Through our Public Company and Capital Markets group, we advise public companies as well as startup and emerging businesses in all aspects of corporate, corporate finance, and capital markets matters. Our clients include emerging companies and public companies throughout the U.S., from startup and mid-cap corporations to Fortune 1000 and multinational businesses, particularly in the sectors of community banking and financial services, agribusiness, and high technology (including medical device manufacturers and other life sciences companies). We advise these businesses and work with their founders, officers and directors, and shareholders. We also represent broker-dealers in SEC and FINRA compliance matters, private placements, and public offerings, and represent investment advisers in advisory and compliance matters as well as private investment-partnership work.
Experience and knowledge yield solid capabilities
With decades of experience in the securities arena, Lindquist & Vennum can assist clients with virtually any matter, from routine filings to strategic transactions. According to our clients, high-level regulatory knowledge—our Public Companies and Capital Markets group includes two SEC alumni—is one of our firm’s primary strengths.
Our knowledge is gained not only from technical experience, but from immersion in our clients’ industries and markets, especially publicly held community banks. The understanding and perspectives acquired from this involvement enable us to help clients develop short- and long-term strategies, as well as anticipate and head off problems.
Partner-level leadership streamlines transactions
When it comes to completing transactions, there’s no substitute for hands-on experience and insight. You’re paying for results. Therefore, at Lindquist & Vennum, partner-level involvement is the rule, not the exception. Instead of assigning multiple lawyers with widely varying degrees of experience to your deal, we promote teamwork among a small group of attorneys and staff. This approach ensures that your transaction benefits from the strategic perspectives of partners, while routine aspects of the work are completed at lower rates by associates or junior partners.
Although our firm has nearly 200 attorneys, we are careful to use only the resources necessary to do the work—which not only keeps your costs down but also helps ensure good communication and responsiveness.
Midsize firm combines advantages of both larger and smaller firms
Clients find that Lindquist & Vennum’s mid-sized, Midwest-based practice offers the benefits of working with both bigger and smaller law firms. Like those at larger national firms, our attorneys have the in-depth knowledge and experience needed for successful results, but we also provide the responsive service and reasonable rates typically found only at smaller firms.
Services
The assistance Lindquist & Vennum provides to clients encompasses:
- Mergers and acquisitions
- Capital market transactions, including public and private offerings, trust-preferred securities, and PIPE transactions
- Annual quarterly and current reports, proxy statements and other filings under the Securities Exchange Act of 1934
- Compliance with NYSE, Nasdaq, and AMEX listing requirements
- SEC insider-trading reporting requirements and compliance
- Compliance with the Sarbanes-Oxley Act
- General disclosure advice, including compliance with SEC Regulation FD, review of press releases, and dealing with the investment community and analysts
- Internal control over financial-reporting and disclosure-control practices
- Corporate governance matters including board and committee structure and practices, negotiation with institutional shareholders, shareholder proposals, and related matters
- Executive compensation
- Antitakeover matters, including proxy contests, shareholder rights plans, and change-in-control agreements
- Going-private transactions and leveraged buyouts
- Bank-holding-company matters and the conversion of savings-and-loan associations
- Conversions of cooperatives to publicly reporting limited-liability companies
- Formation of private investment funds
Additional service areas
- Municipal bonds and public finance
- Tax-increment financing
- Hospital financing
- Nonprofit housing
Clients
Lindquist & Vennum counsels emerging companies on business formation and structure and on negotiations with venture capital firms and other types of investors. Companies whose goals include merging with or acquiring other businesses turn to us for assistance with structuring, negotiating, and closing mergers and acquisitions. We assist distressed public companies and provide counsel on transactions involving recapitalization and reorganization.
We also represent broker-dealers and investment advisors, issuers, controlling shareholders, and investment banking firms in connection with initial and other public and private offerings of securities. In addition, we represent clients in investigations initiated by the SEC, state securities administrators, and stock exchanges, as well as in internal investigations.