Steve Kaplan

Managing Director


Lucid Capital Markets

Steve Kaplan serves as Managing Director at Lucid Capital Markets. Prior to joining Lucid, Mr. Kaplan served as Head of Capital Markets at Ladenburg Thalmann, a middle market investment bank. Mr. Kaplan has worked in the financial community for over twenty-five years and has substantial experience advising companies in a variety of industries. During his career, Mr. Kaplan has participated in over 600 transactions, including approximately 75 SPAC IPOS, for both public and private companies. Mr. Kaplan has also served as Co-Founder of River Capital Partners, a healthcare investment banking boutique firm, spent three years with Prudential Securities where he was a Vice President in the Healthcare Investment Banking Group and three years as a Vice President in the Corporate Advisory Group of Jefferies & Company. During his tenure with these firms Mr. Kaplan primarily focused on the Healthcare industry, though he also completed transactions in the technology, retailing, and financial services industries. Mr. Kaplan's background also includes three years as a Manager in the Corporate Finance Group of Deloitte & Touche, where he primarily focused on performing due diligence reviews related to acquisition transactions and four years as an auditor with Pricewaterhouse Coopers.


    4:40 PM - 5:05 PM

    Wednesday June 12, 2024

    Deep Dive: The Cost of Compliance in SPACs

    • Impact of SPAC sponsor track history disclosure on co-sponsor deals
    • Structural and financial changes target companies need for SEC compliance
    • Cost of fees in SPAC deals now versus pre and during the pandemic
    10:40 AM - 11:25 AM

    Thursday February 15, 2018

    SPAC IPO Structuring Alternatives

    • Unit and warrant structure.
    • Sponsor’s at-risk capital.
    • Forward purchase agreements.
    • Onshore vs. offshore SPACs.
    • Use of IPO proceeds for expenses.
    9:35 AM - 10:25 AM

    Thursday June 24, 2021

    Matters of Disclosure

    • Insiders’ potential conflicts of interest
    • Business combination mechanics, including the financial incentives of insiders to complete a deal
    • Securities ownership by insiders
    • Understanding additional financing that may be required, including PIPEs
    • The process for identifying the target, including the selection and evaluation process
    View Full Agenda