Theresa Nguyen represents public and private clients in a variety of securities law matters, capital markets, and financing transactions and mergers and acquisitions.
Ms. Nguyen advises public companies regarding compliance with federal securities laws, preparation of periodic securities law filings, requests for no-action or interpretive positions, and responses to disclosure questions from the SEC. She assists clients with questions on corporate governance practices, insider trading policies, and compliance with the listing standards of national stock exchanges. She helps companies raise capital through public and private debt and equity offerings and advises investors on venture capital and other transactions. She assists with all aspects of mergers and acquisitions, including providing initial structuring and strategic advice, and drafting and negotiating transaction documents. Ms. Nguyen also advises private funds and broker-dealers regarding FINRA and SEC rules and regulations. She works with companies in a variety of industries, with particular experience in the financial institution, biotechnology, and government contracting industries.
- Multiple publicly held companies in connection with their SEC filings, public offerings, registered direct offerings, private placements, and various corporate governance matters.
- Private equity fund DC Capital Partners and its portfolio company in connection with the US$394 million tender offer and acquisition of Michael Baker Corporation.
- Provident New York Bancorp, a savings and loan holding company, in its US$100 million senior notes offering and acquisition of Gotham Bank of New York.
- American Capital in its acquisition of Service Experts, a national HVAC service and installation company, from Lennox International.
- AT&T's Federal Systems division in connection with the disposition of a subsidiary to General Dynamics.
- Reckitt Benckiser plc in its US$2.3 billion tender offer and acquisition of Adams Respiratory Therapeutics, Inc.
- State Bancorp, Inc. in its sale to Valley National Bancorp.
- Sales Agents' counsel for several leading investment banks for an at-the-market (ATM) program.
Financial Fraud Law Report
- JD, Washington University in St. Louis School of Law, 2007, Order of the Coif
- BA, University of Rochester, 2003, magna cum laude
- District of Columbia
- New York