Rothwell, James T. | Lawyers | Davis Polk & Wardwell LLP

James T. Rothwell

Partner

james.rothwell@davispolk.com

As a partner in our Corporate Department, Mr. Rothwell advises major financial institutions, dealers, corporations and individuals regarding securities law matters. He concentrates in structured equity derivative transactions and securities offerings of convertible and equity-linked securities. Mr. Rothwell has been involved in the original design of many innovative transaction structures that have become staples of the equity derivatives marketplace.

Contact

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New York
450 Lexington Avenue
New York, NY 10017
P: 212-450-4806
F: 212-701-5806

Related Practices

Bar Admissions

State of New York

Education

A.B., Harvard College, 1989
- magna cum laude
J.D., Harvard Law School, 1992
- magna cum laude

Work Highlights

Representations

Credit Suisse in connection with a $500 million underwritten forward sale of shares of Dow Chemical Company by trusts associated with the Haas family
Citibank, Credit Suisse and J.P. Morgan in connection with convertible note hedge and warrant transactions with Wyndham Worldwide Corporation relating to Wyndham’s $230 million convertible notes offering
Credit Suisse, Deutsche Bank and Wachovia in connection with convertible debenture hedge and warrant transactions with SunPower Corporation relating to SunPower’s $230 million convertible debentures offering
Citibank in connection with convertible note hedge and warrant transactions with SBA Communications Corporation relating to SBA’s $350 million convertible notes offering
Acted as the sole attorney member of the Financial Accounting Standard Board’s Emerging Issues Task Force Working Group on EITF Issue 07-5 relating to the accounting treatment of derivatives indexed to a company’s own stock

Recognition

Listed as a leading lawyer in several legal industry publications, including:

Chambers Global: The World’s Leading Lawyers for Business
Chambers USA: America’s Leading Lawyers for Business, where he was ranked as a “Star Individual”
Practical Law Company’s Cross-border Capital Markets Handbook

Of Note

Mr. Rothwell is a member of the faculty of the following annual Practising Law Institute programs:

ABCs of Swaps & Other Derivatives
Advanced Swaps & Other Derivatives

Professional History

Partner, 1999-present
Associate, 1992-1999

News

Wyndham Worldwide Corporation $230 Million Convertible Notes Offering

NetApp, Inc. Convertible Notes Offering

RadiSys Corporation Convertible Senior Notes Offering

Publications

SEC Proposes Amendments to Rule 10b-18 Safe Harbor for Issuer Repurchases
Client Memorandum

SEC Charges Perry Capital with Disclosure Violations in Connection with Alleged Vote Buying
Client Newsflash

SEC Charges Perry Capital with Disclosure Violations in Connection with Alleged Vote Buying
Client Newsflash

Zacharias v. SEC: D.C. Circuit Affirms SEC’s Finding of Section 5 Violations
Client Memorandum

Short Sale Proposals: Key Questions
Client Memorandum

Proposed Short Sale Restrictions: Implications for Equity Derivatives and Equity-Linked Securities
Client Memorandum

Treasury's Proposed Resolution Authority for Systemically Significant Financial Companies
Client Memorandum

Credit Default Swap and Regulatory Restructuring Bills Proposed by Senator Harkin and Senator Collins
Client Memorandum

SEC Amends Order Temporarily Banning Short Sales of Financial Companies to Modify Scope of Covered Securities and Expand Exemption for Derivatives Market Makers
Client Newsflash

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