William C. Hicks

Member / Co-Chair, Life Sciences Practice

Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

Bill is the Co-chair of the Life Sciences Practice Group. He has extensive experience representing issuers, investors, and investment banks in structuring and executing IPOs, cross-over investments, alternative public offerings, including APOs, reverse mergers and Form 10 transactions, follow-on public offerings, CMPOs, registered directs, PIPEs, and private placements. Bill represents hedge funds, venture capital firms, and private equity firms in customized investments in public companies, including structured PIPEs and registered directs. Bill also represents public companies in public and private financings, SEC compliance, corporate governance, and general counseling.

Bill has extensive experience representing buyers and sellers in M&A transactions, including public company deals, private company deals, and spin-offs. Bill regularly represents domestic and foreign companies, and he is well-versed in issues specific to cross-border deals.

Additionally, Bill represents private companies and investors in venture capital transactions.

    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
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