Capital Markets



"They're terrific - they're very reliable and extremely responsive." "They have a deep understanding of our business." "I have found their work to be incredible."
Chambers USA, 2013, NJ and CT Corporate/M&A

Day Pitney's Capital Markets team has served as counsel to corporate issuers and investment banks in a variety of public and private securities offerings. We regularly advise our clients on capital markets transactions in various industries. Our practice is integrated with other relevant practice areas, such as tax, employee benefits and energy. We seek to provide our clients with dedicated, responsive, practical and efficient legal representation.

Our team has extensive experience and sophistication in capital markets transactions, including the following:

  • Universal shelf registrations and takedowns for both WKSIs and non-WKSIs
  • Equity offerings
  • Convertible and nonconvertible debt offerings
  • Rule 144A equity offerings
  • Private placements
  • Initial public offerings

The value of our experience, skills and resources is best exemplified through the following representative transactions:

  • Represented Keefe, Bruyette & Woods as underwriters' counsel in a $42 million offering of common stock
  • Represented Peapack-Gladstone Financial Corp. in a $50 million "at-the-market" public offering
  • Represented Raymond James & Associates as underwriters' counsel in an initial public offering by a bank holding company
  • Represented Independent Bank Corp. in a $35 million private placement of fixed-to-floating rate subordinated notes
  • Represented Darien Rowayton Bank in a $10 million private placement of preferred stock
  • Represented Peapack-Gladstone Financial Corp. in a $42 million subscription rights offering with backstop purchasers
  • Represented Nephros Inc. in three separate subscription rights offerings
  • Represented National Securities Corp. as placement agent's counsel in several private placement transactions
  • Represented 1st Constitution Bancorp in a subscription rights offering
  • Represented Alleghany Corp. in a $400 million registered offering of senior notes
  • Represented Rudolph Technologies in a $60 million offering of convertible notes under Rule 144A
  • Represented Chaarat Gold Holdings Ltd. as U.S. counsel in an $83 million offshore offering under Regulation S
  • Represented Stifel, Nicolaus & Co. as underwriters' counsel in a $39 million equity offering by Sterling Bancorp
  • Represented Alleghany Corp. in a $300 million registered offering of senior notes
  • Represented National Securities Corp. as placement agent counsel in a series of private note offerings aggregating approximately $30 million
  • Represented Najeti Capital as selling stockholder counsel in IPO involving Annie's Inc.
  • Represented issuer in a PIPE equity offering
  • Represented 1st Constitution Bancorp in a subscription rights offering
  • Represented majority stockholder in the sale of majority interest in public offering by Investors Capital Holdings Ltd.
  • Represented Eastman Kodak Co. as New Jersey counsel in a $250 million Rule 144A offering
  • Represented Valley National Bancorp in connection with a $73.1 million at-the-market public offering of common stock
  • Represented Valley National Bancorp in connection with a $65 million registered direct offering of common stock
  • Represented First Commonwealth Financial Corp. in connection with its $115 million public offering of common stock
  • Represented Hudson Valley Holding Corp. in connection with a $99.8 million public offering of common stock
  • Represented Stifel, Nicolaus & Co. in connection with a $69 million equity offering by Sterling Bancorp
  • Represented underwriters in a $459.3 million public offering of bonds
  • Represented initial purchasers in a $200 million offering of notes pursuant to Rule 144A
  • Represented underwriters in a public offering of $85.9 million of senior secured bonds pursuant to a registration statement
  • Represented Fuel Systems Solutions Inc. in connection with its $30 million registered direct offering of common stock
  • Represented Central Vermont Public Service Corporation in connection with its $24.9 million public offering of common stock
  • Represented Community National Bank in connection with its registration statement for issuance of up to $19.5 million of common stock