Focus Areas
Securities and Capital Markets
- Advises on investments in public companies
- Participates as company or underwriter counsel in equity and debt securities offerings, including initial public offerings, other going public transactions, follow-on public offerings, PIPEs, “equity line” transactions, Rule 144A offerings, “baby bond” and preferred stock offerings, tender offers, other exchange and repurchase transactions, and registrations with the SEC
- Advises public companies on the possibility of “going dark” and “going private”
- Prepares and/or reviews periodic reports, proxy and written consent solicitation statements, registration statements on Forms 10, 8-A, S-1, S-3, S-4 and S-8, Forms SD (conflict minerals), Section 16 filings, Forms 144, Schedules 13D/13G and other SEC filings made by public companies and their officers, directors and shareholders
- Assists with Form 10-K and Form 8-K disclosures relating to the SEC’s new cybersecurity rules
- Provides guidance on public disclosure, investor relations, and compliance issues related to SEC, NYSE, NYSE American, NASDAQ and FINRA/OTC rules and regulations, and responses to SEC and stock exchange comment letters
- Advises companies in navigating financial restatements, non-GAAP disclosures, segment classification and related issues
- Assists with implementation of Rule 10b-18 and 10b5-1 stock repurchase programs and private repurchase transactions
- Advises and assists affiliates of public companies with reporting requirements under Section 13(d) and Section 16 of the Exchange Act, avoiding liability under Section 16’s “short swing profit” rules, resales of restricted stock under Rule 144 of the Securities Act, and implementation of Rule 10b5-1 stock trading plans and has prepared hundreds of Rule 144 opinions
- Provides guidance on insider trading issues and policies and procedures
- Reviews executive compensation disclosures in SEC filings
- Assists with removal of restrictive legends on stock certificates and other stock-related matters
- Assists with equity plan administration
- Prepares stock exchange listing applications, advises regarding OTC listing, uplisting to stock exchange, and stock exchange changes, assists with plans to regain compliance with listing standards, and assists with responses to investigations, non-compliance notices and delistings
- Participates as counsel in venture capital financings
Corporate Governance
- Advises boards of directors, nominating and governance committees, general counsels and corporate secretaries regarding corporate governance matters, including director onboarding, board self-assessments, corporate governance documentation, and recommendations of ISS and other proxy advisory firms
- Counsels and assists with the implementation of policies and procedures in response to new rules and regulations on corporate governance and executive compensation
- Advises and assists with the development and implementation of ESG programs, conducts ESG gap assessments, reviews ESG reports and other ESG-related disclosures, counsels regarding ESG governance structures, and works with boards, ESG committees and management on ESG programs and disclosures in light of rapidly evolving market expectations, regulatory requirements and “greenwashing” concerns
- Assists new public companies in developing and implementing corporate governance practices and procedures
- Conducts and/or assists with annual and special meeting processes of public and private companies and advises on shareholder proposal matters
- Provides corporate secretary services, supports and provides strategic advice to boards of directors and board committees regarding corporate governance issues, and advises regarding design, implementation and ongoing maintenance of a sustainable governance framework
