Our Team

Adam Rock

Partner
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I practice corporate and securities law, with a particular focus on the representation of early-stage companies and the private funds that invest in and advise them.

A significant part of my practice involves complex transactional matters, including formations, financings, mergers, acquisitions, dispositions, and reorganizations.   

My clients are active in numerous sectors, notably energy and real estate. 

Education

  • University of Toronto, 2005, LL.B.

Call to the Bar

  • 2006, Law Society of Alberta

Representative Work

  • Counsel to the syndicate of underwriters in connection with a publicly-traded oil and gas company’s short-form prospectus offering of common shares and flow-through shares (2016)
  • Counsel to a venture capital fund in the information technology sector in connection with its formation and capitalization (2016)
  • Counsel to a non-redeemable investment fund in the media production sector in connection with its formation and capitalization (2016)
  • Counsel to the syndicate of underwriters in connection with a publicly-traded oil and gas company’s private placements of common shares and flow-through shares (2015; 2016)
  • Counsel to the syndicate of underwriters in connection with a publicly-traded oil and gas company’s private placements of common shares and flow-through shares (2015; 2016)
  • Counsel to non-redeemable investment fund in the agriculture sector in connection with its formation and capitalization (2015; 2016)
  • Counsel to a privately-held financial services company in connection with its private placements of secured debentures (2015; 2016)
  • Counsel to a non-redeemable investment fund in the oil and gas sector in connection with its formation and initial public offering of partnership units (2015)
  • Counsel to a privately-held oil and gas company in connection with its private placement of royalty interests (2015)
  • Counsel to a publicly-traded oil and gas company in connection with its private placements of common shares and warrants to U.K. investors (2015)
  • Counsel to a publicly-traded oil and gas company in connection with its tax-driven plan of arrangement (2014)
  • Counsel to a privately-held oilfield services company in connection with a series of inter-company financings, which were structured as cross-border sale-repurchase transactions (2014)
  • Special counsel to an alternative asset manager in connection with the formation of a long-short hedge fund (2014)
  • Counsel to the underwriter in connection with a publicly-traded oil and gas company’s private placement of subscription receipts and shares (2014)
  • Counsel to a privately-held oilfield services company, in connection with its private placement of subscription receipts and shares (2014)
  • Counsel to an alternative asset manager in connection with its successful contest for corporate control of a publicly-traded oil and gas company (2014)

Memberships and Affiliations

  • Member, Canadian Bar Association
  • Member, Law Society of Alberta
  • Member, Association for Corporate Growth
  • Member, Private Capital Markets Association

Recent Media

Alberta leads the way in amending Securities Act - June 19, 2017

Increased reporting requirements for exempt market distributions - May 10, 2016

Insights

  • Early Warning Reports - When Do I Need to File?
  • Recent Developments in Alberta Securities Laws
  • Hedge Funds VS. Private Equity Funds
  • Is a Private Equity Firm Required to Register?
  • Is a Private Equity Firm Required to Register?
  • Is a Private Equity Firm Required to Register?
  • View all Insights by Adam Rock