We offer a full-service capital markets practice that provides transactional and ongoing advice through all stages for companies of all sizes. With senior-level attention, we have represented investment banks and investors in connection with U.S. and global capital markets transactions, including SEC registered, Regulation D, Rule 144A and Regulation S offerings. Our expertise spans equity and debt products, including initial public offerings, investment grade and non-investment grade debt, SPACs and other permanent capital vehicles, preferred stock, equity-linked securities, PIPEs and registered direct offerings.
In addition to our transactional capital markets practice, we counsel public companies, their boards, board committees, special committees, executive officers and investors in connection with ongoing compliance under the U.S. securities laws, including under Dodd-Frank and Sarbanes-Oxley, and with exchange requirements, as well as on governance and executive compensation matters.
Our practice experience includes:
- Periodic and current reports (10-Ks, 10-Qs, and 8-Ks)
- Proxy statements, shareholder proposals, and proxy solicitation contests
- Issuer self-tender offers and exchange offers
- Third-party tender offers
- Exchange-listing standards and applications
- Beneficial ownership and insider reporting
- Advice on short-swing profits and insider trading
- Executive compensation disclosure and Sarbanes-Oxley
- Registered offerings, including initial and follow-on public offerings
- Private placements under Regulation D and other exempt offerings
- Venture capital financings
- Rule 144A offerings
- Preparation of registration statements, prospectuses, and offering memoranda
- Going-private transactions
- Blue sky issues
- Fund formation, broker-dealer and investment adviser regulations
- Resales of restricted securities
- Equity-linked securities (phantom stock and convertible debt)
- Options, warrants, preferred stock
- Stockholder rights
- Senior Counsel
- Senior Counsel
- Institute for Paralegal Education; Webinar,
- SmithAmundsen Promotes Nine Attorneys to PartnerSmithAmundsen Promotes Nine Attorneys to Partner
Congratulations to Luke Behnke, Amber Bishop, John Hayes, Matthew Kees, Elizabeth Lum, Paul Mackowski, Britta Sahlstrom, Jack Sanker & Justin Welply!
- Corporate Attorney James J. Wawrzyn Joins Our Milwaukee OfficeCorporate Attorney James J. Wawrzyn Joins Our Milwaukee Office
Please join us in welcoming James!
- Attorney Carrie Hill Joins SmithAmundsen's Corporate and Financial Services Practice Groups in IndianapolisAttorney Carrie Hill Joins SmithAmundsen's Corporate and Financial Services Practice Groups in Indianapolis
Carrie represents clients in various industries on a wide variety of issues, from day-to-day business operations and contracts, to corporate formation and corporate governance.
- State of Illinois Force Majeure Law Compendium (during COVID-19 pandemic)State of Illinois Force Majeure Law Compendium (during COVID-19 pandemic)
In USLAW NETWORK’s newly released COVID-19 Force Majeure Compendium of Law, Karen Tobin seeks to provide an Illinois exemplar on relevant considerations with respect to invoking “force majeure” clauses in contracts in light of the ongoing COVID-19 crisis.