516-227-0700

Alon Y.
Kapen

Emerging Companies & Venture Capital

Partner

Uniondale

T: 516-227-0633

LinkedIn Icon

About Alon

Alon Y. Kapen is a corporate transactional lawyer who focuses on representing entrepreneurs, emerging growth companies and early stage investors in a wide range of entrepreneurial and strategic transactions. 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, structuring of crowdfunding, Regulation A and initial coin offerings, and development of effective corporate governance. Alon represents academic entrepreneurs spinning out of universities and other research institutions. He 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 and special committees 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.

Alon is a recognized thought leader and highly sought-after speaker. He is the editor of and chief contributor to New York Venture Hub, a blog focused on issues that are important to high-growth entrepreneurs and investors and the professionals who advise them. Alon has been widely quoted in print and digital publications, law journals and Wikipedia.

Read More

Credentials

Education

  • Brandeis University
  • Cornell Law School

Affiliations & Appointments

  • Middle Market Alliance of Long Island, Board Member
  • COMETS (startup mentoring), Member, Board of Directors
  • College of Engineering and Applied Sciences, SUNY Stony Brook, Member, Dean’s Council
  • Long Island Technology Hall of Fame, Member, Steering Committee
  • Association of Corporate Growth (ACG) New York, Former Chairman, Long Island Division
  • American Jewish Committee, Board Member, Past President – LI Chapter
  • Cornell Law Review, Former Editor
  • Read More

Articles & Advisories

Out of Compliance: How Delisting Distracts From a Turnaround

A retailer’s poor sales can send shares spiraling down as investors lose confidence. If the stock price gets below a…

December 04, 2019

Read more

Letters to the WSJ Editor; Outgoing SEC Chair White Will Be Missed

Alon Kapen wrote a letter to the editor of The Wall Street Journal regarding the departure of the SEC Chair, Mary…

November 28, 2016

Read more

Farrell Fritz: Joining in the effort to build Long Island’s innovation economy

Attorney Advertising – Long Island Business News A partner in Farrell Fritz’s corporate department, Alon Y. Kapen leads the firm’s…

June 08, 2015

Read more

LI Focus State of Affairs: Should your business incorporate in Delaware, Nevada or Wyoming?

June 08, 2015

Read more

Letters to the Editor: We Must Make Smaller-Company IPOs Much Easier

The following “Letter to the Editor” appeared in the November 4, 2011 issue of The Wall Street Journal. David Weild’s…

November 04, 2011

Read more

New Accredited Investor Net Worth Test to Impact Private Investment

April 26, 2011

Read more

Client Advisory: New Accredited Investor Net Worth Test to Impact Private Investment

In the Dodd-Frank Act passed last year, Congress required that an individual’s primary residence be excluded from the $1million net…

February 17, 2011

Read more

Symbol lawsuits tap Sarbanes-Oxley vein

September 16, 2005

Read more

Sarbanes-Oxley goes private

The chorus of public company grousing in reaction to the increasingly burdensome and expensive financial reporting and corporate governance requirements…

March 01, 2005

Read more

Corporate Governance — Three Things CFO’s and CEO’s Need to Know Now

In reaction to growing public outrage over financial scandals and weakening investor confidence, President Bush signed into law on July…

August 30, 2002

Read more

Warrants and Reverse Splits

Your company has just consummated a one-for-five reverse stock split. As a result, the market price per share of the…

January 25, 2002

Read more

Read More

News

Francesca’s adopts ‘poison pill’ after firm grabs nearly 22% stake

Alon Kapen was quoted in a Retail Dive article that discusses Francesca’s and its latest plan to avoid a hostile…

August 07, 2019

Read more

Hunting Unicorns: Eyeing Long Island’s Next Billion-Dollar Startup

If you think unicorns are mythic creatures, you probably haven’t been following finance. A unicorn company is a private startup…

July 18, 2019

Read more

Secrets of Crowdfunding

There are at least 375 crowdfunding sites in North America, according to Statista. Many people are already familiar with the…

May 28, 2019

Read more

Francesca’s plans reverse stock split

Francesca’s is in dire straits, as detailed last week in the report on its fourth quarter — a pivotal period…

May 07, 2019

Read more

LI firm seeks to cut costs by ending stock registration

Vicon Industries Inc. has filed to terminate the registration of its common stock, exempting the Hauppauge company from reporting requirements…

January 24, 2019

Read more

Air Industries to sell $7M in stock to boost liquidity

Alon Kapen, a securities lawyer at Farrell Fritz in Uniondale, said that Air Industries’ disclosures about internal financial controls brings…

