Phoenix Securities Attorneys & Lawyers
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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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- 4 min read
What does a 409A Valuation Mean?
Typically a company hires a professional appraiser to prepare the report since stock options set at a strike price below the current value of the common stock can result in large tax penalties to the option recipients.
Section 409A of the U.S. tax law requires that the strike price (the set future price per share to exercise a stock option) not be lower t
- 8 min read
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
- 4 min read
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.
Changes to the board of directors.
Changing the fiscal year.
- 5 min read
Updated October 1, 2020:
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 that has features of both debt (from its fixed guaranteed dividend payment) and equity (from its ability to convert into common stock).