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Glass Box provides a narrow scope of post-offering legal services.

Our goal in providing these services is to supplement, but not replace, your existing corporate counsel by leveraging our unique knowledge, relationships and position in the marketplace.

The primary post-offering legal services that we offer are listed below.

Second Market Transaction Counsel

We represent shareholders of public and private companies that wish to sell their shares in private transactions after having participated in an offering. Our “Second Market” services include (a) vetting original issuance documentation for clearing viability, (b) drafting necessary legal opinion(s) for both transfer agents and brokers, (c) drafting of securities purchase documents, (d) escrowing purchase money, (e) drafting of all other ancillary legal documentation necessary to facilitate transfer, clearance and sale of the subject securities.

IPO Advisory Counsel

We represent companies transitioning from a privately held to publicly held. Our “Project: IPO” service includes (a) reviewing corporate governance rules within your bylaws, (b) advising on how to position your company to qualify with market makers who can file your 15c211 application, (c) advising on the filing of a Reg. A offering, S-1, or Form 10 registration statement, and (d) assisting in the completion of NASDAQ, NYSE or OTC Markets applications.

NASDAQ/NYSE Up-listing

We represent existing public companies that are seeking to move up from the OTC to become NMS listed. Our up-listing service includes (a) reviewing corporate governance rules within your bylaws, (b) providing guidance on necessary corporate actions and/or float management, (c) consulting with respect to any necessary debt restructuring, and (d) assisting with the completion of relevant exchange applications.

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