Mid-Market Public Companies

Winstead’s Corporate, Securities/M&A team has extensive experience representing issuers and investors in a broad range of public and private securities offerings. We also have substantial experience in preparing SEC filings (e.g., Form 10-K, Form 10-Q, Form 8-K, proxy statements, etc.) for public companies, as well as providing advice and guidance on securities law compliance and initial and continued listing requirements under applicable national securities exchanges (e.g., Nasdaq, NYSE, etc.). Winstead regularly represents investors and corporate insiders with their SEC reporting obligations.

Securities Offerings

Our experience includes representing issuers of various sizes in a wide range of securities offerings, including:

  • Initial public offerings (IPOs)
  • Follow-on public offerings
  • “At-the-market” offerings
  • Registered direct offerings
  • Private investment in public equity (PIPE) transactions and other private placements
  • Secondary equity offerings
  • Rule 144A and Regulation S debt offerings
  • Rights offerings
  • Exchange offers
  • Securities offerings in connection with M&A transactions

SEC Reporting and Corporate Governance

Our attorneys serve as trusted advisors to public companies and investors in relation to their SEC reporting and securities law compliance requirements and applicable listing standards, including in connection with:

  • Periodic SEC reports, such as annual and quarterly reports
  • Proxy statements and proxy contests
  • Initial and continued listing standards of national securities exchanges and comparable requirements for over-the-counter markets
  • Beneficial ownership and insider reporting under Section 13 and Section 16 of the Securities Exchange Act (e.g., Schedule 13G, Schedule 13D, Form 3, Form 4, etc.)
  • Corporate governance matters, including director fiduciary duties, board committee structures and internal corporate policies

Search Tips:

You may use the wildcard symbol (*) as a root expander.  A search for "anti*" will find not only "anti", but also "anti-trust", "antique", etc.

Entering two terms together in a search field will behave as though an "OR" is being used.  For example, entering "Antique Motorcars" as a Client Name search will find results with either word in the Client Name.

Operators

AND and OR may be used in a search.  Note: they must be capitalized, e.g., "Project AND Finance." 

The + and - sign operators may be used.  The + sign indicates that the term immediately following is required, while the - sign indicates to omit results that contain that term. E.g., "+real -estate" says results must have "real" but not "estate".

To perform an exact phrase search, surround your search phrase with quotation marks.  For example, "Project Finance".

Searches are not case sensitive.

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