Chris DeFalco

Managing Director


Oppenheimer & Co.

Chris DeFalco is a Managing Director in Equity Capital Markets, specializing in capital markets advisory for Technology and Consumer growth companies. He also serves as the Head of the SPAC ECM practice at Oppenheimer & Co., where he has been since 2015. Chris has executed over 240 bookrun/lead-managed equity and equity-linked offerings, raising over $4.3 billion in gross proceeds. He has extensive experience with Follow-Ons, Registered Directs, PIPEs, IPOs, SPACs (front-and back-end), and Convertible Offerings.

Prior to joining Oppenheimer & Co., Chris was an industry investment banker focused on small-cap Healthcare companies for Roth Capital Partners. Chris graduated from Rutgers University with a BS in Finance.

Outside of work, Chris is an avid fitness enthusiast and enjoys being outdoors. You can find him most weekends at his favorite group workout class, Barry's Bootcamp. He also enjoys playing board games and puzzles, such as Settlers of Catan which is his preferred game of choice. Chris is a Co-Creator of the table-top game Pop Under Pressure™ and the viral plush toy, Emotional Support Fries™. These interests outside of work highlight Chris's creativity and passion for bringing people together through fun and unique experiences.


    1:45 PM - 2:05 PM

    Wednesday General Session 1/31/2024

    Navigating Regulatory Limitations When Raising Capital

    • Baby Shelf requirements can pose significant limitations on small cap raises
    • Using shelf registration for a follow-on
    • Nasdaq/NYSE 20% rule
    • Benefits of at-market offerings
    View Full Agenda