Our Team

Adam Rock

Partner

I love spending time with my two sons (and best friends), Eli and Noah.

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

My work with clients often spans the entire life cycle, from formation through financing and growth to exit.

I’m inspired by the accomplishments of my clients and colleagues, many of whom are at the cutting edge of their respective fields.

Education

University of Toronto, 2005, LL.B.

Call to the Bar

2006, Law Society of Alberta

Representative Work

  • A venture capital fund in its C$0.3 million investment in a technology company (2020)
  • A family office in its €2.5 million cross-border investment in a technology company (2020)
  • The underwriter in a private metals and mining company’s C$2.0 million private placement of common shares, flow-through shares, and warrants to Canadian accredited investors (2020)
  • A financial sponsor in the formation and capitalization of a venture capital fund (2020)
  • A family office in its US$1.0 million cross-border investment in a technology company (2020)
  • A family office in its €1.1 million cross-border investment in a technology company (2019)
  • A private consumer-electronics company in its US$2.5 million cross-border private placement of common shares and warrants to a strategic investor (2019)
  • A private consumer-electronics company in its C$3.1 million private placement of senior secured debentures to Canadian accredited investors (2019)
  • A private healthcare company in its C$1.8 million private placement of common shares to Canadian accredited investors (2019)
  • A family office in its US$0.8 million investment in a technology company (2019)
  • A private energy company in the C$2.5 million sale of assets to a strategic seller (2019)
  • CE Brands Inc. (TSXV:CEBI.P), a Capital Pool Company®, in its $0.5 million initial public offering of common shares (2019)
  • A private consumer-electronics company in its C$2.6 million private placement of common shares and warrants to Canadian and U.S. accredited investors (2019)
  • A private healthcare company in its C$5.1 million private placement of common shares to Canadian accredited investors (2019)
  • A private consumer-electronics company in its HK$50.0 million cross-border acquisition of all of the outstanding securities of a strategic seller (2019)
  • A family office in its US$0.9 million investment in a metals and mining company (2019)
  • A private energy company in the C$20.0 million sale of all of its outstanding securities to a strategic buyer (2019)
  • A private energy company in the C$8.6 million acquisition of substantially all of the assets of a strategic seller (2019)
  • A private technology company in its C$2.0 million private placement of common shares and warrants to a venture capital fund (2019)

Memberships and Affiliations

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

Select Speaking Engagements

Presenter, “Insights and Tips into the Recruitment Process” Global Lawyers of Canada, Online, June 25, 2020

Presenter, “Confidentiality Agreements and Letters of Intent” Legal Education Society of Alberta: Buying & Selling a Business, Calgary, Alberta, December 3, 2019, and Edmonton, Alberta, December 10, 2019

Moderator, “The Role of Financial Advisors” Legal Education Society of Alberta: Buying & Selling a Business, Calgary, Alberta, December 3, 2019, and Edmonton, Alberta, December 10, 2019