About Maximillian Licona

Maximillian Licona represents entrepreneurs, high-growth companies and the investors who invest in these companies in connection with a variety of matters, including company formations, venture capital financings and corporate governance. He also 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.

Max also supports the Entertainment and Media Transactions team. He has experience working on production and distribution agreements with major studios for film and television projects.

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

Max works with a wide range of 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.

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.

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Practice Focus

  • Entrepreneurial ventures
  • 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

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Practices
Industries
Education
  • The George Washington University Law School, JD, with honors
  • University of Redlands, BA
Bar Admissions
  • California