New SEC Beneficial Ownership Reporting Rules: Shorter Deadlines, Guidance on "Groups," Cash-Settled Derivatives

Ms. Klaben advises financial services firms – particularly private fund advisers, public companies, family offices and broker-dealers – on a wide range of securities regulatory, compliance, enforcement, and transactional matters. She works extensively with clients on their compliance with the disclosure requirements and related liability under Sections 13 and 16 of the Exchange Act. Ms. Klaben also assists broker-dealer and investment adviser clients with recordkeeping compliance and related regulatory inquiries. She has also counseled numerous broker-dealer clients on establishing and executing fully paid securities lending programs. Ms. Klaben is a member of Sidley’s global Securities Enforcement and Regulatory practice.

Mr. Bartz advises clients in all aspects of corporate and securities law, with an emphasis on capital markets transactions, securities regulation, and corporate governance. He has experience representing both issuers and investment banks in a wide range of capital markets transactions, including initial public offerings, follow-on offerings, public and private offerings of debt and equity securities, and tender offerings. Mr. Bartz’ practice also includes M&As and other general corporate matters, including Exchange Act reporting and corporate governance and compliance matters, including insider reporting and compliance with the rules of the New York Stock Exchange and Nasdaq. Mr. Bartz has counseled and represented companies involved in a broad array of industries, including financial services, international shipping, food distribution, and the energy industry, including exploration and production companies, master limited partnerships, pipeline joint ventures, and oilfield services companies.

Mr. Leitzell advises clients on domestic and cross-border mergers and acquisitions, securities offerings, financings, and public company reporting and governance issues. His clients are varied, including public and privately-held corporations, private equity sponsors and their portfolio companies. Mr. Leitzell also has experience across a wide range of industries, most significantly in the healthcare and technology sectors.