dissident shareholder election contest.
• Perry Ellis International, Inc.: Acquisition of certain assets and intellectual property of Liz Claiborne; acquisition of certain assets and intellectual property of London Fog Group; acquisition of substantially all domestic operating assets of Tropical Sportswear Intl Corporation; cash and stock-for-stock merger with Salant Corporation and related business combination transactions.
• Morgan Joseph & Co. Inc.: American Real Estate Partners (Carl C. Icahn) proposal acquisition of Lear Corp; AREP acquisition of Federal Mogul; various other fairness opinion and M&A advisory engagements.
• Applica Incorporated: Acquisition of assets of the Household Products Group of The Black & Decker Corporation and related business combination transactions.
• Greenwich Air Services, Inc.: Cash and stock-for-stock merger with subsidiary of General Electric Corporation and simultaneous acquisition of UNC Incorporated; acquisition of assets of the Engine Services Division of Aviall, Inc., and related business combination transactions.
• Natrol, Inc.: Acquisition of Natrol, Inc. through cash tender offer by Plethico Pharmaceuticals Ltd.
• iXL Enterprises: Merger of equals with Scient Corporation.
• Polyvision Corporation: Cash merger with Steelcase Inc. and representation of special committee of board of directors.
• Genesis Networks Inc.: Cash merger with subsidiaries of Global Crossing Limited.
• Wireless Telecom Group, Inc.: Disposition of substantially all assets of Willtek Communications GmbH to Aeroflex Incorporated.
• Home Diagnostics, Inc.: Represented Home Diagnostics, Inc. in sale (by cash tender offer and second- step merger) to Nipro Corporation of Japan.
• Berggruen Holdings N.A. Ltd.: Represented principal stockholder in connection with merger of Essilor International SA with FGX International Holdings Ltd.
• TTM Technologies, Inc.: Acquisition of the printed circuit board business of Meadville Holdings, Ltd.
• Hale Capital Partners, LP: Represented principal stockholder of Paradigm Holdings, Inc. in cash merger with subsidiary of CACI International Inc.
• Silvercorp Metals Inc.: Unsolicited Canadian cross-border exchange offer to acquire Klondex Mines Ltd.
• Enzo Biochem, Inc.: Acquisition of substantially all assets of Assay Designs, Inc.; acquisition of substantially all assets of Biomol International, L.P.; acquisition of all outstanding capital stock of Axxora Life Sciences, Inc.
• Wireless Telecom Group, Inc.: Acquisition of all outstanding capital stock of Willtek Communications GmbH.
• RFX Acquisition LLC (Robert F.X. Sillerman): Acquisition of controlling interest in Sports Entertainment Enterprises, Inc. and entities that control the commercial utilization of the name, image, and likeness of Elvis Presley and related businesses.
• Frequency Electronics, Inc.: Acquisition of Elcom Technologies, Inc.
• Seitel, Inc.: Chapter 11 reorganization transactions.
• VIE Financial Group, Inc.: Representation of special committee and audit committee of the board of directors; going-private transaction.
• United Auto Group, Inc.: Acquisition of stock of corporations operating auto dealerships located in Puerto Rico.
• American Securities Capital Partners, LP: Sale of Caribbean Restaurants, Inc., to Oak Hill Capital Partners, L.P.
• Sun Capital Securities, LLC: Stockholder activist initiatives and portfolio company acquisitions.
• CD Capital Partners, L.P. (Jay Pritzker Foundation, Zell Real Estate Partners II, LP): Stockholder activist initiatives.
• Mission Partners, LP: Proxy contest opposing election of Syntellect, Inc. incumbent director.
• Windstar Capital LLC: Purchase of substantially all of the assets of Aerothrust Corporation and related business combination transactions.
• Starwood Capital Group, LP: Hostile tender offer for limited partnership units in Scottsdale Land Trust Limited Partnership.
• T. Rowe Price: Sale of real estate assets to Glenborough Realty Trust Incorporated.
• Telkom SA Limited: International M&A transactions.
• H.I.G. Capital, LLC: Various control stake and public company portfolio investments.
• Acqua Capital Management LLC: Sponsored Buyouts and Portfolio Company Investments, M&A Hedge transactions.
• Glenhill Investment Partners: M&A Hedge Transactions and Portfolio Company Investments.
• Itemus, Inc.: Cross-border acquisition of Digital 4sight Corporation.
• Silverline Technologies, Ltd.: Stock-for-stock merger with Seranova, Inc. and related business combination transactions.
• Interiors, Inc.: Purchase of controlling interest in CSL Lighting Manufacturing, Inc.
• The Party Supermarket, Inc.: Sale of substantially all assets to Party City Corporation.
• PureTech, Inc.: Sale of substantially all operating assets to Williams Advanced Materials, Inc.