Polly Swartzfager

Over fifteen years of experience as a corporate/securities lawyer representing domestic and foreign issuers and financial institutions in public offerings and private placements of debt and equity securities, secured financings, debt restructurings, private equity and mezzanine debt investments, mergers and acquisitions, and providing advice with respect to securities laws and general corporate matters. 

Financings and Securities Offerings

Senior secured bank facility for PRV Aerospace portfolio companies of Platte River Ventures I, L.P. and Platte River Ventures II, L.P.

Trico Shipping AS Rule 144A offering of Senior Secured Notes ($400 million) and senior secured revolving credit facility ($33 million).

The Parent Company senior secured loan agreement with D. E. Shaw & Co. ($25 million).

Mezzanine financings by Caltius Partners in Diversified Human Resources and affiliated companies, a professional employer organization; in Bulk Handling Systems, a designer, manufacturer and installer of premium conveying and screening systems for the solid waste and recycling materials processing industry; and in Griplock Systems, LLC, a specialized provider of cable suspension systems.

Senior secured bank facility for Giddens Industries, Inc., a portfolio company of Platte River Ventures I, L.P. ($20 million).

Alpha Natural Resources, Inc. initial public offering ($645 million) and secondary offering ($298 million).

Gaiam, Inc. secondary offering ($100 million).

OpenPeak Inc. Series B, Series C and Series D preferred stock offerings.

Alpha Natural Resources, LLC secured term loan and revolving credit facility ($525 million).

Alpha Natural Resources, LLC Rule 144A Senior Note offering ($175 million) and secured revolving credit facility ($175 million).

Business Acquisitions and Dispositions

Sale of Stratos International, Inc. to Emerson Electric Company ($120 million).

Merger of Fluent, Inc. (a Willis Stein & Partners portfolio company) with ANSYS, Inc. ($650 million in cash and stock).

Sale by Aquilex Corp. of its Wheelabrator Air Pollution Control, Inc. to Siemens Power Generation, Inc., and its Welding Specialty Services business to GE Energy and Industrial Services, Inc. 

Acquisition by Trilby Energy, LLC of assets of septic services company.

Acquisition by Foundation Coal Corporation (a portfolio company of First Reserve Corporation and Blackstone Capital Partners) of RAG American Coal Holding (Illinois, Wyoming, Pennsylvania and West Virginia coal operations) from RAG Coal International AG ($1 billion).

Acquisition of various Northern and Central Appalachian coal mining operations by Alpha Natural Resources, LLC (a First Reserve Corporation portfolio company).

Acquisition of the Virginia coal operations of The Pittston Company and the coal operations of El Paso Corporation by Alpha Natural Resources, LLC (a First Reserve Corporation portfolio company).

Other Transactions

Strategic alliance between The Crow Tribe of Indians (Apsaalooke Nation) of Indians and Australian-American Energy Company with respect to the proposed development of a $7 billion coal-to-liquids project on the Crow Reservation in southeastern Montana.