Securities

Reinhart's Securities team attorneys are results-oriented business lawyers with a breadth and depth of experience in securities and business law that enables them to effectively and creatively meet clients' objectives. Whatever the capital source, the Securities team has experience in structuring, negotiating and closing securities offerings and financing transactions.

Our Securities team also works closely with our public clients and their executive officers and Board or Board committees in complying with the wide range of public company regulatory and reporting obligations including Sarbanes-Oxley Act compliance, stock exchange regulations and corporate governance requirements and best practices. Our extensive EDGAR and technical capabilities enable us to assist clients and other reporting insiders in all of their SEC filing needs in a cost-effective and timely manner. The Securities team also works with investment advisors, mutual funds and pension plan managers.

We represent and counsel clients on the following types of securities transactions and activities: 

• Public offerings
• Issuer's counsel
• Underwriter's counsel
• Private placements
• Identifying and perfecting exemptions from state and federal registration requirements
• Developing and writing business plans and offering memorandums
• Preparing and negotiating investment documents and agreements
• Rule 144A and Regulation S transactions
• PIPE (private investment in public equity) transactions
• Locating financing
• Angel investing
• Venture capital funds, mezzanine capital funds and hedge funds
• Ongoing securities compliance
• Periodic reporting
• Stock transactions by insiders, including Rule 144, 10b5-1 plans and section 16 compliance
• Disclosure and Regulation FD
• Dealing with analysts, proxy advisors and the investment community
• Sarbanes-Oxley and Dodd-Frank compliance
• Compliance with stock exchange regulations
• Audit and Special Committee representation
• Mergers and acquisitions
• Public company transactions
• Tender offers, proxy contests and similar transactions
• Going private transactions
• Takeover preparedness
• Director fiduciary duties
• Trust preferred securities