Speaking Engagement

Private Placements and Hybrid Securities Offerings 2018

Practising Law Institute

21 May 2018 - 22 May 2018

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

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.



Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.