Phil is counsel in the firm’s Corporate & Securities practice group. He assists clients in all aspects of complying with the Securities Exchange Acts of 1933 and 1934, including preparing and filing forms 10-K, 10-Q, and 8-K, annual reports, and proxy statements as well as other related documents. He has also assisted clients in the negotiation and preparation of filings of initial and secondary public offerings as well as secured and unsecured 144A bond offerings, and has negotiated and drafted documentation for private investment in public equity (PIPE) transactions. He has experience in hostile proxy contests, including fight letters and other solicitation material. In addition, he has broad experience with Section 16 compliance documentation and 10b5-1 plan agreements.
He has worked with start-ups to raise capital through private placements of debt and equity. He has significant experience with preparing and advising on management equity incentive plans for both private and public companies. Phil also has significant Corporate Governance experience, having advised both public and private company boards on governance requirements and best practices. Additionally, he has a breadth of experience managing real estate lease portfolios for commercial office space.
In Phil’s 20-plus years of legal experience he has spent a significant number of years working in-house for both public and private corporations and understands firsthand the internal issues of a corporate legal department.