Thomas J. Friedmann


Thomas J. Friedmann


Boston | One International Place, 40th Floor, 100 Oliver Street, Boston, MA 02110-2605
+1 617 728 7120 | +1 617 426 6567

| vCard | PDF

Thomas J. Friedmann, managing partner of Dechert’s Boston office and co-chair of Dechert’s Global Corporate Finance and Capital Markets Practice, represents domestic and non-U.S. issuers and investment banks in public and private securities transactions. Mr. Friedmann also advises corporate clients on matters relating to securities law, corporate governance, and general corporate matters, including financial restructuring and securitization transactions.

Mr. Friedmann is also the co-head of Dechert's Permanent Capital Practice and regularly advises alternative asset managers in their efforts to access permanent capital through Business Development Companies (BDCs), closed-end funds and other vehicles. Having represented both issuers and underwriters on the organization and listings of numerous BDCs, Mr. Friedmann assists companies in navigating securities laws and sensitive disclosure matters under the Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Company Act of 1940. He is a frequent speaker and has been quoted in various media outlets regarding developments and trends affecting BDCs and other alternative investment vehicles, an area in which Dechert has been identified as a leader by The Legal 500, a leading legal directory. Mr. Friedmann also counsels public and privately held companies in the energy, hospitality and technology industries on a broad range of capital markets and financing transactions, including high-yield and investment-grade debt offerings, convertible and equity-linked securities and private financings. In addition, he advises on general corporate matters, such as corporate governance and board issues, compliance and disclosure matters, and periodic reporting.

Mr. Friedmann is consistently recognized for his work in capital markets: debt and equity offerings and has been recommended for his work in investment fund formation and management: alternative/hedge funds by The Legal 500 (U.S.). He is also listed in The Best Lawyers in America for Securities/Capital Markets Law.

  • Audax Credit BDC, Inc., a business development company, on its organization and initial private placement of common stock.
  • Eagle Point Capital Company Inc., a closed-end fund, on its organization and initial public offering of common stock and multiple follow-on offerings of debt securities and preferred and common stock.
  • Golub Capital BDC, Inc., a business development company and an affiliate of Golub Capital, on its organization and US$110 million initial public offering of common stock and listing on the Nasdaq Global Stock Market, several subsequent follow-on offerings of common stock, applications for exemptive relief, joint ventures and other initiatives.
  • PennantPark Investment Corporation and PennantPark Floating Rate Capital Ltd., each business development companies, on their respective initial public offerings of common stock and listings on the Nasdaq Global Market, numerous follow-on offerings of common stock, financings, exemptive relief applications, portfolio investments and an offering of senior notes.
  • WhiteHorse Finance, Inc., a business development company and an affiliate of private equity firm H.I.G. Bayside, on its formation, incurrences of credit financing and US$100 million initial public offering of common stock, exemptive relief applications and offering of senior notes.
  • Underwriters, led by Robert W. Baird & Co. Incorporated, William Blair & Company L.L.C. and Janney Montgomery Scott LLC, on the formation and initial public offering as well as multiple follow-on offerings of common stock by Monroe Capital Corporation, a business development company.
  • Janney Montgomery Scott, as book-running underwriter, on a US$35 million offering of preferred stock by Gladstone Capital Corporation, which represented the first preferred stock offering by a business development company.
  • Whole Foods Market, Inc., a leading natural and organic foods supermarket, in a US$425 million private placement of convertible preferred stock by an affiliate of private equity firm Leonard Green & Partners, L.P.
  • Garrison Capital Inc., a business development company, on its organization and US$80 million initial public offering of common stock.
  • Union Square Hospitality Group LLC (USHG) in connection with Leonard Green & Partners’ equity investment in USHG as well as a US$20 million private placement by SSE Holdings LLC (“Shake Shack”).
  • OCI Resources LP on its master limited partnership initial public offering and listing on the New York Stock Exchange.
  • University of Virginia School of Law, J.D., 1991
  • University of Virginia Darden School of Business, M.B.A., 1991
  • Harvard College, A.B., 1985, magna cum laude
  • New York
  • District of Columbia
  • Massachusetts