Capital Markets
Capital markets transactions come with complex compliance, governance, disclosure, and reporting obligations, whether you’re a publicly traded corporation navigating an equity or debt offering, or a privately held company looking to raise capital through a private placement. With so much at stake, companies need advisors who have worked deals from every angle.
HOW WE HELP
Our Capital Markets team knows a solid foundation is the key to success. Having executed securities offerings both large and small, they know how to structure transactions to comply with ever-evolving requirements while minimizing the risk of unwanted SEC and other scrutiny down the road.
Our attorneys represent issuers, sponsors, financial institutions, and investors in planning, negotiating, and executing complex capital markets transactions. Whether it is a telecommunications or healthcare transaction of a few million dollars or a real estate investment trust valued at more than $1 billion, our solutions are never one-size-fits-all. Our attorneys dig into the nuances of each deal, leveraging the team’s collective experience to create deal-appropriate structures tailored to the specific needs of our clients.
By collaborating with colleagues in Seyfarth’s tax, real estate, and executive compensation and benefits groups, our team brings full-service capabilities to our clients, which include large corporations, sponsors, investment banks, investment advisors, broker dealers, private equity funds, and institutional investors. Our cross-practice teams regularly advise on executive compensation, board and committee composition, stock exchange compliance, and governance best practices, including those relating to fiduciary duties and responsibility, shareholder relations, disclosure, and management succession plans. Our attorneys often consult with the firm’s securities litigators and other commercial litigators to provide proactive advice during a transaction, with the goal of preventing conflict after the deal closes.
THE SEYFARTH EXPERIENCE
Our Capital Markets team gets the job done with a combination of innovative solutions, forward-thinking advice, and well-managed advocacy. For public company clients, our attorneys can foresee SEC scrutiny and are prepared to respond swiftly and appropriately. For private companies, our attorneys have industry-specific models that can be tailored to the needs of each client, streamlining the capital-raising process, improving speed-to-market execution, and reducing transaction costs.
Whether navigating securities and corporate governance rules, complying with ever-evolving US and foreign securities requirements, or conducting large capital markets transactions, clients turn to our team to provide clarity in the face of complexity.
Experience of recent representations include:
-
Represented one of the nation’s largest REITs in more than $1 billion in offerings over the last decade, and assist in annual reporting obligations.
-
Represented an independent oil and gas company in the completion of a public offering of $125 million of convertible notes (covering registered common shares).
-
Represented a Nasdaq listed clinical stage immuno-oncology company in a $70 million "merger of equals" and a concurrent $70 million equity private placement.
-
Represented a leading family owned lace manufacturer based in China as issuer’s Hong Kong counsel in the proposed listing of its shares on the Main Board of the Hong Kong Stock Exchange.
-
Represented a REIT in obtaining SEC clearance for a Form S-11 for an underwritten public offering (transaction did not go forward due to market conditions).
-
Represented a privately-held media holding company in a $500 million Rule 144A offering of investment grade bonds with large financial institutions as the initial purchasers.
-
Represented a manufacturer of molecular diagnostic tests for infectious diseases in a $10 million underwritten public equity offering.
-
Represented a real estate investment program sponsor in a transaction structured as securities offerings, involving a roll up of three tenant-in-common programs, with an investment consisting of 11 skilled nursing and assisted living facilities in Texas. The deal entailed work on tax and deal structure issues, securities and FINRA compliance issues, and real estate transfer and refinancing.
-
Represented a leading Malaysian construction company as issuer’s Hong Kong counsel in the proposed listing of its shares on the Main Board of the Hong Kong Stock Exchange.
-
Advised the Board of Directors of a New York Stock Exchange traded company with respect to a substantial tender offer, including the appropriate procedures for assessing the tender offer and making a recommendation to stockholders and review of the tender offer documents.
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Capital markets transactions come with complex compliance, governance, disclosure, and reporting obligations, whether you’re a publicly traded corporation navigating an equity or debt offering, or a privately held company looking to raise capital through a private placement. With so much at stake, companies need advisors who have worked deals from every angle.
HOW WE HELP
Our Capital Markets team knows a solid foundation is the key to success. Having executed securities offerings both large and small, they know how to structure transactions to comply with ever-evolving requirements while minimizing the risk of unwanted SEC and other scrutiny down the road.
