Our securities law practice is designed to meet the needs of companies of all sizes. We have assisted clients with obtaining both equity and debt funding through private placements, initial public offerings and secondary offerings. The types of securities involved run the gamut from common stock to complex senior and subordinated debt instruments. Henson & Efron also provides extensive advice to small and large companies with respect to SEC reporting and compliance obligations.

Services

• Blue Sky Issues
• Federal And State Filings For Registration Of Securities And Exemption From Registration
• Going Private Transactions
• Initial Public Offerings
• Insider Trading Policies And Procedures
• Pre-Offering Planning
• Private Equity
• Private Placements Of Equity And Debt
• Proxy Contests
• SEC Reporting And Compliance
• Secondary Offerings Of Equity And Debt
• Stock-Based Incentive Plan Structure And Registration
• Tender Offers
• Venture Capital

Representative Experience

• Preparation of quarterly, annual and special occurrence SEC filings for public companies
• Representation of public companies before SEC in various administrative matters
• Representation of underwriters in public offerings of specialized manufacturing company, medical device company
• Representation of issuers in public offerings of diversified manufacturer, equipment dealership, software company, radio holding company, research service company and retail food chain
• Representation of venture capital investors in multiple investment transactions
• Representation of seller of a portfolio of investments in fifteen limited partnerships
• Representation of trustees in ESOP transactions
• Representation of broker/dealers in investment transactions, 1934 Act issues
• Representation of issuers in private common stock, preferred stock and debt offerings
• Completed exchange offer with Luxembourg 19 holding company
• Representation of reporting companies in connection with 1934 Act reporting, Section 16, Rule 144, employee benefit plan issues, insider trading and other securities issues
• Represented buyer in acquisition of $45 million power tool manufacturing company
• Represented buyer in acquisition of $62 million custom enclosure manufacturer
• Negotiation and drafting of construction contract and major equipment contracts relating to ground up construction of $450 million paper mill
• Represented issuer in $700 million shelf registration
• Represented issuer in initial public offering of lawn service company
• Represented issuer in initial public offering of purified drinking water company
• Represented Web site developer in contracts with major corporation
• Represented natural gas public utility in various proceedings with Minnesota Public Utilities Commission
• Represented a publicly traded, Fortune 500 manufacturer in the public offering of $225 million in common stock and $250 million in debt securities.
• Initial public offering of $5 million of equity for development-stage manufacturer
• Initial public offering of $35 million of equity for national service company
• Private placement of $3 million of equity for start-up company
• Private placement of $60 million of long-term corporate debt
• Secondary offering of $55 million of cumulative convertible preferred stock for Fortune 500 company

Securities Law Attorneys

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