Craig F. Zappetti

Craig Zappetti concentrates his practice on providing securities compliance counsel to private and public companies, representing venture capital funds and early stage companies in financing transactions, counseling both buyers and sellers in mergers and acquisitions, counseling investment advisers on regulatory compliance matters and providing general counsel to private and public companies regarding corporate matters.

Securities Matters

Craig has counseled clients regarding compliance with various aspects of the Securities Act of 1933, the Securities Exchange Act of 1934 and the Sarbanes-Oxley Act of 2002 and related regulations. He has extensive experience in counseling public companies on maintaining compliance with Nasdaq, New York Stock Exchange and American Stock Exchange rules and Nasdaq Over-the-Counter Bulletin Board eligibility requirements. He has counseled audit committees and boards of directors on the design, implementation and administration of corporate governance and compliance programs.

Craig has extensive experience counseling small cap and micro cap public companies and in completing transactions in which private companies enter the public markets. He has completed numerous reverse mergers of private companies into public shell companies and has experience completing blank check company initial public offering (commonly referred to as "SPACS"). He also has represented public and private company clients in private placement offerings of securities, including private investment in public equity (PIPE) transactions, debt exchange offerings, and note offerings.

Venture Capital

As co-chair of the Firm’s Venture Capital/Private Equity Practice, Craig has represented numerous venture capital funds and angel investors with regard to both Series A Preferred Stock and subsequent financing rounds in early stage and growth capital companies. He also has represented early stage and growth companies receiving venture capital funds. His venture capital fund clients have included Edison Venture Fund, SCP Vitalife Partners and TRF Urban Growth Partners, L.P.

Mergers and Acquisitions

Craig has counseled buyers and sellers in mergers, asset sale transactions, strategic acquisitions and stock sales. He has worked on large public company mergers and international acquisitions. He has assisted many small business owners in selling their businesses at large premiums to book value.

Investment Adviser Compliance

Craig counsels investment advisers on state and federal registration requirements, as well as various compliance issues concerning the Investment Advisers Act of 1940 and related regulations.

General Counsel

Craig serves as general counsel to both private and public companies with regards to service contracts, employment agreements, lease agreements, bank financing transactions and general risk management and corporate governance issues.

Prior to attending law school, Craig was a certified public accountant for KPMG, LLP in Philadelphia for four years.