Public Companies & Capital Markets

Davis Graham & Stubbs LLP has long been recognized as the leading securities and capital markets law firm in Denver. With the largest number of public company representations in the Rocky Mountain West, we represent publicly traded companies in a wide range of complex capital markets transactions, including:

  • Initial public offerings
  • Equity offerings
  • Debt offerings (high yield and investment grade)
  • Debt restructurings
  • Spin-offs and other equity restructurings
  • Tender offers
  • Exchange offers
  • Private placements, Rule 144A, and Regulation S offerings
  • Mergers and acquisitions

Our team of capital markets specialists collaborates closely with other DGS attorneys in our tax and executive compensation groups to provide clients with optimal transaction structures and ways to achieve corporate financing goals.

Our team of capital markets specialists regularly counsels issuers and other market participants on the offering structures and regulatory issues involved in their capital raising transactions. Our securities regulation and capital markets team offers world-class guidance on disclosure, corporate governance, and structuring issues.

To keep our clients up to date on the changing landscape of the capital markets rules and regulations, we regularly publish updates to our clients on recent trends and changes, and host an annual public company seminar to provide an update on changes in the areas ranging from corporate governance and disclosure to enforcement and compliance each year.

Corporate Governance & SEC Periodic Reporting

We work closely with public companies as well as boards of directors and senior management to ensure compliance with ongoing SEC reporting obligations and stock exchange rules. We also advise companies in connection with fiduciary duties and shareholder relations policies.

Our team is well acquainted with the complex factors relevant to public company boards, audit committees, compensation committees, governance committees, and executive officers, and other challenges public companies face. We counsel our clients on Sarbanes‐Oxley, Dodd-Frank, and other corporate governance initiatives that apply to public companies. We advise public company directors and executive officers regarding their personal liability under the securities laws, including the focus on securities regulations specifically targeted at the trading activities of directors, officers, and major shareholders. We prepare, in consultation with our clients, disclosure and insider trading policies that minimize legal risk while maximizing day‐to‐day flexibility.

DGS also works with clients to structure and administer stock option and other stock-based compensation plans in compliance with federal and state securities and tax laws. We have expertise designing employee benefit plans, including employee stock purchase programs that comply with complex regulatory requirements, including requirements imposed by ERISA.

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