Shareholder Activism and Takeover Matters
- Provides advice to hedge funds, activist shareholders and companies on takeover matters, including Schedule 13D disclosures, proxy disclosures and solicitation issues, group formation issues, shareholder rights plans, exempt solicitations, and control share acquisitions
- Counsels on waging or defending proxy contests, consent solicitations, and other actions for obtaining corporate control
- Prepares “proxy fight” letters and SEC documentation for proxy contests
- Counsels on navigating SEC and “proxy plumbing” process, universal proxy matters, and issues in proxy contests
- Advises companies and shareholders on director nominations and environmental, social and governance (ESG) and other shareholder proposals
- Serves as local counsel on takeover matters
Public Company Mergers & Acquisitions and Other Corporate Matters
- Acquisition, disposition and merger transactions involving public companies, including merger proxy statements and special shareholder meetings
- Service as Ohio local counsel on public company and other strategic transactions involving Ohio corporations
- Company restructurings, holding company formations and recapitalization transactions, including capital allocation matters, stock repurchases, stock splits, reverse stock splits and filings with FINRA
- Company name and headquarters changes
- Quarterly and special dividends
- Joint ventures
- “Top 5 ESG Insights for Manufacturing Companies and Boards,” Industry Today, October 2024
- “New Deadline Set for California Climate Disclosure Rules,” Thompson Hine ESG Collaborative Update, October 2024
- Thompson Hine Securities Quarterly Update, Fall 2024
- “Practical Suggestions When Reviewing ESG Disclosures,” Insights, The Corporate & Securities Law Advisor, August 2024
- Quoted, “Patchwork Gov’t Rules Complicate ESG Plans, Survey Says,” Law360, July 2024
- Thompson Hine Securities Quarterly Update, Summer 2024
- “SEC Issues Update on Cybersecurity Incident Report,” Thompson Hine Privacy & Cybersecurity Update, May 2024
- Thompson Hine Securities Quarterly Update, Spring 2024
- “Future Uncertain for California Climate Disclosure Laws Set to Take Effect in Two Years,” Pratt’s Energy Law Report,” May 2024
- “SEC Adopts Long-Awaited Climate-Related Disclosure Rules,” Thompson Hine ESG Collaborative Update, March 6, 2024
- “Future Uncertain for California Climate Disclosure Laws Set to Take Effect in Two Years,” Thompson Hine ESG Collaborative Update, February 2024
- Thompson Hine Securities Quarterly Update, Winter 2024
- “New Guidance on SEC Cybersecurity Reporting Regulations,” Thompson Hine Privacy & Cybersecurity Update, December 2023
- “Preparing for SEC Cybersecurity Incident Reporting,” Insights, The Corporate & Securities Law Advisor, December 2023
- Thompson Hine Securities Quarterly Update, Fall 2023
- “Preparing for New California Climate Risk and Emissions Disclosure Laws,” Thompson Hine ESG Collaborative Update, September 2023
- “SEC Finalizes Rules Requiring Mandatory Cybersecurity Disclosure,” Thompson Hine Securities Law Update, July 27, 2023
- Thompson Hine Securities Quarterly Update, Summer 2023
- Quoted, “Headed to Court? SEC’s Proposed Climate-Disclosure Rules Will Likely Face Legal Challenge,” National Law Journal, May 9, 2023
- “SEC Issues New Rules Regarding Company Stock Repurchase Disclosures,” Thompson Hine Securities Update, May 3, 2023
- Thompson Hine Securities Quarterly Update, Spring 2023
- Quoted, “New ESG Rule from DOL Facing Significant Pushback at State Level,” WorldatWork, February 2023
- Thompson Hine Securities Quarterly Update, Winter 2023
- Quoted, “Increasingly, CEOs—Rather Than Legal Chiefs—Are Leading ESG Efforts,” Corporate Counsel, December 2022
