Corporate Securities

Klinedinst PC’s Corporate Securities Practice Group offers a broad collection of specialized services to each of the participants in the securities industry. We have successfully represented public and private companies, underwriters, investors, broker/dealers, investment banks and emerging companies with addressing their securities needs under federal and blue sky securities law. We offer a multidisciplinary approach to advising the client by utilizing the knowledge and wisdom of our highly-skilled corporate and litigation attorneys with backgrounds in securities, debt and equity financing, mergers and acquisitions, corporate governance and dispute resolutions to provide cost-effective solutions.

Recent developments in the securities space make it crucial to have well-informed and proficient securities attorneys to assist in evaluating and advising on business, financial and investing considerations as they relate to securities law. From raising capital for startups and growing businesses to compliance under the Securities Exchange Act of 1934, the Klinedinst PC Corporate, Transactional and Securities Practice Group can meet your corporate securities legal needs every step of the way.

Private Companies

With regards to our private company clients, our offerings include:

  • Debt and Equity Financings – advice on structure, terms of offering and drafting and negotiating the investment documents.
  • Federal Securities Law Compliance – Regulation D and other exemptions.
  • Blue Sky Compliance
  • Stock Options and other equity-style incentive compensation programs
  • Stock Redemptions
  • Shareholder Disputes
  • Acquisitions and dispositions of securities

Public Companies

With regards to our public company clients, our offerings include:

  • ’34 Act Periodic Reports – Form 10-Ks, 10Qs, 8-Ks
  • Annual Meetings – Annual Report to Security Holders, Proxy Statements and Solicitation
  • Corporate Governance – Director independence, committees, Sarbanes Oxley
  • Section 16 Filers
  • Stock Option Plans
  • Rule 144 Resales
  • Press Releases – Regulation FD, investor relations
  • Private Placements
  • Acquisitions and Dispositions

Investors

With regards to our investor clients, our offerings include:

  • Initial Investment – Advice and review of documents
  • Ongoing corporate governance and strategy advice
  • Liquidation