Securities Transactions

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Kibbe & Orbe’s Securities Transactions practice advises private funds and other buy-side market participants on a variety of matters under the U.S. federal securities laws. We advise clients on investments in primary offerings, secondary market trading, liquidity management, short-selling and tender and exchange offers. In keeping with the firm’s well-known focus on trading markets, we have expertise in the tradability and regulatory issues relating to debt, preferred stock, warrants, convertible debt and hybrid instruments. We counsel clients on the availability and structure of exit transactions, including registered resales and unregistered dispositions under Rule 144, Section 4(a)(1-½), Rule 144A and Regulation S.

We also represent hedge funds and other investors on the securities law aspects of owning interests in or claims against a bankrupt issuer. Working with our colleagues in Kibbe & Orbe’s Restructuring & Bankruptcy practice, we have particular expertise with the resale of plan securities under Section 1145 of the Bankruptcy Code.