Phoenix Securities Attorneys & Lawyers
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Seth Wiener
Mario Naim
Michael Wieser
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Baruch Gottesman
Dmitriy Ishimbayev
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Daniel E. Goodrich
Joshua Kushner
Michael Ansell
Alexandra Conn
Jazmin Caldwell
Phoenix Securities Lawyers
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Legal Services Offered by Our On-Demand Phoenix Securities Attorneys
On UpCounsel, you can find and connect with top-rated Phoenix securities attorneys & lawyers that provide a range of securities law services for startups to large businesses. Any of the top-rated Phoenix securities lawyers you connect with will be available to help with a variety of your securities law related legal needs on-demand or on an ongoing basis in the city of Phoenix, AZ.
From primarily dealing with things like SEC filings, initial public offerings (IPO), transactions, legal disputes involving broker fraud, breach of fiduciary duty, and stockbroker negligence, the Phoenix securities lawyers on UpCounsel can help you with a variety of specialized and general securities law related legal matters. No matter what type of securities law needs you have, you can easily hire an experienced Phoenix securities lawyer on UpCounsel to help you today.
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Form 8-K
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If your company sells securities, you have a duty to keep investors informed. Often, this is done through your quarterly and annual reports. Other events may need to be reported on Form 8-K.
What Is Form 8-K?
The form's official title is "Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934." It is used to report material events affecting a company subject to SEC oversight.
An event is material when it could affect a reasonable shareholder's investment decision. This includes:
Acquisition of or by another company.
Bankruptcy.
Corporate restructuring.
Changes to the board of directors.
Changing the fiscal year.
...
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- Convertible preferred stock allows holders to convert shares into common stock, combining fixed income with growth potential.
- These shares offer priority dividends and liquidation preference while providing upside if the company performs well.
- Conversion terms vary and may include triggers like IPOs, acquisitions, or time-based events.
- Investors must weigh the trade-off between fixed dividends and the potential dilution of equity.
- Startups use convertible preferred stock to attract investors while retaining flexibility in capital structure.
What is Convertible Preferred Stock?
Convertible preferred stock is a type of preferred stock that gives holders the option to convert their preferred shares into a fixed number of common shares after a specified date. It is a hybrid type of security th
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Read MorePortfolio Company
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What is a Portfolio Company?
A portfolio company is a term used to describe a company in which investors own equity in a company or buy out a company. The goal of the investor is to increase the value of the portfolio company and earn a return on their initial investment.
The investment could be in the form of private equity in established companies or venture capital in companies just starting out. One portfolio company usually forms part of a group of companies in the investor's full portfolio.
Who Invests in Portfolio Companies?
Portfolio companies are used by venture capital firms, private equity firms, and other financial investment firms. Some firms build a portfolio of companies that specialize in a specific sector, such as science or engineering. Others have a diverse mix of portfolios.
Private Equity Firms: Private equity is a type of financ
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