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Financing the Small Business: Sources, Strategies, Compliance

This title in the Business Financing Series walks you through the key events encountered in the financing process. An expert in short and long-term financing arrangements, attorney Robert W. Walter offers you an overview of the various types of financing vehicles available to small businesses, then goes on to explain why certain financings would be more advantageous, depending on the development stage of your business.

In Financing the Small Business: Sources, Strategies, Compliance, he tells you how to identify potential financing sources and initate the financing process. He also outlines the documentation required for compliance through closing, as well as the post-closing issues. Sample documents for "real life" transactions are included as appendices.

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Table Of Contents
CHAPTER 1: Identifying Financing Options Available to Growing Small Businesses CHAPTER 2: The Advantages, Disadvantages and Timing Issues Associated with Alternative Financings CHAPTER 3: Locating the Right Investors and Understanding Their Objectives CHAPTER 4: Initiating the Process: From Business Plan to Term Sheet or Letter of Intent CHAPTER 5: Compliance Issues: Disclosure Documents, Due Diligence, Financial Statements and Curing Prior Violations CHAPTER 6: "Deal Breaker" Issues:

  • Valuation
  • Due Diligence
  • Anti-Dilution
  • Employment and Stockholder Agreements
  • Corporate Governance
  • Other Terms of Investment
    • CHAPTER 7: Documenting the Financing Through Closing CHAPTER 8: Post-Closing Matters: Communications, Covenants and Exit Strategies APPENDIX A: Sample Term Sheet for Preferred Stock Purchase by Venture or Private Equity Investor

    APPENDIX B: Actively Investing U.S. Venture Firms

    APPENDIX C: Private Equity Firms

    APPENDIX D: IPO Underwriters

    APPENDIX E: Level 3 Communications, Inc., Screen Shots

    APPENDIX F: Senior Subordinated Debt (Mezzanine) Term Sheet

    APPENDIX G: Senior Credit Facility Preliminary Term Sheet

    APPENDIX H: IPO Letter of Intent

    APPENDIX I: Follow-On Public Offering Letter of Intent

    APPENDIX J: Investment Banking Engagement Agreement for Institutional Placement

    APPENDIX K: Series A Preferred Stock Purchase Agreement

    APPENDIX L: Executive Employment Agreement

    APPENDIX M: Stockholders Agreement

    APPENDIX N: Registration Rights Agreement

    APPENDIX O: Subordinated Loan Agreement

    APPENDIX P: Investors¿ Rights Agreement