Public and Private Transactions.
· Private placements
· Initial public offerings with the Securities and Exchange Commission
· Secondary offerings with the Securities and Exchange Commission
· Public offerings in connection with merger transactions
· Real estate syndications in New York State
· Rule 144A offerings
· WKSI offerings
· Sales of restricted stock
· Compliance with Section 16 short-swing profit provisions
Compliance and Reporting.
· Annual and quarterly reports
· Reports of insider transactions under Section 16 of the Exchange Act
· Proxy Statements and annual reports to shareholders
· Current reports on Form 8-K
· Compliance with Rule 144 resales
· 13D and 13G filings regarding beneficial ownership and possible change of control
· Schedules 13(e)(3), 13(e)(4), and 14(d) going private
· Tender offer filings
Blue Sky (State Securities) Regulation.
· Notification/registration of securities under state securities laws
· Obtaining suitable exemptions under state securities laws for securities offerings
Securities Litigation.
· Representing brokers/dealers in securities litigation and arbitrations
· Reporting registration in class action securities litigation
Corporate Governance.
· Representing boards in connection with compliance with major corporate events
· Representing boards in connection with Sarbanes-Oxley compliance