Financing Strategies for Today’s Turbulent and Risk Adverse Markets

  • This workshop will explore financing alternatives other than VC and the IPO markets for biotech companies.  In recognition of the challenging funding environment, many companies are proceeding down a dual path of financing alternatives.  Specifically, the workshop will include discussions of the following topics: angel financing, grants and university supported research programs, collaboration and licensing arrangements, strategic investors, debt instruments, IP – related financing , funding from advocacy groups, and reverse mergers into public companies. Positive and negative factors, as well as planning considerations of each of these sources will be discussed.  We will allot time for participants to discuss their experiences and concerns over these alternative financing methods.


    Shoshannah D. Katz, Partner, K&L Gates

    Ms. Katz practices in the areas of securities, mergers and acquisitions, finance and general corporate matters, focusing on providing day-to-day client support and coordination of governance issues, transactional needs and specialty counsel. She advises private and public companies in connection with raising capital and issuing securities, compliance with corporate and securities laws and corporate governance practices, debt financing, and negotiation and documentation of a wide variety of corporate and commercial transactions. Ms. Katz has significant leadership experience in coordination, negotiation and documentation of equity and debt financings for early stage and mature private companies; private and public company mergers, asset acquisitions, stock purchases, and tender offers; PIPEs and public offerings (including IPOs and shelf offerings), representing issuers, placement agents and underwriters; preparing filings for and negotiating with the SEC, FINRA and national securities exchanges; and assisting publicly traded companies with periodic reporting requirements, Sarbanes-Oxley compliance and going private/going dark. Ms. Katz also provides substantial client support through coordination of specialty counsel in tax, employment (guidance, benefits and litigation), intellectual property, litigation, antitrust and international matters, and advising on clients’ post-closing contractual compliance and post-acquisition integration efforts. Ms. Katz works with companies in a variety of industries, such as telecommunications, food and beverage, internet-based services, medical technology, alternative energy, auto and mortgage lending, auto electronics and insurance. Ms. Katz is a graduate of the UCLA School of Law and UCLA Anderson Graduate School of Management.

    John Pennett, Partner, Eisner Amper

    John Pennett is the Partner-in-Charge of the Life Sciences Group and Technology Group. He has more than 25 years of public accounting experience with a strong emphasis on public and private life sciences companies. John is a frequent writer and speaker on topics related to issues impacting businesses in the life sciences and technology space. He is the publisher of Catalyst, a magazine focused solely on issues related to life sciences and pharmaceutical companies. John also serves on the firm’s Public Companies Group.

    John is a member of the American Institute of Certified Public Accountants (AICPA) and New Jersey Society of Certified Public Accountants (NJSCPA), where he serves on the Cooperation with Bankers Committee. He is also a member of BioNJ, where he is co-chair of the CFO Committee; New Jersey Technology Council (NJTC); Pennsylvania Bio; and the Accounting Advisory Board of the Rutgers University School of Business. In addition, John is on the advisory board of the Commercialization Center for Innovative Technologies (CCIT) and the Business Development Incubator at New Jersey City University (NJCU). He is a graduate of Rutgers University and previously worked as audit partner for an international accounting and consulting firm.