The securities law practice area has been a foundation of the firm since our formation. Commencing with the taking of Pizza Hut® public in 1968 and continuing today, Klenda Austerman LLC has taken an innovative approach in assisting its client in their pursuit of capital. Klenda Austerman LLC has assisted in many aspects of the going public process including not only the preparation of the securities registration statements, necessary corporate documents, blue sky filings and exchange listing applications, but we have frequently participated in deal structure, underwriter selection, the negotiation of the underwriting relationship and shareholder relations.
Because companies have different capital needs and sources at different stages in their development, we also have broad experience in matters other than IPOs. For our start-up and emerging clients, these activities have included private offerings, as well as Rule 3(a)(11) “intrastate” offerings. For our public clients, we have assisted with Rule 144 insider sale transactions, Form S-8 plan registrations, and also public mergers and acquisitions under Form S-4. We also assist in the preparations and processing of proxy, tender offer and periodic reporting materials, including Schedules 13D and 13G, under the Securities Exchange Act of 1934 and Section 16 filings and the Williams Act.