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