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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 focuses on capital markets and securities law, representing companies, investment banks, and investors in public and private offerings and SEC compliance.  He advises public companies and investment funds regarding SEC reporting obligations and governance.

His transaction experience includes initial public offerings, follow-on offerings, secondary resales, private investments in public equity (PIPEs), registered directs (RDs), confidentially marketed public offerings (CMPOs), rights offerings, reverse mergers, convertible preferred equity and debt offerings, tender offers, and other transaction structures. He also has experience with cross-border financing transactions.

In addition, James advises companies and investors in connection with mergers and acquisitions  and restructuring transactions. His recent concentration has been on technology and life sciences companies in the small- to mid-cap markets, but he has also advised companies ranging from private start-ups to large public companies.

  • 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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