Understanding the Securities Exchange Shareholder Vote Requirements (aka “the 20% Rule”) in the Context of Financings

Many companies may be considering capital-raising transactions, including a private placement or PIPE transaction. Your transaction will be affected by the requirements of the securities exchanges to seek shareholder approval in certain circumstances.

During this webcast, we will address:

• Change of control issues;
• Stock sales to related parties;
• Private placements and PIPEs;
• Warrants;
• The financial viability exception; and
• Related issues.

Additional Speakers

David Compton
Senior Consultant, Donohoe Advisory Associates LLC

David A. Donohoe, Jr.
President, Donohoe Advisory Associates LLC

CLE is not available when viewing a recording of this program. In order to receive credit you must have attended the live webinar program.