- “Universal Proxy: Five Takeaways and Five Action Items,” Insights, The Corporate & Securities Law Advisor, December 2022
- Quoted, “Firms Face ESG Data Demands From Business Partners, Study Says,” Bloomberg Law, December 19, 2022
- Quoted, “Business Stakeholders Are Asking Attys For ESG Data,” Law360, December 2022
- “SEC Issues Final Rules on Rule 10b5-1 Insider Stock Trading Plans and Insider Trading Policies and Procedures,” Thompson Hine ESG Collaborative Update, December 15, 2022
- Thompson Hine Securities Quarterly Update, Fall 2022
- “Forthcoming Federal Procurement Revisions Focus on Achieving Environmental Goals,” Pratt’s Government Contracting Law Report, September 2022
- Thompson Hine Securities Quarterly Update, Summer 2022
- “Forthcoming Federal Procurement Revisions Focus on Achieving Environmental Goals,” Thompson Hine Government Contracts & ESG Update, June 2022
- “Current Considerations for Preparing to Go Public,” Bloomberg Law, May 2022
- Thompson Hine Securities Quarterly Update, Spring 2022
- “Five Things You Need to Know About the SEC’s Climate Disclosure Proposal,” Washington Legal Foundation, March 2022
- Quoted, “SEC Gives Until 2024 for Greenhouse Gas Disclosure Scrutiny,” Bloomberg Law, March 22, 2022
- “SEC Releases Long-Awaited Proposed Climate Disclosure Rules,” Thompson Hine ESG Collaborative Update, March 22, 2022
- “SEC Issues Proposed Rules on Mandatory Cybersecurity Disclosure,” Thompson Hine ESG Collaborative Update, March 10, 2022, republished by Daily Securities News, March 2022
- “Class Certification in Long-Running Securities-Fraud Suit a Cautionary Tale for Public ESG Pronouncements,” Thompson Hine Business Law Update, Winter 2022
- “Should You Tie Part of Incentive Compensation to ESG Metrics?” Insights, The Corporate & Securities Law Advisor, January 2022
- “Class Certification in Long-Running Securities-Fraud Suit a Cautionary Tale for Public ESG Pronouncements,” Washington Legal Foundation, January 2022
- Quoted, “Executive Stock Sales Face More Scrutiny as SEC Tightens Rules,” Bloomberg Law, December 20, 2021
- Quoted, “Untested ESG Reporting Draws Scrutiny as SEC Readies Rules,” Bloomberg Law, December 15, 2021
- “ESG Governance: Board and Management Roles & Responsibilities,” Harvard Law School Forum on Corporate Governance, November 10, 2021
- Quoted, “Regs & Stakeholders Drive ESG Law as Cleveland Firm Releases Key Report,” Of Counsel, November 2021
- “ESG: Why Boards Are Getting on Board,” Washington Legal Foundation, November 2021
- Quoted, “Cos. Face Data Collection Challenges Amid ESG Strategy,” Law360, September 2021
- Quoted, “Survey: In-House Counsel Face Significant Challenges with ESG Efforts,” Corporate Counsel, October 2021
- “ESG Governance: Board and Management Roles & Responsibilities,” October 2021
- Quoted, “ESG Disclosure Plans Emerge as Corporate Priority, Study Finds,” Bloomberg Law, September 2021
- “An ESG Snapshot, Survey Confirms Companies Are Responding to Increasing Expectations,” Thompson Hine LLP, September 2021″
- “ESG Disclosure: Tackle It Before It Tackles You,” Washington Legal Foundation, August 2021
- “Mistakes, Inconsistencies and Outdated Data – Correcting Public Information About Your Company,” Thompson Hine Securities Update, June 2020
- “A Corporate Governance Guide To 2020 Proxy Season,” Law360, January 1, 2020
- “Why You Should Add Women to the Board Even When You Don’t Have to,” Directors & Boards, November 18, 2019
- “Preparing for 2020 Proxy Season,” Business Law Update, Fall 2019
- “Smaller Public Companies and ESG,” Harvard Law School Forum on Corporate Governance and Financial Regulation, September 4, 2019
- Quoted in “Activist Shareholders Push TransDigm on Greenhouse Gas,” Crain’s Cleveland Business, February 24, 2019
- “When Shareholder-Approved Equity Plans Run Dry, Can Inducement Grants Fill the Void?” The Corporate Governance Advisor, March/April 2016 Issue
