Corporate Finance and Securities
Our Corporate Finance and Securities attorneys handle complex finance and securities transactions and compliance matters for public and private companies. Our in-depth knowledge of current securities law developments and our experience with the capital markets will help you make intelligent financing decisions and increase the likelihood that your deal will close. In the compliance area, we can assist you in making difficult judgments about disclosure and other issues, and help you anticipate and address pending changes in the regulatory landscape.
Who We Represent
We represent a broad array of corporate clients, from individual entrepreneurs and start-up companies to Fortune 500 companies, as well as Boards of Directors, Board committees, and investors.
Our Experience
We regularly counsel clients regarding:
- Initial public offerings
- Secondary public offerings (equity and debt)
- Private placements and venture financings
- Debt restructurings
- Exchange offers
- Tender offers
- Proxy statements, including proxy contests and responses to shareholder proposals
- Stock repurchase programs
- Going private transactions
- Periodic reporting (10-Ks, 10-Qs and 8-Ks) and compliance with other requirements of regulatory authorities and securities exchanges applicable to publicly-traded corporations
- Compliance with SOX
- Fiduciary duties of directors and officers
- Anti-takeover preparedness, including shareholder rights plans
- Insider trading and Rule 10b5-1 trading plans
- Section 16 compliance
- Rule 144 compliance
- Executive compensation, including equity incentive plans
Selected Transactions*
Notable representative transactions include:
- Sales of convertible debentures for Best Buy
- Preferred stock and bridge loan financings for groups of investors led by Crescendo Ventures
- Initial public offering for Golf Galaxy
- Sale of preferred stock and bridge financing for MR Instruments
- Secondary public offering for Peoples Educational Holdings
- Investment in medical device company for a group of investors led by RiverVest Ventures
- Sale of preferred stock and bridge financing for Atrato, Inc.
- Sales of preferred stock and bridge financings for SimonDelivers.com
Business Practices > Corporate Finance and Securities