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Albert Lung

Partner

Albert Lung advises companies throughout the United States and abroad on capital market transactions, corporate governance, and securities laws. His clients include publicly listed companies, investment banking firms and institutional stakeholders in emerging technology, semiconductor, biotechnology, artificial intelligence, software, life sciences utility and consumer ecommerce industries. Albert advises clients in public and private offerings of equity and debt securities, compliance with US Securities and Exchange Commission (SEC) regulations and disclosure requirements and periodic reporting obligations under the Securities Exchange Act of 1934, NASDAQ/NYSE listing requirements, corporate governance, investors communications, and a variety of other general corporate matters.

Within the United States, Albert represents companies spanning an array of industries, particularly emerging technology and life sciences companies in Silicon Valley, as they accelerate their growth through venture financing transactions, private placements and public offerings, mergers and acquisitions (M&A), and other business transactions. He has more than 20 years of experience in guiding public companies, underwriters and private equity firms through initial public offerings (IPOs), follow-on and secondary public offerings, private investment in public equity (PIPEs), At-the-Market Offering, Rule 144A offerings, tender offers, convertible debt financing, and other corporate finance transactions.  Albert also advises board of directors and senior management members of public companies on corporate governance, legal compliance, and general corporate matters.

Companies in the Asia-Pacific region that are looking for financing from US-based corporations seek Albert’s counsel on navigating complex securities law issues associated with cross-border financing and acquisition transactions. His understanding of US securities law and disclosure requirements allows him to find the most efficient ways for clients to raise funds from inside the United States.

Albert is also a leading practitioner of Regulation A+ IPOs and has represented both issuers and underwriters in some of the first Regulation A+ IPOs since the adoption of the new rules by the SEC. Albert also advises private companies in venture capital financing and other complex corporate finance and M&A transactions, including Regulation CF offering and Rule 506(c) offering.

Albert writes and speaks frequently on topics relating to US securities laws, including the JOBS Act, Dodd Frank Act, and more recently he plays a leading role in developing the Regulation A+ legal practice.

Selected Capital Market and Public Company Representations

  • AcelRx Pharmaceutical (IPO, Follow–on and PIPE)
  • Actuate Inc. (Tender Offer)
  • Allied Gaming and Entertainment Inc. (PIPE and SEC Compliance)
  • Alpha & Omega Semiconductor Limited (IPO, tender offer and SEC Compliance)
  • B. Riley Securities Inc. (IPO, ATM, Public Offering/Underwriter Representation)
  • Cadiz Inc. (Public Offering and ATM)
  • Cohen & Company (SPAC IPO)
  • Corsair Memory Inc. (IPO)
  • Dermtech Inc. (PIPE)
  • Emcore Corporation (Tender Offer/Underwriter Representation)
  • Essa Pharmaceutical Inc. (PIPE)
  • Evercore Group (Public Offering/Underwriter Representation)
  • Fate Therapeutics Inc. (IPO)
  • GCT Semiconductor Holding Inc. (SPAC IPO and SEC Compliance)
  • Global Ship Lease Inc (Public Offering, PIPE and ATM)
  • Hoku Inc. (Public Offering)
  • HomeUnion Holding Inc. (Regulation A+ IPO)
  • Humanigen Inc. (PIPE)
  • Inter-continental Exchange (IPO)
  • Interpublic Group of Companies (Follow-on)
  • Jefferies (Public Offering//Underwriter Representation)
  • Landmark Infrastructure Partnerships (ATM)
  • MEMC Electronic Material Inc. (Secondary Public Offering)
  • MINISO Group Holding (Hong Kong IPO)
  • MTBC Inc. (Public Offering and ATM)
  • Morgan Stanley (Public Offering//Underwriter Representation)
  • Nanogen Inc. (Public Offering and PIPE)
  • NAPCO Security Technology Inc. (Secondary Public Offering)
  • Needham Capital (Public Offering//Underwriter Representation)
  • Netlist Inc. (Public Offering)
  • Newsbeat Social Inc. (Regulation A+ IPO)
  • Nordic American Tanker Ltd. (ATM)
  • One Span Inc. (Tender Offer)
  • Ooma Inc. (Secondary Public Offering)
  • Pansoft Company Limited (IPO and Follow-on)
  • Penson Financial Inc. (144A Offering and SEC Compliance)
  • Petco Inc. (Secondary Public Offering)
  • PSI International Inc. (Regulation A+ IPO)
  • Freedom Capital (Public Offering/Underwriter Representation)
  • Roth Capital (Public Offering/Underwriter Representation)
  • Sangamo Therapeutics Inc. (Public Offering, ATM, and SEC Compliance)
  • SeaStar Medical Holding Inc. (SPAC IPO and SEC Compliance)
  • SJW Group (Public Offering and SEC Compliance)
  • Super Micro Computers, Inc. (Corporate Governance and SEC Compliance)
  • Texas Pacific Group (Public Offering)
  • TOMI Environmental Solutions Inc. (Public Offering)
  • TrueCar Inc. (IPO, selling stockholder representation)
  • United Microelectronics Corporation (SEC Compliance)
  • Xponential Fitness Inc. (Public Offering and SEC Compliance)
  • Veritone Inc. (IPO)
  • New York University, 1998, B.A., Summa Cum Laude
  • Yeshiva University, Benjamin N. Cardozo School of Law, 2001, J.D., Magna Cum Laude
  • California
  • New York

Recommended, Finance: Capital markets: equity offerings, The Legal 500 US (2023–2025)

Rising Star Partner, IFLR1000 Financial and Corporate (2023)