Securities and Capital Markets

Barnes & Thornburg has an active securities practice representing and counseling issuers, underwriters, investors, and financial institutions in all types of public and private transactions involving the offering and sale of securities. Our attorneys represent companies in initial public offerings, as well as follow-on offerings, spin-offs, restructurings, preferred stock offerings, rights offerings and going private transactions.

In connection with public offerings, we assist clients in structuring transactions, preparing disclosure documents, negotiating with or for underwriters, supervising registration with the SEC and preparing applications to national exchanges. We also participate in all aspects of the private placement of securities and represent issuers, private placement agents, equity funds, institutional investors and venture capital firms. We have experience in virtually every type of private financing transaction, including seed financing, angel investments, venture capital financing, later stage equity and mezzanine financing, PIPES and private debt financing.

We also regularly assist publicly held clients with their SEC reporting and disclosure requirements, and other aspects of ongoing compliance with the federal and state securities laws and the rules and regulations of stock exchanges. In conjunction with the attorneys in our Financial and Regulatory Litigation Practice Group, we have handled numerous corporate governance matters and internal and external investigations, including SEC enforcement investigations.

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