Whitaker Chalk has represented companies in public SEC-registered offerings of securities including assisting in preparing and filing the registration statements, and negotiating with underwrites. We’ve structured transactions that have resulted in companies becoming SEC reporting companies as well as representing companies who voluntarily register to become SEC reporting companies. In connection with our representation of SEC reporting companies, we also advise clients, including shareholders, directors and officers, regarding the various reporting obligations imposed by the securities laws.

Often, when a client needs to raise capital, a public offering is not economical or even feasible. We frequently work with clients to structure their capital raising efforts to comply with exemptions from the SEC registration requirements. These transactions are often referred to as “private offerings,” “private placements,” or “unregistered offerings” and involve the preparation of documents describing the securities being sold.

Many clients seek to meet their capital needs through funding sources such as venture capital funds or private equity funds. We have experience in representing clients in negotiating the terms of these transactions and the documentation that is needed. Additionally, we have advised clients in starting and operating venture capital funds and private equity funds.