Capital Markets

Capabilities

Leech Tishman’s Corporate Practice Group has extensive capital markets and corporate governance experience, bringing our clients a deep understanding of the relevant regulatory frameworks, the fiduciary duties imposed on directors and officers, and a refined and effective approach to corporate disclosure.

Our Capital Markets practice regularly represents public and private entities that issue securities to raise capital as well as security holders looking to sell their securities including issuers, underwriters, venture capital and private equity funds. We advise clients on a diverse range of public and private financings

Leech Tishman’s Corporate Practice Group attorneys have a depth of experience in federal securities laws, local securities laws in the jurisdictions where the securities will be sold, FINRA requirements, and the rules surrounding national securities exchanges.

Some of the securities options we regularly counsel clients about include:

  • Common and preferred stock
  • Secured and unsecured debt (investment grade or high yield)
  • Convertible debt securities
  • Equity linked notes
  • Securitized debt
  • Limited partnership interests
  • American depositary receipts (representing stock of non-U.S. companies)
  • Commercial paper
  • Options and other derivatives

Services:

  • Planning and issuance of a variety of securities options
  • Registered offerings under the Securities Exchange Act and private placement of securities under Securities Act registration exemptions
  • Counseling on reporting and disclosure requirements under the Securities Exchange Act
    • Quarterly and annual reporting
    • Post-public offering compliance filings
    • 10-K and 10-Q reporting
    • Proxy solicitation disclosure
    • Directors’ and officers’ reporting requirements under Section 16 of the Securities Exchange Act
  • Board and Committee meeting planning and preparation including agendas, resolutions, and meeting minutes

The Capital Markets environment is rapidly changing. Leech Tishman’s attorneys are committed to staying on top of market, regulatory, and economic risks to assist clients in successfully completing financing transactions to support our clients’ growth objectives and continued success.