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James M. Herriott

Fax +1.919.743.7358
Fax +1.704.331.7598
James Herriott is a partner in the Raleigh and Charlotte offices and focuses his practice on mergers and acquisitions, securities and general corporate and business matters. He regularly represents clients on public and private securities offerings, the purchase and sale of public and private companies, corporate governance, private equity and venture capital investments and commercial contracts. Mr. Herriott advises clients in a number of fields, including the biotech, life sciences, energy, technology, and manufacturing sectors.

Professional Background

Mr. Herriott was selected as a 2014, 2015 and 2016 North Carolina Rising Star (Mergers and Acquisitions, Securities and Business/Corporate Law).

Prior to joining K&L Gates, Mr. Herriott practiced in the corporate and securities group of an international law firm’s Orange County, California office.

Professional/Civic Activities

  • Association for Corporate Growth Raleigh/Durham
  • Mika Community Development Corporation, a nonprofit corporation serving and equipping leaders in low-income neighborhoods in Costa Mesa, California (Chairman, 2011-2012; Board member 2008-2012)

Speaking Engagements

  • “Securities Law Update and Corporate Governance,” K&L Gates and North Carolina Subchapter of the southeastern Chapter of the Society of Corporate Secretaries and Governance Professionals, “Back to Basics” CLE Webinar, May 2016
Mergers and Acquisitions
  • Represented a NASDAQ-listed agricultural biotechnology company in connection with a tender offer by, and merger with, private buyer.
  • Represented DARA BioSciences Inc., a NASDAQ-listed company, in connection with its sale to a Midatech Pharma PLC.
  • Represented a solar power project developer in a $280 million project portfolio funding agreement with a Danish fund management company in the development and construction of PV solar projects totaling 175MW in North Carolina.
  • Represented a solar project developer in acquisitions of 17 PV solar projects in North Carolina.
  • Represented NEC Corporation, a Tokyo-based multinational provider of information technology services and products, in its $100 million acquisition of the electric grid storage division of electric battery maker A123 Energy Systems LLC, a subsidiary of Wanxiang America Corporation. In connection with NEC’s acquisition, Wanxiang affiliate Shanghai Puxing Energy Co. and NEC entered into a joint venture to develop an electric grid storage business in the People’s Republic of China
  • Represented Ericsson, a multinational provider of communications technology and services, in its $95 million acquisition of Fabrix Systems, an Israeli cloud-based video storage and computing platform
  • Represented DDI Corp., a leading provider of printed circuit boards, in its $268 million acquisition by Viasystems Group, Inc.
  • Represented private equity funds in connection with numerous merger and acquisition transactions
  • Represented healthcare provider in connection with a series of acquisitions of ambulatory surgical centers
  • Represented biotech and diagnostics companies in connection with various healthcare and medical device acquisitions
Corporate Finance and Securities
  • Represented molecular diagnostics company listed on NASDAQ in connection with common stock offerings raising more than $275 million
  • Represented biopharmaceutical company in connection with several public offerings of common stock and warrants, including the issuer’s uplisting onto NASDAQ.
  • Represented Kayne Anderson Midstream/Energy Fund in its $530 million initial public offering and Kayne Anderson MLP Investment Company in underwritten public offerings of common stock and mandatory redeemable preferred shares, raising over $620 million
  • Represented Firsthand Technology Value Fund in connection with $100 million follow-on underwritten public offering of common stock
  • Represented The Greenbrier Companies in two common stock offerings and one senior convertible note offering
  • Represented a NASDAQ listed electronics company in an underwritten $5 million offering of common stock
  • Represented biopharmaceutical company in connection with recapitalization and private placement financing
  • Represented various companies and investors in venture capital financings of biotech and mobile technology startups
  • Represented technology and life sciences companies, ranging from start-ups to public companies, in connection with numerous significant commercial contracts (including research and development, licensing, manufacturing and marketing agreements)

Note: Includes representations Mr. Herriott handled prior to joining K&L Gates.