Steven’s practice focuses on issuers and underwriters in a range of equity and debt offerings.
Steven represents issuers and underwriters in a range of equity and debt offerings, with a significant portion of this work concentrated in the energy and utility industries. He has substantial experience with common stock offerings, hybrid securities, tax-exempt offerings of multi-modal debt, 4(2) private placements and liability management. Steven also regularly advises on matters relating to general securities law compliance and disclosure, the Sarbanes-Oxley Act of 2002, Dodd-Frank and corporate governance.
Acted as underwriters’ counsel for common stock offering by Ohio-based utility holding company
Acted as company counsel to Farm Credit financial institution in offerings of perpetual preferred stock
Acted as underwriters’ counsel for Minnesota-based electric utility holding company in forward-equity issuance
Acted as agents’ counsel in establishment of periodic equity programs for utility holding company
Acted as underwriters’ counsel in numerous private activity bond offerings and remarketings
Acted as underwriters’ counsel in debt offering by California-based water utility
Acted as company counsel and purchasers’ counsel in 4(2) private placements of debt to financial institutions
Acted as company counsel to restaurant holding company in waterfall tender offer
Acted as company counsel to Farm Credit financial institution in Dutch auction tender for subordinated debt
Acted as initial purchasers’/dealer-managers’ counsel in 144A offering by Texas-based natural gas distribution company and the subsequent private exchange offer for a series of the company's outstanding debt
Acted as dealer manager counsel in first-ever corporate Dutch auction debt-for-debt exchange
Speaker, Report of the Finance, Mergers & Acquisitions Committee, American Bar Association Section of Infrastructure and Regulated Industries, ABA Spring Meeting, March 8-10, 2018
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