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Preparation for 2021 Fiscal Year-End SEC Filings and 2022 Annual Shareholder Meetings

As public companies embark on the year-end reporting process, they will need to consider, and in some cases take steps to 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 meetings.

In this memorandum we explore how environmental, social, and governance (ESG) issues and the ongoing COVID-19 pandemic are shaping public company disclosure. We also discuss the SEC’s continued focus on executive perks and other compensation issues, legislation and enforcement efforts related to cybersecurity and privacy, and SEC, NYSE, and Nasdaq proposed and enacted rule changes. In addition, we provide an update on the policies and practices of the major proxy advisory firms as well as an update on litigation impacting corporate governance and disclosure.

 

 

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Authors

Megan N. Gates

Member / Chair, Corporate Practice; 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 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.
Melanie Ruthrauff Levy is a Mintz attorney who counsels venture and private equity funds and public and private companies in corporate governance, public company reporting, and transactional matters. She represents issuers and financing sources in the life sciences, health care, and tech fields.
Dan is a corporate and securities attorney whose practice spans the full gamut of corporate law. He has advised clients for nearly two decades in public and private equity and debt financings, securities law matters, mergers and acquisitions, and strategic advice on a broad range of other corporate matters. He capably counsels public and private companies with offerings, compliance, and securities questions and leads buyers and sellers throughout the transaction process. Dan represents life sciences companies as well as clients in other technology fields, financial services, and professional services firms.

Cynthia J. Larose

Member / Chair, Privacy & Cybersecurity Practice

Cynthia J. Larose is Chair of the firm's Privacy & Cybersecurity Practice, a Certified Information Privacy Professional-US (CIPP-US), and a Certified Information Privacy Professional-Europe (CIPP-E). She works with clients in various industries to develop comprehensive information security programs on the front end, and provides timely counsel when it becomes necessary to respond to a data breach.
Breton Leone-Quick is an attorney who advises Mintz clients in the financial services industry in litigation matters and regulatory investigations. He leverages his understanding of federal securities laws and Delaware corporate laws to navigate complex crises and disputes.

Page R. Hubben

Associate

Page R. Hubben is a Mintz Associate whose practice focuses on mergers and acquisitions, securities law compliance, and general corporate law. She represents life sciences, technology, financial services, retail, and health care clients. She also counsels clients on privacy regulations and compliance.