Mr. Servidio’s recent deal experience includes:
- Representation of issuer and investment bank clients on equity-linked capital-raising transactions, including convertible bond offerings, bond hedge and warrant/capped call overlays, issuer stock borrow/ prepaid forward arrangements, at-the-market (ATM) offerings and forward stock offerings with fixed price or ATM executions.
- Representation of issuer and investment bank clients on accelerated share repurchase transactions, common stock buy-back programs and convertible note repurchase strategies.
- Representation of corporate and investment bank clients on hedging and monetization strategies; derivative share acquisition and disposition transactions and other structured equity solutions.
- Representation of development teams and venture capital firms on investments in DEXs, Dapps and DeFi protocols, including SAFEs, Series A, token purchase agreements and other early-stage financings.
- Negotiating prime brokerage, securities and financing documentation such as listed and cleared execution, custodial/tri-party, Master Repurchase, Global Master Repurchase, Master Securities Loan and Master Securities Forward Transaction Agreements.
- Negotiating derivatives documentation such as ISDA Master Agreements, Credit Support Annexes, collateral agreements, and master confirmations.
Mr. Servidio’s recent regulatory experience includes:
- Advising clients on the Commodity Exchange Act; CFTC, CME and ICE regulations; CFTC and NFA registrations and examinations, CFTC enforcement matters; as well as considerations for the sales, trading and financing of Bitcoin, Ether and other virtual currencies.
- Advising clients on Securities Act, Securities Exchange Act, SEC, FINRA, NYSE and Nasdaq issues raised by equity derivative transactions; as well as investments in security tokens, distributed ledger infrastructure and digital asset trading platforms.
- Advising clients on Dodd-Frank Act rules including Title VII swap and security-based swap rule implementation, as well as compliance with ISDA protocols and CFTC swap documentation, reporting, clearing, margin and collateral segregation requirements.
- Advising clients on banking agency regulations regarding swaps and other derivatives, including on the replacement of LIBOR with the SOFR or other alternative reference rates.