Structuring an At-The-Market Securities Offering: Key Terms and Best Practices
Form S-3 Eligibility, SEC Filing Requirements, Equity Distribution Terms, Sales Agents and Due Diligence
A live 90-minute CLE webinar with interactive Q&A
This CLE webinar will provide securities counsel with a step-by-step framework for executing an effective at-the-market (ATM) securities offering. The panel will discuss filing and due diligence requirements, reps and warranties, and best practices in dealing with offering agents and other parties.
- At-the-market eligibility requirements, advantages of being a well-known seasoned issuer (WKSI)
- SEC filing requirements
- Engagement of sales agents—the equity distribution agreement
- Determing limitations, flexibility on shares to be sold
- Representations and warranties
- Suspension of repurchase and dividend reinvestment plans
- Managing ongoing due diligence requirements
- Using an ATM offering for selling stockholder: Rule 144
The panel will review these and other notable issues:
- What kinds of companies can make the best use of an ATM offering?
- How should an issuer go about engaging sales agents and what is the appropriate number?
- What are the key distribution terms to include in an equity distribution agreement?
- What are the best practices for managing due diligence requests in connection with takedowns after the initial offering?
Brian D. Hirshberg
Mr. Hirshberg focuses on representing issuer, sponsor and investment bank clients in registered and unregistered... | Read More
Mr. Hirshberg focuses on representing issuer, sponsor and investment bank clients in registered and unregistered securities offerings. He has led a variety of transactions, including public equity and debt offerings; Rule 144A offerings; tender and exchange offerings; preferred stock offerings; and debt offerings for companies in various industries, including specialty finance, real estate and real estate investment trusts, business development, life science, healthcare and aviation. Additionally, Mr. Hirshberg assists public company clients with ongoing securities law compliance requirements, including stock exchange obligations, shareholder-related disputes and corporate governance matters.Close
to be announced.
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