Corporate & Securities

Securities

Life as a public company continues to grow in complexity and challenges. It is essential to retain counsel with the securities experience and industry knowledge to guide you quickly and efficiently through everything from capital-raising transactions and sensitive disclosure issues, to Securities and Exchange Commission compliance and reporting, and corporate governance and stockholder interactions.

Mintz Levin represents issuers, underwriters, and investors in the full range of sophisticated securities transactions, from private placements and venture capital investments to initial and follow-on public offerings of equity, debt, and other securities, including registered direct offerings, PIPEs and confidentially marketed public offerings, and reverse mergers and other “alternative” means of accessing capital. We draw from extensive transactional experience and deep industry knowledge when representing you in your financing transactions and interactions with the Securities and Exchange Commission. We also represent buyers and sellers of businesses in merger and acquisition transactions in which securities are used as transaction consideration.

We represent our public company clients with respect to ongoing Securities and Exchange Commission compliance obligations, including periodic reporting, stockholder interactions, equity compensation matters, officer and director reporting requirements, and managing disclosure considerations. We also counsel companies and their boards of directors and board committees on the corporate governance obligations and requirements of the Dodd-Frank Act, Sarbanes-Oxley, and state corporate law. We approach sensitive disclosure issues with a comprehensive understanding of the industries in which you operate and the issues that are most important to you and your stockholders.

Quick Facts


  • Recognized industry knowledge in life sciences, biotechnology, and energy and clean technology
  • Completed more than 80 public offerings since 2010, with an aggregate deal value of over $4.4 billion
  • Counsel to the world’s leading investment banks and many industry-focused niche and specialty firms
  • Specialize in IPO work for companies developing ground-breaking technologies:
    • First biotech: Biogen
    • First demand response: EnerNOC
    • First NYSE-listed SPAC: Navios Maritime
  • Access to firm’s Securities Litigation attorneys

Areas of Focus

  • Board and committee advice
    • Counsel concerning the requirements and restrictions imposed on boards and board committees by securities laws
  • Capital-raising transactions
    • IPOs, underwritten follow-ons and registered directs, PIPEs, confidentially marketed public offerings, SPACs, and equity and debt offerings, including Rule 144A convertible notes
  • Corporate governance strategies
    • Sarbanes-Oxley and Dodd-Frank compliance and related governance issues
  • Executive and equity compensation planning and implementation
    • Structuring and implementing employee benefit plans and equity compensation packages under SEC’s “short-swing profit” reporting and liability rules, Section 13 and Section 16 reporting, and 10b5-1 plans
  • SEC and stock exchange reporting
    • Periodic and current reports, disclosure controls and procedures, and stock exchange listing standards
  • Securities education and training
    • Ensuring clients stay current with regulations and best practices
  • Shareholder communications and reporting
    • Assisting with the annual meeting process, Regulation FD compliance, and institutional shareholder issues
  • Mergers and acquisitions involving public company securities
    • Deal structuring, SEC disclosure and filings, corporate takeover defenses, and strategy
  • Policies and procedures
    • Implementing codes of conduct, insider trading policies and programs, and other means of managing life as a public company
Sort by: Name  Title  Office

Priya K. Agrawal

Priya K. Agrawal

Associate

New York 212.692.6708
Avisheh Avini

Avisheh Avini

Of Counsel

New York 212.692.6200
New York 212.692.6856
Boston 617.348.1784
Boston 617.348.1840
Boston 617.348.1742
John P. Condon

John P. Condon

Associate

Boston 617.348.4453
Peter Demuth

Peter Demuth

Member

Boston 617.348.3008
Boston 617.348.1640
Boston 617.348.4474
Julia F. Gaffin

Julia F. Gaffin

Associate

New York 212.692.6744
Steve Ganis

Steve Ganis

Of Counsel

Boston 617.348.1672
Boston 617.348.4443
Merav Gershtenman

Merav Gershtenman

Associate

New York 212.692.6806
San Diego 858.314.1515
San Francisco 415.432.6000
Ilan Goldbard

Ilan Goldbard

Associate

New York 212.692.6817
Laura K. Graham

Laura K. Graham

Associate

Boston 617.348.4461
Boston 617.348.1623
Kanasha S. Herbert

Kanasha S. Herbert

Associate

Boston 617.348.3015
Boston 617.348.1799
New York 212.692.6830
Boston 617.348.1706
Boston 617.348.1715
Boston 617.348.3093
New York 212.692.6882
Boston 617.348.1669
New York 212.692.6768
Boston 617.348.1674
Boston 617.348.3058
Boston 617.348.4402
Jessica D. Mendoza

Jessica D. Mendoza

Associate

San Francisco 415.432.6085
Tavis J. Morello

Tavis J. Morello

Associate

Boston 617.348.4464
Mark Nemes

Mark Nemes

Associate

New York 212.692.6718
New York 212.692.6774
Boston 617.348.1841
Linda Rockett

Linda Rockett

Member

Boston 617.348.4888
John T. Rudy

John T. Rudy

Associate

Boston 617.348.3050
San Diego 858.314.1873
Boston 617.348.1798
New York 212.692.6732
Jenna M. Shaffer

Jenna M. Shaffer

Associate

San Diego 858.314.1888
Jonathan Urbon

Jonathan Urbon

Associate

Boston 617.348.1844
Adam M. Veness

Adam M. Veness

Associate

Boston 617.348.4432
Boston 617.348.1869
Garrett M. Winslow

Garrett M. Winslow

Associate

Boston 617.348.3028

Representative Experience

  • Served as underwriters’ counsel to Leerink Swann in the $23.7 million underwritten public offering in January 2012 by Chelsea Therapeutics International Ltd. (NASDAQ: CHTP).
  • Represented ARIAD Pharmaceuticals, Inc. (NASDAQ: ARIA) in its $258 million public offering in December 2011. JPMorgan, Cowen and Company, and Jefferies served as underwriters.
  • Represented GI Dynamics, Inc. (ASX: GID) in the filing of its Australian IPO and contemporaneous US private placement, which raised a combined $85 million in September 2011.
  • Served as placement agent counsel to Leerink Swann in the $55 million private placement in September 2011 by Puma Biotechnology.
  • Represented BofA Merrill Lynch and Leerink Swann as underwriters’ counsel in a $65 million shelf offering for Achillion Pharmaceuticals, Inc. (NASDAQ: ACHN) in June 2011.
  • Represented ImmunoGen Inc., (NASDAQ: IMGN) in its $93.6 million follow-on underwritten public offering in May 2011. Jefferies & Company Inc. acted as the sole book-running manager for the offering and Oppenheimer & Co. Inc., RBC Capital Markets LLC, William Blair & Company LLC, Canaccord Genuity Inc., and Morgan Joseph TriArtisan LLC acted as co-managers for the offering.
  • Represented Rosetta Genomics, Inc. (NASDAQ: ROSG) in its concurrent PIPE / registered direct offering in February 2011. Rodman & Renshaw acted as the exclusive placement agent for both offerings.
  • Represented Vertex Pharmaceuticals Incorporated (NASDAQ: VRTX) in its $400 million underwritten public offering in September 2010. BofA Merrill Lynch acted as the sole underwriter in the offering.
  • Represented Navios Maritime Acquisition Corporation (NYSE: NNA.U) in its $90 million public offering in August 2010. Among the many offerings that we have done for Navios and its affiliates, in 2008, we completed Navios’s IPO of approximately $253 million, which made Navios the first SPAC initially listed on the NYSE.

Upcoming

Past