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, our experience with the capital markets and our familiarity with companies like yours 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.
Our Clients
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:
- Venture investments and financings
- Private placements
- Initial public offerings
- Secondary public offerings (equity and debt)
- Secondary sales of privately held securities
- Bridge loan transactions
- 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 preferred stock and bridge financings for Atrato
- Equity and debt offerings, and equity and debt investments in technology companies, for Best Buy
- Sale of preferred stock for Blu Dot Design & Manufacturing, Inc.
- Equity investment in wireless networking company for a group of investors led by Cargill Ventures
- Equity and debt investments in technology companies for groups of investors led by Crescendo Ventures
- Equity investments in technology companies for Decathlon Capital Partners
- Debt investment in a technology company for El Dorado Venture
- Initial public offering for Golf Galaxy
- Equity investment in a medical device company for Medtronic
- Sales of preferred stock for MR Instruments
- Secondary public offering for Peoples Educational Holdings
- PIPE transaction for Appliance Recycling Centers of America
- Equity investment in a medical device company for a group of investors led by RiverVest Ventures
- Sales of preferred stock and bridge financings for SimonDelivers
- Sales of preferred stock and bridge financing for XTRM
Business Practices > Corporate Finance and Securities