Private Placements and Hybrid Securities Offerings 2016

PLI Seminar


Corporate Finance | Capital Markets, Private Placements + PIPEs, Banking + Financial Services, Financial Institutions + Financial Services, and Financial Services

PLI New York Center
1177 Avenue of the Americas
New York, New York 10036

Speaking Engagement

PLI’s Private Placements and Hybrid Securities Offerings 2016 conference presents an expert faculty of leading practitioners and regulators as they discuss and analyze the changing regulatory framework and market for private offerings. The faculty will address the changes to private and exempt offerings brought about by the JOBS Act, including matchmaking platforms, “accredited investor” crowdfunding, offerings using general solicitation, Rule 144A offerings, and the practical implications of these changes for issuers, broker-dealers and investment advisers. In addition, they will address the basics of private placements, sales of restricted securities, Rule 144 and Section 4(a)(1-1/2) transactions and block trades. The panelists will discuss the considerations that have led many companies to remain private longer and defer IPOs, while creating liquidity opportunities for holders through private secondary trading markets. Panelists will address the basics of traditional private placements, PIPE transactions, and Rule 144A transactions, as well as recent developments affecting each of these capital raising alternatives.

Partner Anna T. Pinedo will serve as chairperson for this event and will speak on the “Welcome and Introduction to Private Placements and Hybrid Financings” panel on day one of the conference.  Topics will include:

  • Types of exempt offerings;
  • JOBS Act changes and changes in market environment; and
  • Integration, communications and related concerns.

Ms. Pinedo will also speak on the “Welcome and Introduction to Conducting Hybrid Offerings” panel on day two.  Topics will include:

  • What do we mean by hybrid offerings?; and
  • Why have hybrid offerings become such a significant financing tool?

Partner James R. Tanenbaum will speak on a panel entitled “Regulation A+” on day one of the conference. Topics will include:

  • Regulation A+ basics;
  • Communications Rules for Reg A+ Offerings
  • Disclosures, ongoing reporting, and liability issues
  • Integration of offerings

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