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Sunday, August 14, 2016 8:15:25 AM
Partner
Jim Carroll is a partner at Faegre Baker Daniels. He joined the firm's Boulder office in 2003. Jim brings more than two decades of experience in securities law, mergers and acquisitions, corporate finance, venture capital and general corporate law to the firm. Jim has extensive experience representing issuers and underwriters in public offerings of debt and equity securities, including numerous IPOs.
Jim represents publicly and privately held companies in a broad range of industries, including computer hardware and software, manufacturing, biotechnology, energy, utilities, telecommunications, banking, insurance and health care. A frequent lecturer to legal and business groups, Jim presents on topics related to venture capital, corporate governance, mergers and acquisitions, securities law, and startups and emerging businesses.
Jim moved to Colorado in 1996 to join Cooley Godward, a national law firm headquartered in Palo Alto, Calif., as a partner. Previously, Jim had practiced in the Philadelphia office of Morgan, Lewis & Bockius, one of the nation's largest law firms, where he was elected to partner.
Representative corporate transactions in which Jim has acted as lead counsel include the following:
$105 million private financing for Adam Aircraft Industries
$248 million secondary public offering for Crocs, Inc. (Nasdaq: CROX)
$93 million venture capital financing for Adam Aircraft Industries
$239 million initial public offering of Crocs, Inc. (Nasdaq: CROX)
$89 million acquisition of RMH Teleservices (Nasdaq: RMHT) by NCO Group (Nasdaq: NCOG)
Numerous venture capital/private equity financing transactions representing start-up companies, entrepreneurs and institutional investors
$72 million sale of RogueWave Software (Nasdaq: RWAV) to Quovadx (Nasdaq: QVDX)
$100 million sale of BEI Medical (Nasdaq: BMED) to Boston Scientific (NYSE: BSX)
$375 million acquisition of New Era of Networks (Nasdaq: NEON) by Sybase (NYSE: SY)
$125 million sale of American Coin Merchandising (Nasdaq: AMCN) to Wellspring Capital Management
$38 million initial public offering of New Era of Networks (Nasdaq: NEON)
Honors
The Best Lawyers in America — Mergers & Acquisitions Law and Venture Capital Law, 2007-16 (Denver Venture Capital Lawyer of the Year, 2013)
Chambers USA: America's Leading Lawyers for Business — Corporate/M&A, 2008-16
Civic Activities
Community Food Share — Board of Directors
Boulder Country Day School — Former Trustee
Presentations
Startup Capital in the Front Range
Boulder Software Club, 2009
Navigating the 2006 Annual Report and Proxy Season
Faegre Baker Daniels Seminar, 2006
The SEC's New Securities Offering Reform Rules — An Introduction to the Most Significant Changes to the Securities Offering Process in Decades Seminar
Faegre Baker Daniels Seminar, 2005
Taking Your Company Private: How Do You Go Private? What are the Strategic and Tactical Issues?
E&Y Alumni Association Conference, 2005
Navigating the 2005 Annual Report and Proxy Season
Faegre Baker Daniels Seminar, 2005
Navigating the 2004 Annual Report and Proxy Season
Faegre Baker Daniels Seminar, 2004
Published Articles
Securities Law Update: SEC Public Offering Reforms
Practicing Law Institute/Bowne, 2005
Recent ASTI News
- Ascent Solar Technologies Announces Debt Pay Off for Outstanding Balances • GlobeNewswire Inc. • 06/21/2024 12:00:00 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 06/14/2024 08:30:10 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 06/12/2024 09:53:56 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 06/11/2024 11:52:53 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 06/11/2024 11:51:04 PM
- Form 4 - Statement of changes in beneficial ownership of securities • Edgar (US Regulatory) • 06/11/2024 11:49:56 PM
- Form PRE 14A - Other preliminary proxy statements • Edgar (US Regulatory) • 06/06/2024 08:35:04 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 05/30/2024 12:05:09 PM
- Form 424B5 - Prospectus [Rule 424(b)(5)] • Edgar (US Regulatory) • 05/30/2024 12:00:29 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 05/23/2024 09:27:23 PM
- Form 424B5 - Prospectus [Rule 424(b)(5)] • Edgar (US Regulatory) • 05/23/2024 09:26:14 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 05/16/2024 08:45:14 PM
- Form 424B5 - Prospectus [Rule 424(b)(5)] • Edgar (US Regulatory) • 05/16/2024 08:40:50 PM
- Ascent Solar Collaborates with University of Stuttgart IGTE for the Development and Distribution of Sustainable Power Generation Technology • GlobeNewswire Inc. • 05/16/2024 12:30:00 PM
- Ascent Solar Technologies Receives Firm Order of Thin-Film PV from Mega-Constellation Satellite Manufacturer to Power Next Generation Hardware • GlobeNewswire Inc. • 05/14/2024 12:55:00 PM
- Form 10-Q - Quarterly report [Sections 13 or 15(d)] • Edgar (US Regulatory) • 05/09/2024 08:10:49 PM
- Ascent Solar Technologies, Inc. Announces Second and Third Closings of Public Offering of Common Stock and Pre-Funded Warrants at $0.14 Per Share • GlobeNewswire Inc. • 04/18/2024 09:11:53 PM
- Momentus and Ascent Solar Technologies Partner to Bring to Market Leading-Edge Solar Arrays • Business Wire • 04/17/2024 02:00:00 PM
- Momentus and Ascent Solar Technologies Partner to Bring Leading-Edge Solar Arrays to Market • GlobeNewswire Inc. • 04/17/2024 02:00:00 PM
- Ascent Solar Technologies, Inc. Announces Initial Closing of Public Offering of Common Stock and Pre-Funded Warrants • GlobeNewswire Inc. • 04/12/2024 09:00:00 PM
- Ascent Solar Technologies, Inc. Announces Pricing of $6,000,000 Public Offering of Shares of Common Stock • GlobeNewswire Inc. • 04/10/2024 12:48:54 PM
- Ascent Solar Technologies Achieves CIGS Technology Power Generation Milestones at Production Scale with Thin Film • GlobeNewswire Inc. • 03/25/2024 02:30:00 PM
- Ascent Solar Technologies Announces Substantial Debt Reduction and Plan for Full Payoff • GlobeNewswire Inc. • 03/21/2024 01:25:00 PM
- Ascent Solar Technologies Announces Warrants Repurchase Agreements • GlobeNewswire Inc. • 03/14/2024 01:25:00 PM
- Form 8-K - Current report • Edgar (US Regulatory) • 03/11/2024 09:15:11 PM
Last Shot Hydration Drink Announced as Official Sponsor of Red River Athletic Conference • EQLB • Jun 20, 2024 2:38 PM
ATWEC Announces Major Acquisition and Lays Out Strategic Growth Plans • ATWT • Jun 20, 2024 7:09 AM
North Bay Resources Announces Composite Assays of 0.53 and 0.44 Troy Ounces per Ton Gold in Trenches B + C at Fran Gold, British Columbia • NBRI • Jun 18, 2024 9:18 AM
VAYK Assembling New Management Team for $64 Billion Domestic Market • VAYK • Jun 18, 2024 9:00 AM
Fifty 1 Labs, Inc Announces Acquisition of Drago Knives, LLC • CAFI • Jun 18, 2024 8:45 AM
Hydromer Announces Attainment of ISO 13485 Certification • HYDI • Jun 17, 2024 9:22 AM