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David E. Fleming

Of Counsel

David E. Fleming, of counsel to the Firm, is a corporate and securities attorney with a specialty in corporate financings and complex business transactions. For more than 30 years, Mr. Fleming has represented issuers, underwriters and placement agents in initial public offerings, secondary public offerings, PIPES, registered direct offerings, REITs and other private placements of equity and debt securities. He has extensive experience representing sponsors of private equity funds, venture capital funds, hedge funds and other private investment funds.

He regularly negotiates and documents joint venture, partnership, complex merger and acquisition, asset purchase and divestiture agreements and ISDA documentation. He is a trusted advisor to boards of directors and senior management on disclosure, corporate governance and investor relations, including executive compensation matters.

For over 12 years, Mr. Fleming was the Senior Vice President, General Counsel and Corporate Secretary of a NASDAQ Global Stock Markets listed energy company, where he directly participated in raising over $240 million of private equity, growing the company from a start-up to over $140 million of revenue, leading to a successful $100 million initial public offering, and subsequently reaching a market capitalization of over $1 billion.

For more than 15 years, Mr. Fleming was a partner in several national law firms, including being a Member of the Firm of Epstein Becker & Green, P.C. and a Partner in the law firm of Cummings and Lockwood, where his industry focus was technology, e-commerce, healthcare, real estate and oil and gas. He frequently represents clients in cross-border transactions in Canada, Europe and Australia.

He is admitted to the practice of law in the States of New York, Connecticut and Maryland and the U.S. District Courts for the Southern District and Eastern District of New York.

Mr. Fleming graduated from Cornell University with a Bachelor of Arts degree in Government; Harvard University with a Graduate Studies Certificate in Administration and Management, where he was selected as a Langlois Scholar and Class Marshall; and the University of Maryland School of Law with a Juris Doctor degree, cum laude.

He is also a FINRA registered General Securities Principal (Series 24), Investment Banking Representative (Series 79) and Private Offering Representative (Series 82).