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Securities

Whether it’s handling Securities and Exchange Commission regulations or helping establish an IPO, our team is experienced in all securities matters.

Each of the attorneys in our Securities Group has substantial experience in handling securities matters. They handle SEC work for a variety of public companies, have participated in IPOs as counsel for issuers and underwriters and have represented buyers or sellers in public merger and acquisition transactions. Two of our attorneys have served as in-house counsel at public companies during their careers, giving our group unique insight into the specific issues impacting public companies.

Services we offer include:

  • Debt and equity public and private offerings
  • SEC disclosure requirements
  • Venture capital financing
  • Stock-based compensation
  • Exchange/NASDAQ listings
  • Periodic reports
  • Proxy statements
  • Individual reporting
  • Dividend reinvestment plans

The services we provide to our clients include the preparation or review of periodic reports on Forms 10-K, 10-Q and 8-K; proxy materials and annual report; press releases; filings under Regulations FD and M-A; registration statements on Forms S-3 and S-8 relating to dividend reinvestment plans and employee and director benefit plans; individual reporting on Forms 3, 4, 5, and 13D; registration statements on Form S-4 containing proxy statements/prospectuses relating to acquisitions using stock as consideration; proxy statements relating to acquisitions for cash; and securities compliance policies. We also assist with annual meeting matters including preparation/review of the proxy statement and Form 10-K, reviewing the annual report to shareholders, dealing with shareholder proposals, and preparing specialized employee and director benefit plans.

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Our attorneys, paralegals and staff look forward to hearing from you. Please reach out to let us know how we can help.

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