Our panel of experts discussed the issues that market participants need to be aware of when entering into private equity trades, provide an overview of current market trends in documentation and settlement mechanics for private securities trades in the secondary market, and examined Section 1145 of the Bankruptcy Code and its positive impact on securities distributed to creditors as proceeds for pre-petition claims, including a review of:

  • Applicable exemptions from the Securities Act in connection with original issuance of securities and secondary resale
  • Exemptions and safe harbors under 4(a)(1), 4(a)(2), Rule 144 and Rule 144A
  • Section 4(a)(7) exemption vs. 4(a)(1 ½) case law exemption


Thursday, February 25, 2021
4:00PM to 5:15PM (ET)|Webcast Only
Presentation & Replay|Now Available|Scroll Down to View
1.5 CLE Credits Will Be Issued (Live Only)


  • Russell Chiappetta, Partner, Alston & Bird LLP
  • Bridget Marsh, EVP and Deputy General Counsel, LSTA
  • Mark McElreath, Partner, Alston & Bird LLP
  • Ken Rothenberg, Partner, Alston & Bird LLP
  • James Vincequerra, Partner, Alston & Bird LLP

Trading Reorganization Equity (Feb 25 2021)

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