New SEC Beneficial Ownership Reporting Rules: Shorter Deadlines, Guidance on "Groups," Cash-Settled Derivatives
Recording of a 90-minute CLE video webinar with Q&A
This CLE webinar will discuss the SEC's recent amendments to its beneficial ownership reporting rules. The panel will review the accelerated Schedule 13D and 13G filing deadlines, the new guidance and rules on cash-settled derivative securities and the formation of a "group," and the deadlines for compliance.
Outline
- Overview and background of the final rules and amendments
- Filing deadlines
- Accelerated Schedule 13D deadline
- Accelerated Schedule 13G deadline
- Compliance dates
- New guidance on cash-settled derivative securities
- New guidance and rules on formation of a "group"
- Structured data requirements
- Impact on investors
- Key takeaways
Benefits
The panel will review these and other key issues:
- What are the new or amended rules governing beneficial ownership?
- What guidance did the SEC provide regarding cash-settled derivative securities and the formation of a "group"?
- What are the compliance dates for the new rules?
- What actions should investors take now to comply with the new rules?
Faculty
David Bartz
Partner
K&L Gates
Mr. Bartz advises clients in all aspects of corporate and securities law, with an emphasis on capital markets... | Read More
Mr. Bartz advises clients in all aspects of corporate and securities law, with an emphasis on capital markets transactions, securities regulation, and corporate governance. He has experience representing both issuers and investment banks in a wide range of capital markets transactions, including initial public offerings, follow-on offerings, public and private offerings of debt and equity securities, and tender offerings. Mr. Bartz’ practice also includes M&As and other general corporate matters, including Exchange Act reporting and corporate governance and compliance matters, including insider reporting and compliance with the rules of the New York Stock Exchange and Nasdaq. Mr. Bartz has counseled and represented companies involved in a broad array of industries, including financial services, international shipping, food distribution, and the energy industry, including exploration and production companies, master limited partnerships, pipeline joint ventures, and oilfield services companies.
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Katie Klaben
Partner
Sidley Austin
Ms. Klaben advises financial services firms – particularly private fund advisers, public companies, family... | Read More
Ms. Klaben advises financial services firms – particularly private fund advisers, public companies, family offices and broker-dealers – on a wide range of securities regulatory, compliance, enforcement, and transactional matters. She works extensively with clients on their compliance with the disclosure requirements and related liability under Sections 13 and 16 of the Exchange Act. Ms. Klaben also assists broker-dealer and investment adviser clients with recordkeeping compliance and related regulatory inquiries. She has also counseled numerous broker-dealer clients on establishing and executing fully paid securities lending programs. Ms. Klaben is a member of Sidley’s global Securities Enforcement and Regulatory practice.
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Stephen M. Leitzell
Partner
Dechert
Mr. Leitzell advises clients on domestic and cross-border mergers and acquisitions, securities offerings, financings,... | Read More
Mr. Leitzell advises clients on domestic and cross-border mergers and acquisitions, securities offerings, financings, and public company reporting and governance issues. His clients are varied, including public and privately-held corporations, private equity sponsors and their portfolio companies. Mr. Leitzell also has experience across a wide range of industries, most significantly in the healthcare and technology sectors.
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