The attorneys at Rothgerber Johnson & Lyons have experience in complex corporate finance and securities matters. We have assisted companies in evaluating and implementing alternative sources of capital to finance their growth. We frequently consult with clients regarding techniques for implementing a broad array of financing plans, including venture capital financing, initial and secondary public offerings and private placements of debt and equity securities. We have assisted our banking clients with issuances of trust-preferred securities, including participation in trust-preferred pools.
Attorneys in our firm serve as securities counsel for companies whose securities are both privately held and publicly traded. Our practical experience and legal knowledge have assisted clients in complying with federal and state securities regulations, including the Sarbanes-Oxley Act of 2002. We assist companies with publicly traded securities to meet ongoing reporting and disclosure obligations with the Securities and Exchange Commission, including periodic reports, proxy statements for annual and special shareholders' meetings and other public disclosure.
Companies large and small turn to Rothgerber Johnson & Lyons for legal advice when it comes time to raise capital. Our attorneys typically work in tandem with management, boards of directors and in-house counsel to help our clients successfully secure cash infusions, whether by public offering or private investment. We understand the practical and regulatory hurdles faced by start-ups seeking first round funding and established firms seeking subsequent funding. We have been involved in transactions ranging from large, complex public offerings to small, local private placements of securities and have represented issuers, underwriters and investors. Insiders of public companies have consulted us about complying with the frequently complex rules and regulations under federal and state securities laws. Our attorneys also regularly assist clients in structuring corporate defenses to protect them against a potential change of control. We have also assisted clients in proxy solicitations, hostile tender offers and other governance issues.
Our broad range of experience and considerable depth of knowledge regarding corporate finance and securities matters enhance our value to clients and our role as business advisors as well as legal counsel. Our clients also appreciate our efficient and responsive service.
- Blue Sky Laws
- Debt and Equity Securities
- Dividend Reinvestment Plans
- Emerging Companies
- Employee Stock Purchase Plans
- Going Private Transactions
- IPOs
- Joint Ventures
- Private Placements
- Proxy Disclosure
- Proxy Solicitations
- Public Offerings
- Recapitalizations and Exchanges
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- Rule 144 Resales
- Sarbanes-Oxley Act
- SEC Reporting Compliance
- Section 16 Reporting
- Securitizations
- Short-swing Trading
- Stock Exchange Listings
- Stock Repurchase Programs
- Stock-based Compensation Plans
- Tender Offers
- Trust-preferred Securities
- Venture Capital
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ARTICLES AND ALERTS
Recovery Act - Tax Relief for Struggling Businesses (03/18/2009 )
Section 409A and Stock Options (03/01/2006 )
PUBLIC COMPANY ALERT: New Executive Compensation Disclosure Proposed (02/01/2006 )
The American Jobs Creation Act of 2004 (09/01/2004 )
New Law Eliminates "Double Taxation" of Attorneys' Fees (09/01/2004 )
Eliminating Corporate Double Taxation (09/01/2003 )
New Tax Law Changes Could Reap Rewards for Employers (03/01/2003 )
Do We Really Have to Do This? Some Observations on Dealing with the Sarbanes-Oxley Act (03/01/2003 )
Truth or Consequences: The Sarbanes-Oxley Act of 2002 (03/01/2003 )
Raising Private Equity Funds (03/01/2003 )