Private Placements and Hybrid Securities Offerings 2018

Practising Law Institute

05/21/2018 - 05/22/2018

Corporate Finance | Capital Markets, Public Companies Counseling + Compliance, and Corporate

PLI New York Center
1177 Avenue of the Americas (2nd floor)
New York, NY 10036

Marty Dunn

Marty Dunn

Speaking Engagement

Morrison & Foerster’s Marty Dunn will be speaking on two panels as part of PLI’s Private Placements and Hybrid Securities Offerings 2018 program.

PLI's program – designed for corporate and securities attorneys, compliance professionals, control room personnel, bankers and allied professionals who deal with private placements and other exempt and hybrid offerings – will address the basics of private placements, sales of restricted securities, Rule 144 and Section 4(a)(1-1/2) transactions and block trades, as well as the changes to private and exempt offerings brought about by the JOBS Act.

Attendees at this year’s program will:

  • Review the basic framework relating to exempt offerings, including Section 4(a)(2) and Regulation D
  • Hear guidance from the SEC Staff on “general solicitation” and “pre-existing substantive relationships”
  • Learn about resales of restricted securities; secondary sales of securities of privately held companies and private secondary markets
  • Gain an understanding of pre-IPO private placements and late-stage or “cross-over” private placements
  • Understand the special considerations for broker-dealers, investment advisers and funds engaged in private offerings
  • How to structure, document, and execute: a private placement to institutional investors, a PIPE transaction, a Rule 144A offering, an At-the-Market offering, and a confidentially marketed public offering (“CMPO”)

PLI will provide CLE credit. Please visit the PLI event page for more information.

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