SOLOWAy | Schwartz

Technology Law Experts

Public Company Securities

We have been responsible for the timely and complete filing of all 1934 Act reports of several public companies. For Bob, these companies included: I-many, Inc. (Nasdaq: IMNY), Cambridge Technology Partners (Nasdaq: CATP), and Astea International Inc. (Nasdaq: ATEA). For Scott, these companies included: Progress Software (Nasdaq: PRGS), Elcom International (Nasdaq: ELCO), and Switchboard (Nasdaq: SWBD).

From in-house positions and in private practice, we have participated in numerous 1933 Act filings, including IPO registration statements on Form S-1 and Form S-11, follow-on and resale shelf registration statements on Form S-3, stock incentive plan registration statements on Form S-8, and merger share registration statements on Form S-4.

·  Disclosure and reporting requirements, including drafting and reviewing current, periodic, and annual reports and proxy statements and Section 16 filings;

·  Advised directors and officers of publicly traded companies in connection with trading in their company’s stock;·  Implementation of insider trading policies;

·  Implementation of policies and procedures to comply with Sarbanes-Oxley;

·  Corporate communications policies;

·  Representation of companies at NASDAQ delisting hearings; and

·  Representation of company in connection with NASDAQ investigation of suspicious trading activity.