Rick Baltz is a corporate securities lawyer with 30 years of counseling and transactional experience. He represents issuers, underwriters, placement agents, and investors in transactions and a variety of regulatory matters. Mr. Baltz also counsels companies on the most sophisticated corporate governance and regulatory issues under the federal securities laws.

Previous Experience at the US Securities and Exchange Commission (SEC)

  • Deputy Chief of the Office of Tender Offers, Division of Corporation Finance.
  • Played a key role in developing Division of Corporation Finance policy on tender offers, going private transactions, proxy contests, and Regulation 13D-G beneficial ownership reporting.

Capital Markets

Mr. Baltz has helped issuers, underwriters, and placement agents raise billions in new capital via public and private equity and debt offerings.

Securities Regulatory Work

In addition to his transactional work, Mr. Baltz regularly advises clients on securities law matters, including disclosure and other requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934. He works closely with members of our securities enforcement and litigation and other practice groups to provide real-time advice on sensitive disclosure issues. Mr. Baltz routinely handles matters for companies before the SEC, including requests for no-action or interpretive positions and disclosure and financial statement reviews by the staff of the Division of Corporation Finance.

Corporate Governance

Mr. Baltz devotes substantial time to helping companies meet the challenges of a changing business and regulatory environment. Mr. Baltz has worked closely with boards of directors and company management to help develop "best practices" corporate governance standards. Mr. Baltz is a frequent speaker on securities law topics and has authored or co-authored articles on subjects ranging from proxy contests and the SEC's tender offer rules to Section 16(a) reporting.

Experience

  • Provident New York Bancorp, a savings and loan holding company, in a US$100 million senior notes offering.
  • Numerex Corp., a leading provider of on-demand and interactive machine-to-machine (M2M) enterprise solutions, in a US$30 million common stock offering.
  • CNL Healthcare Properties Inc., a publicly registered, nontraded real estate investment trust, in its US$3 billion best efforts offering.
  • CNL Growth Properties, Inc., a publicly registered, nontraded real estate investment trust, in its US$1.5 billion best efforts offering.
  • Corporate Capital Trust, a publicly registered, nontraded business development company, in connection with its organization and US$1.5 billion best efforts offering.

Perspectives

Key Reminders for Financial Institutions for 2016 10-Ks and the 2017 Proxy Season
Advisory
USA Corporate M&A Chapter
Chambers Global Practice Guides 2017
Biotech Cos. Face Pressure To Disclose
Published in Life Sciences Law360, Public Policy Law360, and Securities Law360
SEC Adopts Final Pay Ratio Disclosure Rule
Arnold & Porter Advisory
SEC Proposes New Pay for Performance Disclosure Requirements
Arnold & Porter Advisory
More

Recognition

BTI Client Service All-Star (2018)
The Legal 500 US
Corporate Governance (2016-2017)
Corporate & Finance – Corporate Governance and SEC (2007)
PLC Which lawyer?
Directors' Duties and Liabilities (2009)
Corporate Governance (2007-2008)

Credentials

Education
  • JD, The George Washington University Law School, 1985, with honors
  • BA, Dickinson College, 1982, magna cum laude, Phi Beta Kappa
Admissions
  • District of Columbia
Government and Military Service
  • Deputy Chief, Office of Tender Offers, Division of Corporation Finance, US Securities and Exchange Commission
Overview

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