Overview

Our securities team advises public and private companies on corporate, commercial securities, financial and regulatory issues. From emerging companies to handling equity financing, debt management and public offerings for well-established corporations, our clients cross all stages of business.

Our areas of focus include:

  • Initial and secondary public offerings
  • Corporate governance
  • SEC and other government compliance
  • Executive and director compensation
  • Beneficial ownership reporting
  • Commercial contracting and outsourcing
  • Exempt/private offerings
  • Committees and internal investigations
  • Venture capital and emerging companies

We assist clients with periodic and annual reports filed with the SEC and proxy solicitation materials – required both on a recurring basis and for financings, mergers and acquisitions, and other significant events.

Our team advises directors, executive officers and shareholders on beneficial ownership reporting requirements and insider trading issues, including preparation and filing of Section 16 reports (Forms 3, 4 and 5) for directors and executive officers and Schedules 13G and 13D for significant beneficial owners.

We represent issuers and selling shareholders in sales of restricted securities and Rule 144 compliance. We also develop and review 10b5-1 trading plans and securities trading policies for directors, executive officers and other personnel.

Efficient and timely legal counsel is critical for securities transactions. We provide practical, strategic advice in real time to proactively spot pitfalls and identify opportunities.