Securities Exchanges, Shareholder Vote Requirements and the 20% Rule

09/21/2016 12:00 p.m. - 01:00 p.m. EDT

Capital Markets, Private Placements + PIPEs, Equity Offerings, Mergers + Acquisitions, Banking + Financial Services, and Financial Institutions + Financial Services

James R. Tanenbaum and Anna T. Pinedo


Trevor Starer
(212) 336-4310

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Whether you are contemplating a financing to fund an acquisition, engaged in an opportunistic financing, contemplating a "private" placement or PIPE, your transaction will be affected by the requirements of the securities exchanges to seek shareholder approval in certain circumstances. Speakers will address:

  • Change of control issues;
  • Stock sales to related parties;
  • Private placements and PIPEs;
  • Warrants;
  • Acquisitions; and
  • Related issues.


  • David A. Donohoe, Jr.
    President, Donohoe Advisory Associates LLC
  • Anna T. Pinedo
    Partner, Morrison & Foerster LLP
  • James R. Tanenbaum
    Partner, Morrison & Foerster LLP


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