Foreign Private Issuers’ D&Os Now Subject to Sec. 16(a) Insider Reporting: Compliance Burdens, Timing, Practical Implications

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.

Ms. Hubben advises public companies on capital-raising transactions, SEC reporting and corporate governance. She also counsels public and private companies on a broad range of executive compensation and equity compensation arrangements and programs, including equity and incentive plans and related tax, corporate and securities law concerns. Ms. Hubben represents issuers in IPOs, de-SPAC and reverse merger transactions, follow-on public offerings, ATM offerings, registered directs and PIPEs. She also has experience representing buyers and sellers in mergers and acquisitions, spinoffs and private equity investments. As part of her practice advising public companies, Ms. Hubben helps clients navigate corporate governance and securities compliance obligations, ESG matters, Nasdaq and NYSE listing requirements, proxy advisory firm policies, and rules regarding disclosure of director and executive compensation. She concentrates her practice on the life sciences and technology sectors, including representing pharmaceutical, biotech and medical device companies.

Ms. Reidy counsels both U.S. and foreign companies regarding a broad range of corporate law matters, including corporate governance, securities regulation, securities offerings, mergers and acquisitions and other major corporate transactions. Her experience as a corporate secretary has positioned her as a trusted advisor to senior executive officers, public company boards of directors, and board committees. Ms. Reidy’s approach has been instrumental in helping companies achieve their business goals. She regularly advises companies on SEC reporting, national securities exchange (NYSE and NASDAQ) listings and compliance, and public and private offerings of equity and debt securities. She also guides clients on compliance with legal requirements and best practices. Ms. Reidy works with clients across a variety of industries, such as life sciences, technology, energy and renewables, mining, and financial services. Additionally, she advises underwriters and agents on a range of matters.