Securities Law

Shipman & Goodwin's attorneys provide practical legal advice on transactions involving significant securities law issues, such as public offerings, private placements, mergers and acquisitions, and complex financing transactions. The firm also provides legal services to securities professionals and other securities industry participants, including broker-dealers, investment advisers and transfer agents.

Our clients include emerging companies, middle market companies, public companies (e.g., high tech companies, manufacturers and utilities), banks, investment funds, municipalities and underwriters.

We regularly provide advice and counsel to our clients in the following areas:

• Private placements of common and preferred equity securities, warrants and options, various "hybrid" equity/debt securities, and convertible and exchangeable debt securities, initial public offerings, follow-on offerings, and secondary offerings
• SEC filings, including Forms 10-K, 10-Q and 8-K, Forms 3, 4, and 5 under Section 16, Schedules 13D and 13G and proxy statements, together with dealing with the SEC in connection with its comments and inquiries regarding these and other filings
• The challenges of dealing with public shareholders, including preparation and review of press releases, insider trading issues, anti-takeover measures, proxy solicitations, including assistance in the preparation for annual meetings, tender offers and similar matters
• Stock-based executive compensation plans, dividend reinvestment plans, employee stock purchase plans, ESOPs and S-8 filings
• Fund formation and portfolio investing
• Stock for stock exchanges and mergers and related S-4 filings
• Regulation S for international offerings, Rule 144A for qualified institutional buyers, and Rules 144 and 145 for secondary market trading
• State securities law/"blue sky" issues

We are committed to providing quick, practical, cost-efficient service to our clients needing securities law counseling. We work closely with firm's business and finance, corporate trust, public finance and business litigation practices to provide the full range of experience and knowledge required by our clients.

Related Information

Primary Contacts

Related Practices