What would you do if you were the head of investor relations at a public company that is now expecting to miss the analysts’ consensus estimate for revenues by nearly $1 billion? Would you start calling analysts to provide data to convince them to lower their estimates? According to a...Read More
Caroline is a Member of the Firm’s Securities Regulation & Corporate Finance Practice, and works closely with the Public Company Advisory group. She has comprehensive corporate experience, with a particular focus in advising clients on SEC reporting and disclosure, including proxy statements, Section 16 reporting, and periodic and current reports. She regularly supports and counsels companies with ongoing securities compliance and corporate governance matters and has advised issuers through initial public offerings and follow-on offerings.
In addition to her public company advisory skills, Caroline has advised on numerous mergers and acquisitions transactions, from bidding through post-closing, including cross-border and complex carve-out transactions. Her work in these areas spans a number of industries.
Prior to joining Maynard, Caroline worked for six years in the Chicago and New York offices of a global AmLaw 50 law firm. She earned her J.D. from the University of Chicago Law School and holds a B.A. from Williams College.
- SEC reporting representation and general corporate governance advice fro publicly traded companies, including a Nasdaq-listed alternative investment management firm (from its $200 million initial public offering through multiple follow-on offerings), an NYSE-listed Software as a service provider, and a cryptocurrency advisory company.
- Acquisitions and divestitures ranging from over $1 billion on the high end to just a few million on the low end, including a beverage service provider's $1.25 billion carve-out of its bottling business, the $120 million acquisition of a manufacturer of medical-grade materials, and the $35 million sale of a radiopharmaceutical company.
- Numerous joint ventures and strategic partnerships, ranging in size, including multiple real estate development projects for a real estate investment firm.
- Commercial contracts of all types, ranging from standard supply and distributor agreements to more involved multi-party/multi-jurisdictional manufacturing and sourcing agreements.
- Corporate Transparency Act: Congress Ensnares Small Business in the Fight Against Money Laundering (February 9, 2021)
- SEC Gives Management’s Discussion and Analysis (MD&A) a Makeover (February 14, 2020)
- MD&A’s Makeover, Part II: Interpretive Guidance on the Use of KPIs and Metrics in MD&A, (February 14, 2020)
- MD&A’s Makeover, Part I: Proposed Amendments to Financial Disclosure Requirements in Regulation S-K, (February 14, 2020)
State Bar: Illinois, New York, Pennsylvania
On December 14, 2022, the Securities and Exchange Commission (the “SEC”) announced amendments to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and related insider trading laws (the “Amendments”). The Amendments were adopted in response to the growing perception that Rule 10b5-1 plans have...Read More
The Securities and Exchange Commission continued its busy summer of rulemaking on August 25th when it issued final “Pay versus Performance” disclosure rules, which were originally proposed back in 2015 and are required under the Dodd-Frank Act. And, if you are like most companies and advisors who now have just...Read More