About The Principal
David has been involved in the Capital Markets for nearly a decade. He has diverse knowledge of financial, legal and operations management; public company management, accounting, private placements, audit preparation, capital raising, due diligence reviews, and SEC regulations.
Other expertise include: capital restructuring, reverse merger, debt financing, SPAC, equity lines, and mergers and acquisitions. David has additional experience in assisting OTC listed companies prepare for a Nasdaq Uplisting.
Investment Philosophy
In other investment scenarios, when management is already on the right track, we merely invest to join in for the ride. Although this investment strategy comes with substantial high risk, we believe that it can bear great reward. Through our meticulous Due Diligence process that is conducted on every potential investment, we feel that we can properly mitigate our risk.
Distressed and Special Situations Investing
We invest in distressed assets from large parent companies on the private side in need of restructuring. Before any investment is made, our team assesses the division's operations, including its management team, employees, processes, and systems. Identify areas of inefficiency or weakness that may require restructuring or investment.
After acquiring the company, our main objective is to take an active role in the company's operations or working with management to implement changes that can improve the company's performance.
In The News
SAN FRANCISCO, Sept. 18, 2023 (GLOBE NEWSWIRE) -- Titan Pharmaceuticals, Inc. (NASDAQ: TTNP) ("Titan" or the "Company") announced today that it has entered into a definitive securities purchase agreement (the “Purchase Agreement”) with The Sire Group Ltd. (“Sire Group”) for the sale of the Company’s newly designated Series AA Convertible Preferred Stock (the “Preferred Stock”).
Blog
Long before SPACs became a big hit on Wall St. there were “ordinary” Reverse Mergers on the Nasdaq & NYSE with small operating companies that no longer had a need to be public.
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So before we begin let’s start by defining a few key terms: 1. S-1 is a registration statement filing that gets submitted for examination and final approval by the SEC. Once approved the company can raise money based upon the terms set forth within the S-1 (i.e.) minimum/maximum of…
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