Craig F. Zappetti, Esq.
T: (609) 922-0484
- Commercial Transactions
- Executive Compensation Plans
- General Corporate
- Risk Management
- Securities & Private Equity
- New Jersey
- Certified Public Accountant – Pennsylvania (Inactive)
- George Washington University Law School, J.D., 1996
- Villanova University, B.S. Accounting, 1989 Cum Laude, B.S. Communication Arts, 1989 Cum Laude
Large Law Firm Experience:
- Saul Ewing, LLP
Mr. Zappetti has 20 years of business transactional, compliance and consulting experience primarily assisting clients in the following areas:
- Public company securities compliance issues:
- All aspects of the Securities Exchange Act of 1934, as amended.
- All aspects of the Securities Act of 1933, as amended.
- Proxy Rules.
- National Securities Exchange Rules including the New York Stock Exchange and NASDAQ Stock Market.
- Private Placement Offerings that allow business owners to raise start-up or growth capital.
- Mergers and Acquisitions.
- Representing sellers of businesses in both asset and stock sales, allowing them to realize life changing wealth events.
- Representing institutional and strategic acquirers in both purchases and mergers that allow them to grow their businesses or investment holdings.
- Venture Capital Financing Transactions.
- Represent venture capital funds in documenting investment transactions in portfolio companies.
- Represent companies in negotiating investment transactions with venture capital funds.
- Negotiate and document venture debt transactions.
- Corporate Governance Issues for both private and public companies.
- General corporate counsel services for both private and public companies.
- General contract review and negotiation.
- Drafting and negotiation of employment agreements with executive officers.
- Implementation of stock option plans and grants of equity compensation awards.
While these cross a wide variety of industries, Mr. Zappetti has developed a specialization in the following industries:
- Pharmaceutical drug development and medical device companies;
- Distressed real estate investment companies; and
- Microbreweries; and
- Title insurance companies.
Representative Transactions Include
- $90 million Convertible Promissory Note Offering pursuant to Rule 144A under the Securities Act of 1933.
- $50 million follow-on public offering of common stock.
- Sale of an employee benefits administrator to a strategic acquirer for $18 million.
- Royalty Stream Securitization Transactions that raised an aggregate of $105 million for a pharmaceutical drug development company.
- Sale of $1.5 Million of Series D Membership Interests to a Venture Capital Fund.
- $30 million venture debt financing.
- Sale of $5.5 million of membership interests to a private equity fund.
- Establishment of Affiliated Business Arrangements for Title Insurance Companies and Real Estate Brokers.
- Private placement offerings that have raised an aggregate of over $100 million.
- Served as Lead Editor of two volume set of SEC Rulebooks published by Vintage, a division of PR Newswire
- SEC Reporting Rules Forms 10-K, 10-Q, 8-K and SD.
- SEC Reporting Rules Proxy Statements
- Bringing Your Medical Device to Market – Author of Corporate Governance Chapter
- The Wistar Institute, Leadership Council
- MIT Enterprise Forum – Philadelphia Chapter – Executive Committee Member
- Strategic Investors Alliance – Board Member