Securities Client Alert – NYSE Approves Amendments to Related Party Transaction Requirements
The SEC approved amendments to the NYSE’s Listed Company Manual, revising the requirements for related party transactions in Section 314.00.
Securities Alert – Rule Changes the SEC is Considering, Including Revisiting Recently Amended Rules
The SEC Chair has identified several areas of focus (10b5-1 plans, climate change, human capital management and cybersecurity risk governance among others), while also asking the SEC staff to revisit a number of recently amended rules (proxy voting advice, the integration framework for exempt offerings, the accredited investor definition and resource extraction rules).
Securities Alert – New Securities Rules Take Effect to Improve Exempt Offerings
Amendments recently took effect to “address gaps and complexities in the exempt offering framework that impede access to capital for issuers and access to investment opportunities for investors.”
Securities Alert – SEC’s Focus on Climate and Other ESG Disclosures
One of the primary focuses of the SEC going forward will be to review climate and other ESG disclosures, develop new guidance and possibly new rules related to these topics, and more aggressively enforce the rules that relate to climate and other ESG topics.
Subscription Escrow Agreement
The Firm represented a bank who agreed to establish escrow accounts and act as escrow agent for an investment firm and its issuer clients in support of securities offerings throughout the country.
Mid-Con Energy Partners, LP IPO
The Firm represented Mid-Con Energy Partners, LP in the registration of its limited partnership units with the Securities and Exchange Commission and listing on the NASDAQ Global Market. The Firm led the successful initial public offering of 5,400,000 units and the exercise in full of the underwriters’ over-allotment option to
$1.3 Billion Public Offering
GableGotwals represented an energy company in connection the issuance of $650 million of 30-year senior notes and $650 million of 5-year senior notes.
Professional Services Agreements
The Firm represented a major global executive search firm in negotiating professional services agreements with various Fortune 500 companies, public and private universities, US and foreign governmental agencies and non-profit organizations.