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Preparation for 2019 Fiscal Year-End SEC Filings and 2020 Annual Shareholder Meetings

Public companies embarking on the year-end reporting process need to consider and address a number of significant developments and issues. As in past years, Mintz has prepared a comprehensive analysis of regulatory and other developments that affect public companies preparing for their fiscal year-end filings with the SEC and their annual shareholder meeting.

In this advisory we discuss several new SEC rules, including rules covering disclosure of companies’ hedging policies and amendments to Form 10-K reporting requirements. We also provide an update on the policies and practices of the major proxy advisory firms, the ongoing focus on board diversity, and other developments related to corporate governance and disclosure, including legislation and litigation.

 

 

 

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Authors

Megan N. Gates

Member / Co-chair, Securities & Capital Markets Practice

Megan N. Gates is a Mintz corporate and securities attorney who guides public companies through capital-raising transactions, SEC reporting obligations, and mergers and acquisitions. She advises clients on corporate governance and SEC compliance matters in the life sciences and other industries.
" John P. Condon focuses on securities, venture capital, debt financing transactions, and general corporate law at Mintz. He represents clients in the Life Sciences, MedTech, Tools, and Devices, Clean Tech & Renewables, and Health Care industries. "

Anne L. Bruno

Special Counsel

Anne L. Bruno is a Special Counsel at Mintz. She provides executive compensation, securities law, and corporate governance advice. Anne represents public and private companies, executives, and boards of directors in equity and executive compensation matters.