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James O'Grady

Partner

New York
T: +1 646.414.6849 M: +1 917.355.1856 jogrady@lowenstein.com
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James O'Grady has nearly 20 years of experience advising companies, underwriters, and investment funds on public capital markets transactions. His practice spans a wide range of industries, including sustainability, technology, media, fintech, digital assets, consumer retail, and life sciences. Across all client groups, Jamie’s focus is singular: translating complex market and regulatory constraints into practical, clear strategies that enable clients to execute transactions effectively and achieve their objectives.

For public companies and underwriters, Jamie concentrates on small- and mid-cap public equity markets, where liquidity is limited and aftermarket dynamics can be unpredictable. Together with a team of dedicated capital markets professionals at Lowenstein, Jamie helps clients anticipate regulatory, disclosure, and market challenges that can determine the success of an offering. Drawing on extensive deal experience, Jamie structures financings—including convertible securities (preferred stock and debt), warrants, and other equity-linked instruments—designed to raise capital efficiently while balancing dilution, liability, and long-term corporate objectives. Jamie also regularly advises on SEC reporting, Nasdaq and NYSE compliance, and board governance, and he handles cross-border transactions involving issuers from Israel, Canada, and other non-U.S. jurisdictions, where execution can be especially complex.

For private companies preparing to go public, Jamie focuses on IPO readiness and alternative pathways to accessing public markets, helping management teams evaluate which route best aligns with their business strategy, valuation objectives, and timing. Jamie works with boards and CFOs to implement governance frameworks and financial controls early, ensuring that companies are positioned to meet the disclosure, compliance, and investor expectations of the public markets. In addition to traditional IPOs, Jamie and the team at Lowenstein regularly execute alternative IPO structures, including SPACs, reverse mergers, up-listings, and direct listings.

For investment funds, Jamie is developing a new model of collaboration—working directly with portfolio managers to integrate legal strategy into the investment process itself. This approach moves beyond traditional deal-by-deal engagement toward ongoing partnerships designed to sharpen fund strategies and enhance returns. Jamie advises investment fund clients on structured investments, activist and “suggestivist” positions, distressed and high-yield debt, recapitalizations, and merger arbitrage, as well as strategies to exit illiquid or restricted positions and manage economic risk through derivatives and hedging. More than just managing SEC reporting and compliance, Jamie and his team at Lowenstein provide tailored, strategic insights aligned with the particular investment objectives of individual clients.

With this breadth of experience, Jamie guides market participants through complex transactions, helping them access capital, manage risk, and pursue opportunities across the evolving landscape of the U.S. securities markets.

  • Represented First Wave BioPharma, Inc. (NASDAQ: FWBI), a clinical stage biopharmaceutical company, in connection with its $9 million registered direct offering of common stock, warrants and pre-funded warrants.
  • Represented Chatham Asset Management LLC, a leading private investment firm, in the acquisition of printing and marketing company R.R. Donnelley & Sons Company.
  • Represented an investor in connection with the exchange of existing notes for approximately $493.9 million aggregate principal amount of newly issued first lien notes of Vericast Corp.
  • Represented AzurRx BioPharma, Inc. (NASDAQ: AZRX), a company specializing in the development of targeted, non-systemic therapies for gastrointestinal diseases, in its $229 million acquisition of First Wave Bio, Inc.
  • Represented a lender in connection with the amendment, extension, and partial prepayment of approximately $276.7 million aggregate principal amount of term loans to Vericast Corp.
  • Represented an investor in connection with the private exchange of existing notes for approximately $439.2 million aggregate principal amount of newly issued second lien notes of Vericast Corp.
  • Represented AzurRx BioPharma, Inc. (NASDAQ: AZRX), a biopharmaceutical company specialized in the research and development of non-systemic biologics for gastrointestinal disorders, in connection with a $5.75 million underwritten public offering of shares of common stock.
  • Represented AzurRx BioPharma Inc. (NASDAQ: AZRX), a biopharmaceutical company specialized in the research and development of non-systemic biologics for gastrointestinal disorders, in their $50 million at-the-market offering of common stock. H.C. Wainwright & Co., LLC served as sales agent.
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Education

  • Columbia University School of Law (J.D. 2007), Finance Editor, Columbia Business Law Review

    Columbia Business School (M.B.A. 2007)

    Harvard University (B.A. 2000), cum laude

Admissions

  • New York

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