PIPEs: A Guide to Private Investments in Public Equity, 2nd, Revised and Updated Edition

About the Contributors.

Acknowledgments.

Introduction (Steven Dresner).

Part 1. The Business of PIPEs.

1. Overview: An Emerging Market (Richard E. Gormley).

2. The Marketplace: A Statistical Summary (E. Kurt Kim).

3. A Historical Perspective: The Bubble, Converts, and the Birth of Structured PIPEs (James F. O'Brien Jr.).

4. The Players: Issues, Investors, Agents and Regulators (Steven Dresner and Brett Goetschius).

Part 2. Regulatory Landscape and Structural Alternatives.

5. The Law: Legand and Regulatory Framework (James R. Tanenbaum and Anna T. Pinedo).

6. Fundamental PIPEs: Typical Structures and Transactions (Eleazer Klein).

7. Registered PIPEs: Registered Direct Transactions (Joseph Smith).

8. Litigation Strategies: Manageing Litigation Risk and Addressing Other Investor Concerns (Perrie Weiner and Edward Totino).

Part 3. Deal Flow.

9. managing Risk: Securities Structures, Trading, and Deal Documentation (Steve Winters).

10. Due Deligence and Valuation Policy: Caveat Emptor Squared (Stewart Flink).

11. Reverse Mergers and PIPEs: The New Small-Cap IPO (David Feldman).

Afterword.

Glossary.

Index.