Our Business Opportunities Group provides sophisticated securities counseling to a variety of businesses ranging from entrepreneurial “start-up” ventures to large, publicly-traded companies. Two of our attorneys have served as “in house” general counsel for publicly-traded companies, so we bring a level of expertise to the table in securities areas not traditionally found in firms of our size.
Some examples of legal services we have provided in the securities area include:
• Private Regulation D offerings
• Public offerings, including initial public offerings
• Advising public companies on implementation of “shareholder rights plans” (also referred to as “poison pills”) and other anti-takeover defenses
• Advising public companies on “going private” transactions
• Advising public companies on mergers and acquisitions and related securities issues
• Rendering restricted securities legal opinions regarding transfers by stockholders of publicly traded companies
• Assisting public companies in preparing SEC filings and reports including quarterly reports on Form 10-Q, annual reports on Form 10-K, current reports on Form 8-K, proxy statements, and annual reports to stockholders
• Assisting with Section 16 reports on Forms 3, 4 and 5 regarding ownership of securities by officers, directors and significant stockholders.