Our attorneys represent issuers, sponsors, financial institutions, and investors in planning, negotiating, and executing complex capital markets transactions. Whether it is a telecommunications or healthcare transaction of a few million dollars or a real estate investment trust valued at more than $1 billion, our solutions are never one-size-fits-all. Our attorneys dig into the nuances of each deal, leveraging the team’s collective experience to create deal-appropriate structures tailored to the specific needs of our clients.
By collaborating with colleagues in Seyfarth’s tax, real estate, and executive compensation and benefits groups, our team brings full-service capabilities to our clients, which include large corporations, sponsors, investment banks, investment advisors, broker dealers, private equity funds, and institutional investors. Our cross-practice teams regularly advise on executive compensation, board and committee composition, stock exchange compliance, and governance best practices, including those relating to fiduciary duties and responsibility, shareholder relations, disclosure, and management succession plans. Our attorneys often consult with the firm’s securities litigators and other commercial litigators to provide proactive advice during a transaction, with the goal of preventing conflict after the deal closes.
THE SEYFARTH EXPERIENCE
Our Capital Markets team gets the job done with a combination of innovative solutions, forward-thinking advice, and well-managed advocacy. For public company clients, our attorneys can foresee SEC scrutiny and are prepared to respond swiftly and appropriately. For private companies, our attorneys have industry-specific models that can be tailored to the needs of each client, streamlining the capital-raising process, improving speed-to-market execution, and reducing transaction costs.
Whether navigating securities and corporate governance rules, complying with ever-evolving US and foreign securities requirements, or conducting large capital markets transactions, clients turn to our team to provide clarity in the face of complexity.
Experience of recent representations include:
-
Represented one of the nation’s largest REITs in more than $1 billion in offerings over the last decade, and assist in annual reporting obligations.
-
Represented an independent oil and gas company in the completion of a public offering of $125 million of convertible notes (covering registered common shares).
-
Represented a Nasdaq listed clinical stage immuno-oncology company in a $70 million "merger of equals" and a concurrent $70 million equity private placement.
-
Represented a leading family owned lace manufacturer based in China as issuer’s Hong Kong counsel in the proposed listing of its shares on the Main Board of the Hong Kong Stock Exchange.
-
Represented a REIT in obtaining SEC clearance for a Form S-11 for an underwritten public offering (transaction did not go forward due to market conditions).
-
Represented a privately-held media holding company in a $500 million Rule 144A offering of investment grade bonds with large financial institutions as the initial purchasers.
-
Represented a manufacturer of molecular diagnostic tests for infectious diseases in a $10 million underwritten public equity offering.
-
Represented a real estate investment program sponsor in a transaction structured as securities offerings, involving a roll up of three tenant-in-common programs, with an investment consisting of 11 skilled nursing and assisted living facilities in Texas. The deal entailed work on tax and deal structure issues, securities and FINRA compliance issues, and real estate transfer and refinancing.
-
Represented a leading Malaysian construction company as issuer’s Hong Kong counsel in the proposed listing of its shares on the Main Board of the Hong Kong Stock Exchange.
-
Advised the Board of Directors of a New York Stock Exchange traded company with respect to a substantial tender offer, including the appropriate procedures for assessing the tender offer and making a recommendation to stockholders and review of the tender offer documents.
Related Trends
Related News & Insights
-
Webinar
10/24/2024
Webinar Recording: Critical Information for Year-End CTA Compliance
-
Legal Update
10/04/2024
FinCEN's October 2024 Beneficial Ownership Information FAQ Update
-
Webinar Recording
09/24/2024
Webinar Recording: Mastering CTA Compliance
-
Webinar
08/08/2024
Webinar Recording: Understanding the Corporate Transparency Act
Recognition
-
Recognition
09/12/2024
Seyfarth’s Hong Kong Team Recognized in IFLR1000 2024 Rankings
-
Recognition
10/01/2020
Seyfarth Partners Ranked as 2021 Leading Lawyers by IFLR1000
-
Recognition
06/15/2020
Seyfarth's Michelle Barnett Named to Institute for Portfolio Alternatives Rising Leaders Council
-
Recognition
09/30/2019
Seyfarth Partners Ranked as 2020 Leading Lawyers by IFLR1000