Mark Wood
Katten Partner and National Capital Markets Co-Head Mark Wood is a highly-skilled, pragmatic, and client-focused practitioner with extensive experience representing public companies, investment banks, and other market participants in various ongoing and transactional matters. As a leading advisor in respect of highly structured PIPE transactions, he represents public companies, placement agents, and institutional investors, including a prominent firm targeting the healthcare space. Many of Mark's clients are in the health care, technology, oil and gas, mining, manufacturing, and financial services industries.
Topic
Thursday November 14 2024
What you Should Know About Foreign Issuers and the PIPE Market
- Overview of foreign securities laws and exchange listing requirements
- Restrictions on transfer/resales of securities (Regulation S, Restrictive Legends)
- Differences in documentation from domestic PIPEs
- Canadian issuers, their regulatory regime, holding exemptions, and the US/Canada disclosure system
- U.S. registration and dual listings; Exemptions from ’34 Act registration for foreign private issuers
Wednesday November 13 2024
Redefining PIPEs: 20 Years Later - What Constitutes a Private Investment in Public Equity?
- Revisiting the industry’s understanding of what a PIPE transaction is (and isn’t)
- Discussion of how PIPE investment strategies have changed and why
- Overview of legal, regulatory, and other issues that have most impacted the market
- Predictions for the future of PIPEs