PLI’s Private Placements & Hybrid Securities Offerings 2019

23 May 2019 - 24 May 2019

PLI’s Private Placements & Hybrid Securities Offerings brings together expert faculty of leading practitioners and regulators as they discuss and analyze the changing regulatory framework and market for private offerings.

Topics that are addressed include:

• Basic framework relating to exempt offerings, including Section 4(a)(2) and Regulation D
• Changes to accredited investor definition
• The bad actor rule and practical implications
• Guidance from the SEC Staff on “general solicitation” and “pre-existing substantive relationships”
• Resales of restricted securities; secondary sales of securities of privately held companies and private secondary markets
• Pre-IPO private placements and late-stage or “cross-over” private placements
• Special considerations for broker-dealers, investment advisers and funds engaged in private offerings
• Amendments to Rule 701 and enforcement and other related updates affecting Rule 701
• How to structure, document, and execute a: private placement to institutional investors, a PIPE transaction, a Rule 144A offering, a 4(a)(2) debt private placement, an at-the-market offering, and a confidentially marketed public offering (“CMPO”)

On May 23^rd, 2019 at 11:30 a.m., David Lynn will be speaking on a panel titled “Financings in Close Proximity to One Another” and at 1:45 p.m., he will be speaking on a panel titled “Resales of Restricted Securities; Secondary Sales of Securities of Privately Held Companies.”