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.