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Clients come to us for assistance in wide range of financing transactions, such as private placements including offshore offerings and Rule 144A offerings, PIPES transactions, private equity investments, public offerings, bank loans including syndicated loans, and structured financings. In addition, we have advised lending and borrowing clients in senior and subordinated debt financings. This experience extends to representing both investors/capital sources and companies receiving funds.
Clients seek our advice on compliance with the U.S. and state securities laws. In particular, we have advised clients on the following:
- Periodic filings (e.g., Forms 10-K, 10-Q and 8-K) with the SEC.
- Filing of proxy or information statements with the SEC for shareholder meetings and other action.
- Resales of restricted stock under SEC Rule 144.
- Filing Schedules 13D and 13G with the SEC.
- Filing Forms 3, 4 and 5 with the SEC.
- Compliance with the special requirements imposed by stock exchanges on their listed companies.
- Registration and compliance by securities broker-dealers and investment advisers.
- Requesting “no action” letters or other interpretative advice from the SEC.
In the area of private equity, we have advised in structuring transactions in light of the differing interests of institutional investors and management, plus the goal of investors for flexibility in exiting an investment.
Corporate finance, like M&A, is the area of many creative and innovative minds. We strive to keep abreast of trends in this area and to know which innovations are in our clients’ best interests.
Please click here to learn more about our Securities, Finance & Private Equity practice.
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