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securities
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Herrick helps public and private companies succeed in their securities transactions, and to meet their corporate governance and regulatory obligations. At Herrick, you'll find dependable, consistent, and cost effective service. We keep abreast of the latest issues and help make sure you're on top of them, too. We'll help you address the day-to-day issues, and to find smart solutions to whatever obstacles stand between you and your business goals.

Our clients hail from a range of industries, including financial services, life sciences, manufacturing, technology, and toys and games, to name a few, and range in size from start-ups with a handful of employees to companies with market capitalizations in the hundreds of millions of dollars. Here are the main areas in which we serve them:

Securities Transactions

  • Registered primary and secondary equity and debt offerings pursuant to the Securities Act of 1933, including Securities Act registration and exemption
  • Unregistered equity and debt offerings, including Regulation D private placements and Rule 144A transactions
  • Reverse mergers with—and into—Specialized Purpose Acquisition Companies ("SPACs") and other public shell companies
  • Private Investments in Public Equity ("PIPEs")
  • Rescission offers
  • Securities law issues and employee benefits plans
  • Tender offers for cash or securities and going-private transactions
  • Securities issuances in connection with mergers and acquisitions


Corporate Governance, Regulatory and Compliance

  • Reporting and disclosure requirements for U.S. and non-U.S. issuers under the Securities Exchange Act of 1934
  • Compliance with the listing requirements of the New York Stock Exchange, NASDAQ and other national securities exchanges, as well as inter-dealer quotation systems such as the OTC Bulletin Board
  • Creation of insider trading and other compliance policies, codes of ethics, committee charters and other corporate governance matters
  • Internal investigations and government inquiry responses
  • Audit, compensation and special committee representations
  • ERISA, employee benefits and executive compensation matters
  • Securities trading by directors and officers, including short swing profits issues and 10b5-1 plans
  • Internal controls over financial reporting and disclosure controls and procedures
  • Resales of restricted and control securities, including Rule 144 analyses, and stock repurchase programs