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Partner - Donna L. Brooks

Donna L. Brooks

Partner

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As outside general counsel, Donna Brooks advises clients in diverse industries, including health care, life sciences, agri-business, education, technology, services and manufacturing. Her clients include emerging growth companies and middle market companies, including cooperatives and public companies, as well as colleges, universities and independent schools. Donna assists her clients “in the business of doing business.” She provides practical advice with respect to business organization, business operations and contracting, entity governance, asset management, finance, capital raising, private and public securities offerings, equity compensation, joint ventures, and mergers and acquisitions. Donna also counsels development stage companies with research and development agreements, including sponsored research and consulting agreements with universities and their faculty and technology transfer offices. Donna also advises companies regarding both federal and state securities laws compliance and with the preparation and filing of SEC periodic reports, registration statements, Section 16 stock ownership reports and proxy materials.

In addition to being a business counselor, Donna represents institutional investors, venture capital funds, mezzanine funds and other private investment funds, as well as governmental and quasi-governmental lenders. Donna has advised private investment funds in making numerous portfolio investments in diverse industries, including retail and consumer goods, manufacturing and health services.  She has also assisted with the structure and administration of the funding of stem cell initiatives in Connecticut.  Donna also represents institutional investors in making alternative investments with varying investment objectives, which have included channel finance, credit default obligations, low-income housing and historic rehabilitation tax credits and real estate, both in the United States and internationally.  She has also represented various endowments in vetting and engaging investment managers.

Through her involvement in complex capital transactions, Donna understands the issues of holders of senior debt, mezzanine debt, and seller debt, as well as equity sponsors and venture capitalists and other private equity funds, and she is experienced in successfully negotiating, documenting and closing these multi-tiered transactions.  She is often called on to write and speak about securities law and venture finance matters.

Distinctions

  • BV Peer Review Rated, Martindale-Hubbell
  • Listed as a Connecticut Super Lawyer®: Securities & Corporate Finance; 2006, 2008-2010, 2012
  • Appointed Member, Securities Advisory Council, Connecticut Department of Banking
  • Past Appointed Member, Business Advisory Committee, Connecticut Secretary of the State

Professional Affiliations

  • Crossroads Venture Group
  • UCONN Technology Incubation Program
  • Connecticut Technology Council - Innovation Summit
  • Connecticut United for Research Excellence, Inc. (CURE)
  • American Bar Association
  • Connecticut Bar Association
  • Hartford County Bar Association
  • National Association of College and University Attorneys
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