June 29, 2017

Read more

Founders’ agreements can help partners avoid messy breakups

You must recognize each founder usually brings unique skills and value to a company, says Farrell Fritz law Alon Kapen,…

April 02, 2017

Read more

Digital Donations plans $13 million IPO by shareholders

Digital Donations Technologies Inc., whose digital crowdfunding systems help nonprofits raise money, has filed government documents for an initial public…

November 16, 2016

Read more

eGifter plans to raise up to $11 million from investors

“This is the future of capital raising,” said Alon Kapen, a corporate attorney at Uniondale-based law firm Farrell Fritz, which…

November 08, 2016

Read more

Three key factors to Kickstarter success, study finds

Starting May 16, entrepreneurs will have an additional avenue to raise money. They’ll be able to solicit up to $1…

April 24, 2016

Read more

Cemtrex sees Nasdaq listing as springboard for growth

“Listing on Nasdaq has a certain implied stability,” said Alon Kapen, a partner at the Uniondale law firm Farrell Fritz…

January 10, 2016

Read more

SMALL BUSINESS: Tapping into THE CROWD Public funding offers new investment sources, but at a cost

Alon Kapen was quoted in a Newsday article SMALL BUSINESS: Tapping into THE CROWD Public funding offers new investment sources,…

November 30, 2015

Read more

Small Business: Still waiting for SEC crowdfunding rules

Currently, public solicitation or advertising of a private equity offering is permitted only if all purchasers are accredited investors (i.e.,…

March 01, 2015

Read more

LI sizzles with $7 billion in mergers

Executives of public companies felt compelled to keep earnings per share rising to keep pace with the stock market, said…

January 04, 2015

Read more

Accelerate Long Island and the Long Island Emerging Technologies Fund Announce $500K in Funding for Five Biotech and Clean Energy Startups

June 09, 2014

Read more

Paying it Forward: Karma411 Spinoff Will Bring Crowd Funding to Startups

April 20, 2012

Read more

Proxy Access Looms: Understanding It And Its Challenges

Please see below to read Alon Y. Kapen‘s interview with The Metropolitan Corporate Counsel‘s Editor. The interview may also be…

August 05, 2009

Read more

SEC Eyeing First Revision of SOX Rules

June 22, 2007

Read more

Hard to Handle: Assembling the Compensation Jigsaw Puzzle

December 01, 2006

Read more

SEC to Companies: To Compensate, You Must Elucidate

August 18, 2006

Read more

Verint Hindered by Comverse Scandal

April 21, 2006

Read more

Gyrodyne May Omit Proposal on Right of Shareholders to Call Special Meetings

November 14, 2005

Read more

Activist Shareholders Showing Muscle — Taking on management has gone from rogue to vogue

November 11, 2005

Read more

Traffic building on the road to privatization

June 24, 2005

Read more

Defense M&A heats up

May 27, 2005

Read more

Audiovox deal to make exec $16 million man

August 20, 2004

Read more

Boiler Room 2

October 24, 2003

Read more

Shareholders Could Nominate Directors Under Proposed Regs

October 17, 2003

Read more

After Ticker Swap, Drug Stock Spikes

July 11, 2003

Read more

Small-Science Conference Draws Some Big Thinkers

March 14, 2003

Read more

Gaffe Clouds CPI’s $7.8M Stock Offering

February 28, 2003

Read more

Andrea Asks for Right to Dillute Stock

January 10, 2003

Read more

CEO’s dad, sis Quit Comverse Board

November 01, 2002

Read more

Bye, Bye Nasdaq

September 27, 2002

Read more

Symbol, CA Signs as Others Shudder

August 16, 2002

Read more

Law Firms Start Niche Practice Groups

August 16, 2002

Read more

Pricey Law Hires Hurt

December 01, 2000

Read more

Read More

Press Releases

American Jewish Committee to Honor Alon Y. Kapen with Civic Leadership Award

Farrell Fritz warmly congratulates our partner, Alon Y. Kapen, who will be receiving the American Jewish Committee (AJC) – Long…

March 19, 2014

Read more

Recognition

icon of a star inside a flag

American Jewish Committee

2014 Civic Leadership Award

icon of a star inside a flag

Cornell University Law School

Editor, Law Review

Community Work

Alon is president emeritus and a member of the board of governors of the Long Island Region of the American Jewish Committee. He is also a member of the steering committee for Family and Children’s Association, and the board of trustees for the Huntington Jewish Center.