Alon Y. Kapen

Emerging Companies & Venture Capital

Partner | 516-227-0633 | akapen@farrellfritz.com

LOCATION: Uniondale

Alon Y. Kapen is a corporate attorney who focuses on representing entrepreneurs, emerging growth companies and their individual and institutional investors. He counsels entrepreneurs and emerging growth companies in the formation of business entities, structuring agreements among founders, negotiation of capital raising transactions, compliance with securities laws, negotiation of technology license agreements, structuring employee incentive arrangements and development of effective corporate governance. Alon represents academic entrepreneurs spinning out of universities and other research institutions. Alon also guides investors in the organization of private investment funds, the negotiation of various stages of equity, debt and convertible funding transactions and the planning and implementation of exit strategies.

A trusted adviser to mature companies as well, Alon assists venture-backed companies in navigating layers of overlapping investors’ rights. He also counsels SEC reporting companies regarding strategic transactions, compliance with federal and state securities laws and rules, self-regulatory organization rules, public offerings and other SEC registrations, corporate governance and specialized areas of securities practice such as takeover preparedness, proxy contests and other activist shareholder initiatives. He represents private business enterprises in mergers and acquisitions, joint ventures and spinoffs as well as private equity fund organizers and managers in the formation and funding of venture capital funds, hedge funds, real estate funds and funds-of-funds.

What is the most significant transaction with which you’ve been involved?

I represented a public multimedia software duplicating company in a going-private transaction in every aspect of the $120 million transaction, from negotiating the letter of intent, the financial adviser engagement letter and the merger agreement to executing the definitive transaction agreements and preparing rollover agreements with continuing management. I also prepared the proxy statement and navigated the SEC approval process. The deal closed on schedule, the company’s shareholders received a generous premium for their shares and continuing management proceeded with incentivizing equity arrangements in the newly emerged privately held company.

“I believe success should be viewed through the eyes of the client. To me, success is achieved when the client believes we’re a good investment – and the return on that investment is the results we were able to help the client achieve.”

What makes Farrell Fritz different from other area practices?

Farrell Fritz is different on multiple levels, from our results-oriented focus to our ability to deliver innovative, cost-effective solutions. We have a unique culture that’s made up of equally unique personalities. Together, we represent the kind of firm that clients respect in terms of integrity, legal and business acumen and commitment to community service.

How do you give back to the community?

At Farrell Fritz, we view giving back to the community as an ethical responsibility and a moral obligation. We approach community service with the same level of effort, integrity and innovative thinking that we do in our practice. My involvement is on both a business and cultural level. From a business standpoint, I’m heavily involved in helping to build a robust innovation ecosystem on Long Island similar to what New York City has achieved over the last few years. Farrell Fritz has made a huge commitment to Accelerate Long Island, a not-for-profit organization in which I’m very involved.

On the cultural side, I’m very involved with the American Jewish Committee, having served in leadership positions for several years, including as a two-term Regional President and currently as President Emeritus of the Long Island Region. We’ve made a real difference in the community in terms of bridge building among ethnic groups. The most tangible example of this has been an initiative I helped start with the Latino community called the Latino Jewish Council.