Stephen A. Cohen

Stephen Cohen is a partner in the Corporate Practice Group in the firm's New York office.

Areas of Practice

Stephen focuses his practice representing both issuers and underwriters in both public and private corporate finance transactions, including venture capital and private equity investments, initial public offerings, follow-on public offerings, shelf registrations, registered direct transactions, PIPEs, private placements, secondary market purchases, specialty finance and other securities offerings as well as in connection with mergers and acquisitions transactions. Stephen also advises companies and their boards on various securities law compliance and disclosure related issues as well as in connection with corporate governance matters. In addition, Stephen counsels broker-dealers, investment funds and investment advisors on legal, compliance, and fund-related matters, including fund formation as well as in connection with regulatory-related inquiries.

Experience

Issuer’s Counsel

• Represented BioXcel Therapeutics, Inc. (NASDAQ: BTAI) in its $60 million initial public offering
• Represented Aridis Pharmaceuticals, Inc. (NASDAQ: ARDS) in its $26 million initial public offering
• Represented Hoth Therapeutics, Inc. (NASDAQ: HOTH) in its initial public offering and subsequent follow on offerings
• Represented Workhorse Group, Inc. (NASDAQ: WKHS) in connection with its $35 million credit facility and term loan with Marathon Asset Management.
• Represented Synergy Pharmaceuticals, Inc. in its $125 million follow-on public offering
• Represented Synergy Pharmaceuticals, Inc. in its $200 million Convertible Note Rule 144A  offering
• Represented Synergy Pharmaceuticals, Inc. in its $17.25 million public offering and uplisting to Nasdaq, as well as a subsequent $51 million public offering
• Represented ContraVir Pharmaceuticals, Inc. (NASDAQ: CTRV) in its $7 million follow-on offering, as well as its subsequent $12 million follow-on offering
• Represented Genprex, Inc. (NASDAQ: GNPX) in its $17.5 million registered direct offering
• Represented Immune Pharmaceuticals, Inc. in its $18 million follow-on public offering
• Represented Synergy Pharmaceuticals, Inc. in its $50 million At-the-Market offering with Cantor Fitzgerald & Co.
• Represented ContraVir Pharmaceuticals, Inc. in its $50 million At-the-Market offering with Cantor Fitzgerald & Co.
• Represented Astrotech Corp. (NASDAQ: ASTC) in its $8 million At-the-Market offering with B. Riley FBR, Inc.

Underwriter’s Counsel

• Represented The Benchmark Company, LLC and FT Global Capital, Inc. as underwriter in connection with a follow on public offering of $62 million of American depositary shares (ADSs) of Wimi Hologram Cloud, Inc. (NASDAQ: WIMI)
• Represented WestPark Capital, Inc. as underwriter in connection with a $16 million Initial Public Offering of American depositary shares (ADSs) of AnPac Bio-Medical Science Co., Ltd. (NASDAQ: ANPC)
• Represented Ladenburg & Co., Inc. in connection with a $16.5 million follow on public offering of Jaguar Health, Inc. (NASDAQ: JAGX).
• Represented The Benchmark Company, LLC and ViewTrade Securities, Inc. in a $30 million at-the-market offering of India Globalization Capital, Inc.
• Represented Laidlaw & Company (UK) Ltd. as underwriter in connection with a $24 million Initial Public Offering of Viking Therapeutics, Inc. (NASDAQ: VKTX)
• Represented Laidlaw & Company (UK) Ltd. as underwriter in connection with a $18.5 million Initial Public Offering of PhaseRx Inc. (NASDAQ: PZRX)
• Represented Maxim Group LLC, as representative of the underwriters, in connection with a $9 million follow on offering of common stock and warrants and uplisting to NASDAQ for MYnd Analytics, Inc.

Investors’ Counsel

• Represented Arena Investors LP in connection with its investment in Chanticleer Holdings, Inc. (NASDAQ: BURG).
• Represented Arena Investors LP in connection with its investment in GOIP Global, Inc.
• Represented Amzak Health Investors LLC and Acorn Bioventures LP in connection with its investment in Regulus Therapeutics, Inc. (NASDAQ: RGLS)
• Represented Amzak Health Investors LLC in connection with its investment in GTx, Inc. (NASDAQ: GTXI)
• Represented Amzak Health Investors LLC in connection with its investment in Selecta Biosciences, Inc. (NASDAQ: SELB)
• Represented Ionic Ventures LLC in connection with its investment in Dthera Sciences, Inc.

Mergers and Acquisitions

• Represented Avant Diagnostics, Inc. in connection with the sale of substantially all of its assets to OncBioMune Pharmaceuticals, Inc.
• Represented RCX Capital Group, Inc. in connection with its joint venture with Ensenia Wealth, LLC.
• Represented Baker Technologies, Inc. in connection with its business combination with Briteside Holdings, LLC, Sea Hunter Therapeutics, LLC and Santé Veritas Holdings Inc. to form TILT Holdings Inc. and its subsequent private placement of $119M and listing on the Canadian Securities Exchange.
• Represented Datum Corporation in connection with the sale of substantially all of its assets to Datum Technologies, LLC
• Represented Synergy Pharmaceuticals, Inc. in connection with its spin off of ContraVir Pharmaceuticals, Inc.
• Represented Synergy Pharmaceuticals, Inc. in connection with its merger with Callisto Pharmaceuticals, Inc.
• Represented interclick, inc. in connection with its acquisition by Yahoo, Inc.
• Represented SinoEnergy Corporation in connection with its going private transaction.

* Includes some matters prior to joining SheppardMullin

Honors

Rising Star, Super Lawyers, 2014-2018

Legal 500, Mergers and Acquisitions, 2017

Articles

Advertising Law Blog Posts

• "Native TikTok Tools May Create Liability for Brands and Influencers," September 2, 2020

Corporate & Securities Law Blog Posts

• "SEC Releases Pay Versus Performance Disclosure Requirements For Public Companies," September 19, 2022

• "Primary And Secondary Market Corporate Credit Facilities," April 17, 2020

Media Mentions

Events