- “When Shareholder-Approved Equity Plans Run Dry: Can Inducement Grants Fill the Void?” The Advisors’ Blog, CompensationStandards.com, December 2015
- “Private Stock Repurchases: What to Look Out For,” Business Law Update, Winter 2014
- “Losing Sleep Over Exchange Listing? Consider the OTC Markets,” The Deal, November 2014
- “IPO on the Cheap?” BiotechBlog, April 2011
- Comment Letter to the Securities and Exchange Commission on Proposed Rules for Implementing the Whistleblower Provisions of Section 21F of the Securities Exchange Act of 1934, December 2010
- “Public Company Update: SEC Issues Proposed Say-or-Pay Rules,” October 2010
- “Public Company Update: Proxy Access – Initial Considerations for Public Companies,” September 2010
- “Director Obligations” (discussing former directors’ and officers’ SEC reporting obligations), LexisNexis Emerging Issues Analysis, May 2010
- “Public Company Update: Placing a Poison Pill ‘On the Shelf’,” August 2009
- Comment Letter to the Securities and Exchange Commission on Proposal Regarding Proxy Access, July 14, 2009
- “Greenmail Disgorgement Statutes and Corporate By-Law Provisions Could Trap Activist Hedge Funds,” Bloomberg Corporate Law Journal, Winter 2009 Issue
- “Navigating AI Opportunities and Risks: Management and Oversight of Artificial Intelligence,” presented to the Society for Corporate Governance, May 2024
- “Navigating the SEC’s Climate Disclosure Rule: Implications, Litigation Insights, and Strategic Frameworks for Companies,” April 2024
- “A Hazy Forecast: ESG, Climate, and the Law,” Rutgers Business Law Review Symposium co-sponsored by Rutgers Center for Corporate Law and Governance, April 2024
- “Update on Clawback Policies,” presented to the Society for Corporate Governance, moderator, August 2023
- “Success Strategies for the Ever-Changing ESG Landscape,” May 2023
- “ESG Programs,” OSU ESG Conscious Capitalism Symposium, March 2023
- “Incorporating ESG into your Investor Relations Strategy,” ZMH Webinar, February 2023
- “An ESG Collaborative Roundtable: Developing Best Practices for Navigating the Moving Target That is ESG,” Thompson Hine ESG Collaborative Workshop, January 2023
- “Climate Change and Other ESG Disclosures in the US & Canada,” Gowling WLG Webinar, November 2022
- “Navigating US & EU ESG Landscape – What to Do Now to Prepare,” presented to the Society for Corporate Governance, October 2022
- “Strengthening Your Business’ ESG and Sustainability Strategies,” Thompson Hine Startups Streamlined Podcast Series, September 2022
- “Navigating Proxy Season with SEC Disclosure Mandates and Litigation Risks Lurking,” Washington Legal Foundation (WLF) Webinar, April 2022
- “Managing Your Legal ESG Risk: Disclosure Best Practices and Averting Greenwashing and SEC Claims,” Society of Corporate Compliance and Ethics (SCCE) ESG and Compliance Conference, April 2022
- “Investigations Disclosure Considerations,” April 2022
- “Implementing & Maintaining a Successful ESG Program,” presented to the Association of Corporate Counsel (ACC) Southwest Ohio, April 2022
- “The Myriad Approaches to ESG Data & How to Use Your Data to Report Reliably,” American Bar Association’s (ABA) Business Law Spring 2022 Meeting, March 2022
- “Best Practices in Developing ESG Programs, Governance, and Disclosures,” presented to the Society for Corporate Governance, Essentials for Corporate Governance conference, January 2022
- “Update on the “G” in ESG,” Thompson Hine LLP’s ESG Collaborative Roundtable: Best Practices to Set (and Exceed) ESG Goals, January 2022
- “‘Top of Mind’ Issues for Corporate Secretaries,” presented to the Society for Corporate Governance, moderator, December 2021
- “Addressing Forced Labor Risk in Supply Chains,” Thompson Hine Webinar, October 2021
