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Searching Content indexed under Directors and Officers by Anna T. Pinedo ordered by Published Date Descending.
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Establishing An Issuer Rule 10b5-1 Plan With An ATM Offering
This article summarizes key questions that an issuer may raise in connection with deciding whether to establish a Rule 10b51 trading plan in conjunction with the issuer's at-the-market offering program.
United States
3 Oct 2019
2
Business Development Company Guide For Capital Markets
In this Lexis Practice Advisor® Practice Note, we provide answers to questions frequently asked by securities lawyers and their clients regarding the federal securities laws
United States
10 Sep 2019
3
The Up-C Structure In IPOs
The umbrella partnership - C corporation structure ("Up-C") is an indirect mode for an operating partnership to conduct an initial public offering ("IPO").
United States
29 May 2019
4
Corporate Governance In Pre-IPO Companies
In a recent paper, "Scaling Up: the Implementation of Corporate Governance in Pre-IPO Companies," authors David F. Larcker and Brian Tayan review governance practices and how these evolve in the lead-up to an IPO.
United States
25 Jan 2019
5
10 Tips For 10-Ks And Proxy Statements
With preparations shifting into high gear for calendar-year companies that file annual reports on Form 10-K and proxy statements with the US SEC, here are tips to consider when drafting these documents.
United States
9 Jan 2019
6
Top 10 Practice Tips: Lock-up Agreements
In connection with securities offerings, the underwriters or placement agents generally negotiate a lock-up agreement with the issuer, as well as with the issuer's directors, officers ...
United States
4 Jan 2019
7
Mandating Women On Boards
In September, California mandated women directors on corporate boards. In a new paper titled "Mandating Women on Boards: Evidence from the United States,"
United States
7 Dec 2018
8
Market Trends 2017/18: Lock-Up Agreements
In connection with offerings of securities, the underwriters or placement agents negotiate a lock-up agreement with the issuer and its directors, officers, and control persons.
United States
15 Aug 2018
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