mars 26 2020

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

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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.

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