- “ESG Internal Communication and External Disclosure: Tackle Them Before They Tackle You,” Washington Legal Foundation Webinar, September 2021
- “ESG Governance and Top Things in Investigations,” presented to the Society for Corporate Governance, September 2021
- “Nasdaq Listings, Listing Transfers & Uplistings,” Zippy Point,
March 2021 - “All You Need to Know About Proxy Advisor Reports (Correcting and More),” with Alliance Advisors, Zippy Point, December 2020
- “A Look Inside the ESG Megatrends and What It Means for Companies,” with Sustainable Governance Partners, presented to the Society for Corporate Governance, moderator, October 2020
- “COVID-19 Impacts on Executive Compensation and Proxy Statement Developments,” presented to the Society for Corporate Governance and NASPP, moderator, September 2020
- “Women Governance Gurus,” the corporatecounsel.net, July 2020
- “Shareholder Activism and ESG Issues,” with Alliance Advisors, September 2019
- “Running Effective Shareholder Meeting,” March 2019
- “Proxy 101” with Alliance Advisors, January 2017
- “Exchange Act Reporting,” April 2015
- “2013 Proxy Season and Annual Meeting,” presented to the Society of Corporate Secretaries and Governance Professionals, January 2013
- “The Use of Non-GAAP Financial Measures,” January 2013
- “The Impact of Federal Securities Laws on Social Media Communications,” presented to the Society of Corporate Secretaries and Governance Professionals, March 2012
- Selected to Law360’s Capital Markets Editorial Board, 2022
- Stanford University Graduate School of Business, Executive Leadership Program, 2019
- Selected to the Ohio Rising Stars list, 2013 to 2021
- CALI Awards for highest achievement in Securities Regulation, Bankruptcy, Contracts, Property, Civil Procedure, Criminal Law, Wills, Trusts & Estates, Constitutional Law, and Professional Responsibility; Ernest Karam Award for highest achievement in Contracts
- Selected as a 2022 Woman of Professional Excellence by YWCA of Greater Cleveland
Professional Associations
- “Insights” Editorial Board, January 2022 to present
- The Society for Corporate Governance, Ohio Chapter, President, 2020 to present
- The Society for Corporate Governance, 2011 to present; Small & Mid-Cap Companies Committee, 2013 to present; Corporate Governance Committee, 2014 to present; Sustainability Practices Committee, 2021 to present
Community Activities
- Akron Law Review, Advisory Board, member, 2010 to 2016; Publication Panel, member, 2010 to 2016
- HandsOn Northeast Ohio Volunteer, 2019
Education
- University of Akron, J.D., 2006, summa cum laude,
Akron Law Review, board member, and text and research editor
- East Tennessee State University, B.A., 2003, summa cum laude
- Vytautas Magnus University, 2000,
Lithuania
Bar Admissions
- New York
- Ohio
Languages
- Lithuanian
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- Top 5 ESG Insights for Manufacturing Companies and Boards,
Industry Today
, October 16, 2024 - New Deadline Set for California Climate Disclosure Rules,
ESG Collaborative Update
, October 4, 2024 - Securities Quarterly Update – Fall 2024,
Thompson Hine Newsletter
, October 1, 2024 - Patchwork Gov’t Rules Complicate ESG Plans, Survey Says,
Law360
, August 2, 2024 - New Thompson Hine Survey-Based Report Tracks ESG’s Latest Shift as Voluntary Makes Way for Mandatory,
Thompson Hine LLP
, July 30, 2024 - The ESG Shuffle: Voluntary Shifts to Mandatory, July 30, 2024
- Practical Suggestions When Reviewing ESG Disclosures,
INSIGHTS
, July 24, 2024 - Securities Quarterly Update – Summer 2024,
Thompson Hine Newsletter
, July 2, 2024 - SEC Issues Update on Cybersecurity Incident Report,
Privacy & Cybersecurity Update
, May 23, 2024 - Securities Quarterly Update – Spring 2024,
Thompson Hine Newsletter
, May 15, 2024