For IPO transactions, we have assisted our clients with:
- all corporate and commercial matters including corporate re-structuring;
- advising on securities under offer at IPO including shares, convertible notes, options and performance rights;
- applying for in-principle advice from ASX regarding listing and associated transactions;
- advising suspended ASX companies in relation to having suspension lifted
- ensuring relevant disclosures are included in the prospectus to investors based overseas;
- advising on ASX and ASIC compliance requirements;
- drafting all material agreements (e.g. acquisition agreements, licensing agreements, consultancy agreement, executive services agreement), corporate governance documentation (e.g. corporate governance statement, trading policy, audit committee, terms of options and performance rights);
- drafting of employee incentive securities plan;
- making relevant ASX submissions under various listing rules such as waiver applications
Following IPO, we continue to work closely with the Board of Directors and Company Secretary, and assist Companies for the following:
- their future capital raises to include private placements;
- entitlement offers;
- share purchase plan;
- review of ASX Announcements;
- making relevant ASX submissions;
- assisting with acquisitions;
- advising on compliance requirements, AGMs;
- drafting cleansing prospectuses and cleansing notices, etc
notable projects
listing and capital raising - mining company
Mining exploration company focusing on gold tenements and assets in Nevada, US and Australia -Pre-IPO. We conducted thorough due diligence to prepare for listing and are responsible for drafting of prospectus and preparation of all corporate and commercial documents in preparation for listing.
telecommunications company - pre - ipo
- Assisting client with pre-IPO raise of $3 million
- Liaising with US counsel and US counterparts
- Conducted thorough due diligence to prepare for listing on OTCQB.
- Drafting of prospectus and preparation of all corporate and commercial documents in preparation for listing.
medical product company - pre - ipo funds
Medical product company which developed an artificial skin technology - raised approximately $2m in pre-IPO funds
- Assisted with investor ready process of restructuring and general due diligence preparation
- Facilitated capital raising
- Prepared capital raising and listing prospectus
- Listed on European stock exchange
- Dealt with corporate and shareholder matters
neutraceutical company
Raised approximately $4m in pre and post-IPO funds
- Assisted with investor ready process of restructuring and general due diligence preparation
- Facilitated capital raising
- Prepared capital raising and listing prospectus
- Listed on European stock exchange
- Dealt with corporate and shareholder matters
agricultural company listed on asx
- Raised approximately $4.4m in post-IPO funds Completed various acquisitions and disposals of land and business assets
- Arranged capital raising
- Advised on reverse take-over and key business unit divestiture
- Liaising with ASX on ongoing basis
mining exploration company focusing on heavy mineral sands listed on asx
raised approximately $8 million at IPO
- Facilitated acquisition of mining tenements including draft and negotiate terms of acquisition agreements, tenement sale agreements, share sale agreements and licensing agreement with US monazite processing technology company
- Conducted thorough due diligence prior to listing
- Drafting of prospectus and preparation of all corporate and commercial documents required for listing
- Drafting of Independent Tenement Report or Solicitor's Report on Tenements
- Facilitate listing process until successful admission to the Official List of the ASX
- Assisted with entitlement offer of loyalty options and lead manager offer and drafting of prospectus post listing
listed entities
We have acted for various ASX and foreign-listed entities with their secondary capital raisings including entitlement offer/rights issue, placements and securities purchase plan, and assisting them throughout their listed life with acquisitions/divestments, further capital raisings, making relevant disclosures and submissions to ASX, complying with ASX and ASIC requirements, supporting them through AGMs etc. These companies range across various industries such as mining exploration, fintech and software, biotechnology, nutraceutical production, forestry resources etc.