Mark Wood

Co-Chair, Capital Markets Practice Group

Katten

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

    2:35 PM - 3:15 PM

    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
    6:45 PM - 7:20 PM

    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
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