We advise companies and boards of directors in public and private securities matters and corporate governance matters including:
- Securities and Exchange Commission (SEC) disclosure filings, including Forms 10-K, 10-Q and 8-K
- Corporate governance documents, including articles, bylaws, committee charters, policies and trends
- Annual board and committee self-assessments and training
- Investor relations matters, including advising on guidelines of institutional investors and proxy advisory firms
- Fiduciary duties
- Proxy solicitations and shareholder proposal responses
- Section 16 reporting requirements
- Insider trading policies and compliance
- Board and management succession planning
- Start-up/growth phase capital raises
- Venture capital/private equity investments
- Private placement matters, including debt and equity offerings, Regulation D offerings and securities law compliance for accredited and unaccredited investors
We work with numerous industries including:
- Technology
- Insurance
- Financial