Join PLI’s expert faculty of leading practitioners and regulators as they discuss and analyze the changing regulatory framework and market for private offerings. The faculty will begin by addressing the basics of private placements, sales of restricted securities, Rule 144 and Section 4(a)(1-1/2) transactions and block trades. Speakers will also address the changes to private and exempt offerings brought about by the JOBS Act, including matchmaking platforms, “accredited investor” crowdfunding, offerings using general solicitation, Rule 144A offerings, and the practical implications of these changes for issuers, broker-dealers and investment advisers. The panelists will discuss the considerations that have led many companies to remain private longer and defer IPOs, while creating liquidity opportunities for holders through private secondary trading markets. Panelists will also address the basics of traditional private placements, PIPE transactions, and Rule 144A transactions, as well as recent developments affecting each of these capital-raising alternatives.

Partner Anna Pinedo will serve as chairperson for this event and will speak on the “Welcome and Introduction to Private Placements and Hybrid Financings” panel on day one of the conference. Topics will include:

  • Types of exempt offerings;
  • JOBS Act changes and changes in market environment; and
  • Integration, communications and related concerns.

Ms. Pinedo will also speak on the “Welcome and Introduction to Conducting Hybrid Offerings” panel on day two. Topics will include:

  • What do we mean by hybrid offerings?; and
  • Why have hybrid offerings become such a significant financing tool?

Partner Michael Hermsen will speak on the “Regulation A Offerings” panel on day one of the conference. Topics will include:

  • Overview of Regulation A;
  • Tier 1 versus Tier 2 offerings;
  • Which companies should consider a Regulation A offering?  Why?;
  • Consumer or affinity offerings;
  • Regulation A with stock exchange listing; and
  • Practice pointers for issuers and their counsel.

PLI New York Center 
1177 Avenue of the Americas 
New York, NY 10036

For additional information please visit the event website.