Public Companies

We help you manage being a public company in a practical, efficient, hands-on manner that is consistent with your business objectives.

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John Houston

Email: jhouston@fredlaw.com
Office: 612.492.7392

Melodie Rose

Email: mrose@fredlaw.com
Office: 612.492.7162

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What We Do

A Style You Will Appreciate

At Fredrikson & Byron, we’ve built a reputation as the firm “where law and business meet,” which means understanding our clients’ businesses, industries, and unique needs is at the heart of our mission. We focus on managing your SEC-related obligations in a practical, efficient, hands-on manner that is consistent with your business objectives.

Here is how our style works for you:

Practical business solutions that focus on your business and provides legal advice that gets results
Creativity that draws from deep and broad experience and our understanding that great solutions are not always complicated or expensive
Relationship-focused approach that works with you to find solutions to accomplish your goals
Excellent service using a cost-effective and dedicated team approach to ensure responsiveness

Fredrikson & Byron’s Public Companies group helps companies, directors and shareholders manage their SEC and stock market filings and obligations, internal compliance procedures, corporate governance matters and transactions. Our client base includes established businesses and growth companies in a wide range of industries such as life sciences, manufacturing, distribution and retail. With each client, we strive to find the solutions it needs to reach its business goals.

Our team of more than 20 attorneys and paralegals understands the needs of public companies and their directors and shareholders. Each client receives the benefit of deep bench strength coupled with a focus on delivering responsive, cost-effective and tailored service. We are flexible in our styles and routinely work with CFOs, controllers, in-house attorneys and other SEC and financing service providers.

Experience

Experience That Works For You

You can access our deep experience with any of the following services:

Public Company Reporting

Periodic and annual reports
Compensation and benefits disclosures
Sarbanes-Oxley and Dodd-Frank compliance
Compliance with NYSE, Nasdaq and other market listing requirements
Confidential treatment requests, no-action letters and responses to SEC comments
Shareholder proposals and activism
Insider trading and other compliance policies
SEC investigations and enforcement

Board and Management Advice

Advise boards and committees on structure and duties
Manage relationships between the board, shareholders, management and other corporate constituencies
Executive compensation and employee benefits
Evaluate conflicts of interest and corporate opportunity issues
Corporate, legal and ethical investigations and compliance reviews
Board and officer fiduciary duties
Board composition, procedures and charters
Directors’ and officers’ liability and insurance

Shareholder and Investor Relations

Proxy statements
Annual meetings
Shareholder and market communications
Share repurchase programs

Beneficial Ownership Reporting

Prepare and file Section 13 and 16 reports
Advise on beneficial ownership reporting requirements
Short-swing profit issues

Transactions

Public offerings and private placements
Venture capital and institutional investments
Mergers, acquisitions, divestitures, spin-offs and going private transactions
Negotiating underwriting and other financing agreements
Assistance with valuation
Shareholder agreements
Evaluate financing alternatives and assessing organizational structures

Representative Clients

We are primary SEC counsel, and also serve as special SEC and committee counsel, to many public companies located in Minnesota and throughout the United States. Our services reach a wide-range of public companies including pre-revenue companies and smaller reporting companies such as Arno Therapeutics and Sajan, mid-cap companies like Arctic Cat and Titan Machinery and large, mature companies such as Medtronic. Our clients include:

Public companies
Private companies seeking to access the public markets
Boards of directors and special committees
Shareholders
Strategic and venture capital investors

News & Articles

SEC Proposes Amendments to Shareholder Proposal Rule

November 15, 2019

On November 5, the SEC proposed amendments to Exchange Act Rule 14a-8, the rule that governs the process for shareholder proposals to be included in a company’s proxy statement.

Public Companies

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