With more than two decades of experience, Anthony Caldwell is a trusted advisor to investment advisers and other businesses navigating complex legal issues and transactions.
Anthony provides strategic legal counsel to clients on a wide range of regulatory matters and commercial transactions. He emphasizes practical solutions to complex problems.
For both lenders and borrowers, Anthony negotiates revolving credit facilities, subscription lines, term loans and other credit facilities. He also advises on note offerings and other private debt placements.
Anthony counsels investment advisers, institutions and high-net-worth investors on reporting obligations under sections 13 and 16 of the Securities Exchange Act of 1934, including filing Schedules 13D and 13G, as well as Forms 3 and 4. In addition, Anthony analyzes stock transactions for statutory insiders and negotiates settlements of section 16(b) claims.
A seasoned attorney in private investment fund formation, Anthony advises clients in establishing and operating hedge funds, real estate investment funds, venture capital funds, private equity funds, credit funds and other alternative investment vehicles. He advises on fund structuring, disclosure obligations, securities offerings and regulatory compliance.
Anthony counsels investment advisers on all matters relating to their organization and operation, including structuring, regulatory compliance, and employment matters. He also negotiates mergers and acquisitions of advisory firms.
In addition, Anthony regularly advises clients regarding general corporate matters, including entity formation, employment agreements, private securities offerings and venture capital investments.