About Vlad M. Bulkin

Vlad Bulkin understands the unique needs of business development companies (BDCs), registered closed-end funds (CEFs) and private investment funds. From fund formation to capital raising activities, he brings industry-leading experience to clients at any stage. He has extensive transactional experience, including public and private securities offerings and strategic transactions.

Capital markets experience backed by strong regulatory knowledge

Vlad taps into his deep regulatory and transactional knowledge to advise a broad range of clients, including BDCs, CEFs, private investment funds and other financial services firms. Vlad is well positioned to counsel managers of BDCs, CEFs and private investment funds on establishment and operational matters, as well as regulatory and compliance with the Investment Company Act of 1940 and the Investment Advisers Act of 1940. He regularly works with alternative investment managers on developing various capital structures.

Vlad frequently works with issuers and underwriters on a broad range of public and private offerings of equity and debt securities. His experience includes initial public offerings (IPOs), Rule 144A offerings, shelf offerings, at-the-market offerings (ATMs), registered direct offerings, high-yield bond offerings, convertible debt offerings and rights offerings.

Public companies rely on Vlad to help navigate corporate governance and compliance matters. He regularly advises on Securities and Exchange Commission (SEC) reporting obligations and other securities laws, including Section 16 compliance, Rule 10b5-1 plans, the Sarbanes-Oxley Act of 2002, Rule 144 and the listing requirements of the NYSE and NASDAQ.

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Practice Focus

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

Representative Experience

  • Represented issuers and placement agents in more than 100 public and private securities offerings and strategic transactions, including:
  • BDCs and private credit funds managed by SLR Capital Partners in connection with multiple initial public offerings, follow-on equity and debt offerings, private offerings and a public merger.
  • Placement agents/underwriters in an at-the-market offering and a preferred stock offering for Carlyle Credit Income Fund.
  • Thrive Acquisition Corp. (a SPAC) in an initial public offering.
  • Pinstripes, Inc. in a public merger with Banyan Acquisition Corp. (a SPAC).
  • New Mountain Finance Corporation in connection with its initial public offering, multiple subsequent equity follow-on offerings, multiple convertible note offerings, a baby bond offering and multiple private note offerings. *
  • Golub Capital BDC, Inc. in connection with two institutional bond offerings. *
  • Nuveen Churchill Direct Lending Corp. in connection with its formation and private capital raise. *
  • Oxford Square Capital Corp. and Oxford Lane Capital Corp. in connection with an initial public offering, multiple rights offerings, multiple equity follow-on offerings, multiple preferred stock offerings, multiple direct registered offerings, multiple at-the- market equity offerings and multiple baby bond offering. *
  • Capitala Finance Corp. in connection with its initial public offering, several baby bond offerings, a convertible note offering, an equity follow-on offering and an at-the-market equity offering. *
  • OFS Credit Company, Inc. in connection with its initial public offering, preferred stock offerings, a rights offering, an equity follow-on offering and an at-the-market equity offering. *
  • Underwriters in connection with TriplePoint Venture Growth BDC Corp.’s initial public offering, follow-on equity offering and baby bond offering. *
  • Capitala Finance Corp. in connection with the sale of its investment adviser’s books and records. *
  • Oxford Square Capital Corp. in connection with the potential sale of its investment adviser's books and records and the resulting proxy contests for control of Oxford Square Capital Corp. *
  • Allied Capital Corporation in connection with its merger with and into Ares Capital Corporation. *
* Experience prior to Katten

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Education
  • Georgetown University Law Center, LLM, with distinction
  • University of Florida Fredric G. Levin College of Law, JD, cum laude
  • The City University of New York at Baruch College, BBA, summa cum laude
Bar Admissions
  • New York
  • District of Columbia
  • Florida
Community Involvements
  • American Bar Association, Business Law Section
  • District of Columbia Bar Association, Corporation, Finance and Securities Law Community
Recognitions
Recognized or listed in the following:
  • Georgetown University Law Center
    Thomas Bradbury Chetwood, S.J. Prize, 2008
Award Methodologies