Christopher "Chris" Rogers assists public traded and privately held companies, including portfolio companies, sponsors, underwriters and investment banks in public and private offerings of debt and equity securities. He represents public issuers in capital markets transactions, including traditional common stock and warrant follow-on offerings, at-the-market (ATM) offerings, and initial public offerings (IPOs). Chris also represents public companies in connection with mergers, acquisitions and dispositions.
Chris counsels public companies with respect to SEC reporting and disclosure compliance, corporate governance, and general corporate matters. Chris prepares and reviews SEC filings, including reports on Forms 10-K, 10-Q and 8-K, Section 16 reports and Schedules 13D and 13G. He regularly drafts and reviews annual and transaction related proxy and information statements and advises public companies on annual meeting matters, compliance with federal securities laws, state corporate law requirements and relevant Nasdaq/NYSE listing requirements. Chris also drafts and reviews registration statements, including Forms S-8 and related equity incentive plans and employee stock purchase plans, as well as corporate governance materials, including committee charters, corporate governance guidelines, codes of conduct and insider trading policies.
Represented a Nasdaq-listed public offering in several transactions, including three underwritten public offerings of approximately $42 million of common stock, $21 million of common stock and warrants, and $22 million of common stock and warrants, as well as an at-the-market offering of up to $50 million of common stock
Represented a Nasdaq-listed public offering in multiple underwritten public offerings of approximately $40 million of common stock and warrants, and up to $100 million of common stock and warrants
Represented a Nasdaq-listed public offering in multiple transactions, including an underwritten public follow-on offering of approximately $18 million of common stock and warrants and at-the-market offering of up to approximately $150 million of common stock
Assisted public companies with SEC and SRO compliance and disclosure matters