Darrick M. Mix is head of the firm's Capital Markets group and practices corporate law with concentrations in the areas of securities law, mergers and acquisitions and corporate governance. He has experience representing public and private companies in connection with their capital-raising activities, including public offerings and private placements of equity and debt securities. Mr. Mix also advises companies with respect to SEC regulations, compliance issues and other corporate and securities law matters, such as public reporting, Sarbanes-Oxley compliance and communications with analysts and investors. He has substantial experience representing public and private companies in selling and acquiring businesses, including private equity funds in control and minority investments. His clients span a variety of industries, including retail, financial services and REITs.
Mr. Mix is a 1997 graduate, with honors, of the Ohio State University, Michael E. Moritz College of Law, where he served as executive editor of the Ohio State Journal on Dispute Resolution, and a graduate of Georgetown University's School of Foreign Service.
- Represented Hill International Inc., a global leader in managing construction risk, in a $165 million debt refinancing transaction.
- Represented National Securities Corporation, as underwriter and sole book running manager, in connection with the initial public offering by CBD Energy Limited, a diversified clean energy company and leading provider of solar installations worldwide.
- Represented American Realty Capital Properties, Inc. (NASDAQ: ARCP), a NASDAQ-listed real estate investment trust (REIT), in a merger transaction valued at $3.1 billion to acquire American Realty Capital Trust IV, Inc., a "non-traded" REIT. The combined company is the largest REIT in the triple net lease sector.
- Represented American Realty Capital Properties, Inc. (NASDAQ: ARCP), a NASDAQ-traded real estate investment trust (REIT), in its $3.2 billion "reverse" merger to acquire American Realty Capital Trust III, Inc., a "non-traded" REIT. The deal was structured as a cash-election merger in which the cash portion of the consideration will be limited to 30% of the aggregate merger consideration.
- Represented Lehigh Gas Partners LP (NYSE: LGP), a wholesale motor fuel distributor, in connection with its $138 million initial public offering.
- Represented a Nasdaq-listed retail department store company in a $1 billion acquisition and the related offering of $600 million in debt securities.
- Represented a national home renovation company in connection with a shareholder buyout and reorganization.
- Represented middle market private equity firm in multiple control and minority investments, recapitalizations and dispositions.
- Represented an NYSE-listed health care real estate investment trust in multiple public offerings of debt securities, common stock and preferred stock.
- Represented a private equity fund-backed security services company in multiple acquisitions.
- Represented a national door manufacturer in a $700 million recapitalization.
- Represented an NYSE-listed national home building company in general securities and governance matters as well as multiple public offerings of securities, including private issuances of debt securities and the related exchanges for registered debt securities.
- Represented an NYSE-listed pipeline company in an issuer tender offer of common stock.
- Represented a privately held financial services firm in its acquisition of a Nasdaq-listed specialty finance company in an equity exchange and was retained as securities and M&A counsel to the resulting public company.
- Represented a publicly traded financial services firm in multiple acquisition and disposition transactions, including the acquisitions of a full-service investment bank and a specialty broker-dealer and the dispositions of multiple asset management businesses.
- Represented a publicly traded financial services firm in a public debt-exchange transaction.
- Represented a publicly traded manufacturing company in its acquisition of a privately held manufacturing company for approximately $100 million.
- Represented a Nasdaq-listed company in multiple acquisitions, a $50 million follow-on offering of common stock and the sale of the company to an industry competitor.
Areas of Practice
- Corporate Law
- Securities Law
- Georgetown University, B.S.F.S., 1994
- The Ohio State University, Michael E. Moritz College of Law, J.D., with honors, 1997
- Executive Editor, Ohio State Journal on Dispute Resolution
- American Bar Association
- Pennsylvania Bar Association
- Philadelphia Bar Association
- Editor, Duane Morris Capital Markets Blog
- Co-author, "SEC Adopts 'Regulation A+' Rules," Duane Morris Alert, April 10, 2015
- Co-author, "Guide to Publicly Offered Private Placements Under New Rule 506(c)," Duane Morris Alert, September 26, 2013
- Co-author, "NASDAQ Proposes Listing Rules Relating to Compensation Committees," Duane Morris Alert, October 12, 2012
- Co-author, "NYSE Proposes Listing Standards Relating to Compensation Committee Member Independence and Compensation Committee Advisers," Duane Morris Alert, October 2, 2012
- Co-author, "SEC Rule Proposal Would Permit Public Offerings in "Private Placements" and Facilitate Capital Formation," Duane Morris Alert, September 13, 2012
- Co-author, "SEC Adopts Rules on Independence of Compensation Committees and Compensation Advisers; New Listing Standards to Be Proposed by September 25, 2012," Duane Morris Alert, June 27, 2012
- Co-author, "JOBS Act Enacted, Imposes Substantial Deregulation on the Mechanics of Securities Offerings," Duane Morris Alert, April 13, 2012
- Co-author, "SEC Proposals for Compensation Committees and Compensation Advisers," Duane Morris Alert, April 25, 2011
Selected Speaking Engagements
- Panelist, "Crowdfunding for Life Sciences: A bridge over troubled waters?" Pharmaceutical Consulting Consortium, Inc., May 12, 2014
- Panelist, "Crowdfunding and Rule 506(c): Brave New Capital-Raising World," Pennsylvania Business Brokers Association, April 2, 2014
- Presenter, "Crowdfunding under the JOBS Act," Pennsylvania Bar Association, July 23, 2013