Scott Schwartz

Formation, Financing and M&A

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I love representing innovative businesses and the people who build them. They are a part of my team, and I theirs, so that we can grow, manage risk, assemble a productive board and be ahead of the game on the cutting-edge legal issues they face.

Professional Background

My practice focuses on corporate and financial transactions, including mergers and acquisitions (buy side and sell side), public and private offerings of equity and debt, venture capital finance, fund formation, secured transactions, commercial contract and licensing negotiation, corporate restructurings, joint ventures, and board advisory corporate governance representation.

My clients are leaders in various industries including education technology, digital media, healthcare, software development, biotechnology, manufacturing, entertainment, hospitality and consumer products. They range from small technology startups to global media groups to Fortune 100 health plans.

I love combining experience in corporate and securities regulatory matters and governance best practices in public and private arenas with a practical, hands-on approach that focuses on weighing and addressing business needs and limiting legal risk. 

Helping companies hurdle novel obstacles, take the next step in executing their corporate strategy, and ultimately achieve exit or go-public end goals is what keeps me going. 

One minute I may be helping one client explore international growth and expansion, the next helping another client wrap up securing a needed regulatory license to execute a business strategy, and the next helping another prepare for a road show to move forward on a divesture tied to a strategic restructuring. By leading focused transactional teams, I help get the job done.  

Representative Experience With Emerging Companies

  • LePrix LLC (formerly SnobSwap LLC) in a series of seed convertible note financings to fund the startup of its business creating new ways for buyers to access “affordable luxury” and unique designer goods from boutique shops around the world.
  • Sayari Labs, Inc., a D.C.-based software development company, in multiple equity and debt financings including the company’s $10 million Series B equity financing. Sayari’s growth initiatives are to provide data intelligence platforms to help fight financial crime and to support critical national security mission sets. 
  • The lead investor in iMod Structures’ $11 million Series A financing to build out technologically advanced modular classrooms. The Vallejo, California-based startup supplies and services portable education needs for public schools to help relieve overcrowding. 
  • Jiko Securities, Inc., in securing its broker-dealer registration with FINRA, to enable it to execute its mission of making T-bills available to U.S. persons’ bank accounts through innovative software technology and brokerage services. 
  • Here Be Dragons, LLC, the immersive virtual reality content producer on its $10 million Series A financing led by Discovery Communications. 
  • Heliae Technology Holdings Inc., a strategic preferred investor in Triton Algae Innovations Ltd., in connection with the spin-off of Triton subsidiary Verdant Therapeutics Inc. and a concurrent recapitalization of Triton. Triton is an algae research biotechnology company focused on developing strains for human and animal application. Verdant is an algae pharmaceutical products development and commercialization company. As part of the deal, the parties entered into a series of new and amended license agreements.
  • Payment Ventures LLC, a seed fund focused on investments in early-stage seed startups, as lead investor in a seed round preferred stock investment in LocalBonus Inc., a network that allows its members to earn rewards automatically when shopping and eating locally at more than 800 merchant locations.
  • UpTo, Inc., formerly known as Rock City Apps, LLC, in the completion of its Series A2 round of venture financing, securing $1.5 million with certain options for additional investments within 12 months of closing.

Area of Focus

  • Public and private M&A
  • Digital media/entertainment
  • Digital health and online education
  • Spin-offs
  • Growth financings

My Advice to Entrepreneurs
  1. Buckle up—be unwavering in your goals and you will achieve them. Ignore the naysayers.
  2. Delegate. The more day-to-day pain points you can shift to your trusted team members (including outside general counsel), the more you can focus on setting and achieving long-term strategy goals.
  3. Remember to eat lunch! Whether you are face-to-face with one of your investors, reinforcing a job well done to an employee, or just taking ten minutes to yourself, it is important to step back and recharge mid-workday.