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Julia Vax, a director with the firm’s Business Department and member of the Management Committee, practices general business, corporate and securities law. Her clients include emerging growth and public companies primarily in the life sciences and technology sectors. Ms. Vax represents issuers of publicly traded securities, privately held companies and founders, issuers and investors in venture capital financings, and other financial and strategic transactions. She has represented life science and technology companies at all stages of development, from entrepreneurs to publicly traded entities. She has advised clients in the biopharmaceutical, genomics, medical device, diagnostics, Internet and media, software, IP telephony, telecommunications and financial services sectors in all aspects of their corporate development.

Ms. Vax has extensive experience in IPOs, 144A debt transactions, shelf registrations, private placements, including PIPE transactions, as well as in executive compensation, corporate governance and SEC compliance for public companies, including compliance with Sarbanes-Oxley Act of 2002. She has been involved in numerous public and private financing transactions representing companies, investors, underwriters and placement agents.

Representative clients include: Digital River, Inc., The Charles Schwab Corporation, TigerLogic Corporation, Wedbush Morgan Securities, Inc., Evera Medical, Inc., RBC Capital Markets, Osprey Pharmaceuticals USA, Inc., Apieron, Inc., TriVascular, Inc., Reedland Capital Partners and Sparqtron Corporation.

Prior to joining Howard Rice, Ms. Vax practiced at Cooley Godward LLP.

Representative Matters

  • Representation of Wedbush Morgan Securities, Inc. in a follow-on public offering for Chelsea Therapeutics International, Ltd.
  • Representation of RBC Capital Markets in an IPO for US Auto Parts Network, Inc. and a follow-on public offering for Pharmacyclics, Inc.
  • Representation of Pacific Growth Equities in follow-on public offerings for DynaVax Technologies, Inc., Barrier Therapeutics, Inc., Point Therapeutics, Inc. and STAAR Surgical Company, and numerous PIPE transactions.
  • Representation of Digital River, Inc. in underwritten shelf registration offerings.
  • Representation of PlanetOut Inc. in an IPO and a PIPE transaction with subsequent re-sale registration.
  • Representation of World Heart Corporation in a PIPE transaction and subsequent re-sale registration.
  • Representation of Fisker Automotive, Inc. in venture capital financings.

Education

  • J.D., Golden Gate University School of Law (highest honors), 1998
  • B.A. San Francisco State University (cum laude), 1993
  • Medical School of General Medicine in Moscow, Russia, 1985-1987

Admitted

  • California

Memberships

  • State Bar of California
  • American Bar Association

Selected Publications

  • "Selected Ethical Issues and Conflicts in Representing Emerging Growth Companies," Practicing Law Institute, Drafting Corporate Agreements 2010 (2010)
  • "Nasdaq Compliance Issues in PIPE Transactions," Practicing Law Institute, 35th Annual Institute on Securities Regulation (2003)

Selected Presentations

  • "Ethical Issues in Drafting Corporate Agreements," Practicing Law Institute (2010)
  • "Tips for 2007: Preparing for the Proxy under the New SEC Rules," Certified Equity Professional Institute, 3rd Annual Symposium (2006)
  • "Tips for 2005: Preparing for the Proxy, " National Association of Stock Plan Professionals, San Francisco Chapter (2005)
  • "Venture Capital Term Sheet Negotiations, " Forum for Women Entrepreneurs (2000)