About Maximillian Licona

Maximillian Licona primarily represents business development companies (BDCs), registered closed-end funds (CEFs), and private investment funds in connection with their efforts to raise capital and launch market operations. He has strong transactional experience with respect to BDCs and CEFs, including public and private securities offerings and strategic transactions. Max’s background positions him to provide his clients with valuable assistance in connection with transactions and regulatory counsel.

Assisting clients with capital-raising efforts and navigating the regulatory landscape

Max works with clients on a broad range of public and private offerings of equity and debt securities. He also regularly advises clients on corporate governance and compliance matters. He regularly advises on Securities and Exchange Commission (SEC) reporting obligations and other securities laws, including Section 16 compliance and Rule 144. He provides counsel on proxy statements as well as listing requirements of the NYSE and NASDAQ.

Prior to joining Katten, Max was an associate in the capital markets and investment funds practice of a major international law firm, where he focused on transactional and regulatory matters involving BDCs, CEFs and private investment funds.

⇣   Expand to read more

Practice Focus

  • IPOs and other public and private securities offerings
  • Fund formation
  • BDC and CEF capital raising
  • Corporate governance, regulatory and compliance
  • Mergers and acquisitions

Representative Experience

  • Represented a BDC in two underwritten public offerings of $800 million in aggregate principal amount of investment-grade unsecured notes. *
  • Represented a BDC in an underwritten public offering of $125.1 million in aggregate principal amount of common stock. *
  • Represented a BDC in an underwritten public offering of $125 million in aggregate principal amount of investment-grade unsecured notes. *
  • Represented a BDC in an underwritten public offering of $100 million in aggregate principal amount of investment-grade unsecured notes. *
  • Represented a CEF in four underwritten public offerings of over $100 million in aggregate principal amount of term preferred stock. *
  • Represented a BDC in an underwritten public offering of $75 million in aggregate principal amount of investment-grade unsecured notes. *
  • Advised in the sale of a majority equity interest in an energy company to a private equity fund. *
* Experience prior to Katten