Securities Offering Structuring and Due Diligence

Sample Harbor Securities

We provide securities offering structuring and due diligence support for OTC-quoted and public-company issuers preparing for capital markets transactions. Our services are designed for management teams, boards, and their legal and financial advisors who are considering a registered offering, private placement, or other securities transaction. Typical engagements include reviewing potential offering structures and terms, assessing how a proposed transaction fits the issuer's capital needs and existing capitalization, and coordinating the due diligence process with company counsel, auditors, and other advisors. Where appropriate and permitted, we also conduct investor outreach in connection with the offering. All activities are conducted within the scope of our firm's registrations and approvals. Issuers typically engage us through an initial consultation to discuss transaction objectives, timing, and current disclosures. Following that review, we outline a proposed scope of work and engagement terms. Throughout the process, we coordinate closely with your existing advisors so that structuring, diligence, and outreach efforts remain aligned.