Davis Polk partners Alan Denenberg and Linda Chatman Thomsen were among the speakers at the Northwestern Pritzker School of Law’s 44th Annual Securities Regulation Institute.
Denenberg spoke on the “Practical Workshop on Preparing for and Executing an IPO” panel. Topics discussed included:
- Private financing for late stage private companies
- Secondary trading and liquidity for private companies
- Testing the waters and roadshows in practice
- Governance structures for newly public companies
- Contemporaneous public and private offerings
- Issues in the transition to being a public company
Thomsen spoke on the “Real Life Issues Facing Counsel: The Road to Enforcement is Often Paved with Good Intentions” panel. Topics discussed included:
- Stock plan disclosure and the Rule 701 sweep
- Rule 10b5-1 plan issues, donating shares to charity, trading windows
- Communicating and revising guidance, managing earnings to meet guidance
- CEO health issues, officer and director departures, and adverse developments in SEC/regulatory investigations and civil litigations
The program was held January 23-25, 2017, in Coronado.
For more information, please visit the event website.