Capstone Turbine Corporation, the world's leading clean technology manufacturer of microturbine energy systems, entered into an underwriting agreement to sell in a public offering 2,700,000 shares of the Company's common stock and pre-funded Series B warrants to purchase up to 5,515,000 shares of Common Stock, which will be offered in lieu of Common Stock to those purchasers whose purchase of Common Stock in the offering otherwise would result in the purchaser beneficially owning more than 4.99% of the Company's outstanding common stock following the completion of the offering (the "Series B Warrants").
Waller represented Capstone in its offering of Common Stock and Warrants.
Represented Tri Star Energy in its acquisition of Abbeville, Alabama-based Herndon Oil Corporation.
Represented Performance Trust Capital Partners as the sole placement agent for the offering by RCB Financial Corporation of $8 million of its 10NC5 4.375% fixed-to-floating rate subordinated notes.
Represented UMB Bank as Bond Trustee holding a security interest on all of the assets of a bankrupt biomass manufacturer and facilitated the bank’s sale of those assets.