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Securities and Capital Markets

As an active member of our clients' day-to-day securities and governance teams, Ice Miller regularly provides practical, understandable and solutions-oriented advice to public company clients regarding compliance with the myriad regulatory requirements imposed by state and federal agencies. 

We regularly advise members of senior management and boards of directors regarding the form and content of the disclosure in all types of shareholder and management communications, including periodic reports, press releases, earnings conference call and shareholder meeting scripts, proxy statements and investor presentations.  We assist the issuer and its officers and directors in complying with their trading limitations and reporting obligations with respect to the issuer's shares, including reporting under Sections 13 and 16 of the Securities Exchange Act of 1934 and the implementation of Rule 10b5-1 trading plans.  
We help our clients raise money in all private capital markets.  Our clients have raised money in IPOs, registered investment offerings, Rule 144A offerings, underwritten secondary offerings and private placements.  We also advise our clients in connection with the use of their securities as currency in merger and acquisition transactions and in employee incentive programs.  We have also represented acquiring parties and targets in friendly and hostile cash takeover situations.
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