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Securities

Securities Law

The attorneys in Shumway Van & Hansen’s securities law practice group advise clients on securities issues and assist with preparing and filing registration statements, proxy statements, annual, quarterly and current reports and other governmental filings as well as private placement memoranda and related private offering materials.

Our firm’s approach is to thoroughly understand a company’s business and objectives so that our attorneys can better and more effectively advise each client as well as to help ensure that any disclosure documents are accurate and complete.

At our firm we understand that there is a difference between simply assisting our clients with drafting offering and disclosure documents and helping to guide them to opportunities and relationships that can help them to achieve their goals; thus we are able to leverage our knowledge and contacts to identify people and businesses that can help our clients to grow their businesses.

Although the principal focus of public and private offerings of securities is compliance with, or meeting requirement for exemptions from, federal and state securities laws, but can also be an important element in many other business transactions, including mergers and acquisitions and the formation of new ventures, including but not limited to corporations (S and C varieties), limited liability companies, limited and general partnerships, and joint ventures.

Public Offerings. We represent public companies and companies seeking to access public markets in initial public offerings (IPOs). When representing issuers, we typically become involved in all aspects of corporate and business planning and structuring so as to most effectively and efficiently provide the result that our clients are seeking.

Private Offerings. Some of our clients are active issuers of securities in private transactions which include Regulation D and Regulation S. These transactions often involve complex resale and trading issues. We also render advice regarding exemptions from federal and state securities registration laws and related regulatory matters. As is the case with public offerings, we also represent issuers, placement agents and investors in private (exempt) transactions.

Transactions. The securities law practice group performs a wide range of complex corporate transactions including mergers and acquisitions. Our lawyers apply their knowledge of securities laws and financing trends to assist clients in consummating these often difficult transactions in an innovative, cost-effective and timely manner.

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