Securities
Messerli Kramer regularly advises public and private companies of all sizes on securities regulation and corporate governance issues. Our clients look to us for guidance in complying with complex regulatory matters as well as keeping them abreast of trends and changes that will impact their business. We assist our clients in various types of capital market transactions, including follow-on public offerings, shelf and secondary offerings, private placements and regulation S offshore placements.
Services
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Annual, Quarterly and Periodic SEC Reports
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Sarbanes-Oxley, Dodd-Frank and FINRA Compliance
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Stock Exchange Listing Requirements
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Insider Trading Reporting and Compliance
- Codes of Conducts and Ethics Policies
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Registered and Exempt Securities Offerings
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Board, Audit and Compensation Committee Assistance and Counseling
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Proxy Statements
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Annual Meetings
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Equity Compensation Plans
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Director & Officer Indemnification
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Shareholder and Market Communications
- Shelf Registrations and Takedowns
Representative Experience
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Represented Nasdaq-listed software company in connection with underwritten public offerings of common stock, private placements, acquisitions, various agreements and SEC reporting and compliance. Since 2011, we have assisted this client in completing more than ten acquisitions, negotiating credit facilities with JP Morgan Chase, Wells Fargo, and Goldman Sachs, and raising a total of approximately $50 million in three separate public offerings.
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Represented Nasdaq-listed medical device company in connection with SEC registered offerings of common stock, private placements, and SEC reporting and compliance.
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Represented foreign private issuer in connection with private placements and SEC reporting and compliance.