SEC Roundtable Recap: A Look into the Proxy Process, Past and Future
Registration begins at 11:30 am
Join
us and Jones Day for a recap of the recent SEC Proxy Process
Roundtable. We will focus on key aspects of the proxy system, including
proxy voting mechanics and technology, the shareholder proposal process,
and the role and regulation of proxy advisory firms. We will also
discuss the future of the proxy process and what you can do now to
prepare for what’s coming.
SPEAKERS
Neil McCarthy – Broadridge Financial Solutions
Neil
was an M&A attorney at Skadden Arps, and an investment banker at
Salomon Smith Barney and Bear Stearns. He also worked as an attorney for
the US Treasury. He founded and built an information services firm for
corporate lawyers, Lawyer Links, LLC, and has also served as legal
counsel / corporate finance and M&A advisor to several start-up
companies including Summit Financial Disclosure, LLC, which was recently
acquired by Broadridge. Neil is a graduate of Harvard Law School.
Chip Pasfield – Broadridge Financial Solutions
Chip
is currently Vice President of Client Services for Broadridge Financial
Solutions. He has 38 years experience in the securities industry and
has held positions managing various client service and operational areas
including: Corporate proxy tabulation, client service and operational
support for Contest, Consent and ADR processing, global operations,
corporate actions processing and Master Limited partnership reporting.
He has served on the board of the Corporate Action Division of SIFMA
since 1997 and has been active in the Stock Transfer Association and the
Shareholder Services Association. Chip was previously with the
Independent Election Corporation of America (IECA) as Vice President
Client Services.
Emily Leitch – Jones Day
Emily
Leitch advises issuers and underwriters in capital markets transactions
across various industries. Emily represents issuers and investment
banks in public and private securities transactions, and she advises
clients on M&A transactions, including stock and asset purchases and
sales, joint ventures, and private equity investments. In 2017, Emily
was selected by Law360 as one of the top five lawyers in the nation
under the age of 40 in the area of capital markets. Representative
recent transactions include advising FTI Consulting in a Rule 144A notes
offering; representing a private, venture-backed company in connection
with its Series C financing; and advising Marathon Petroleum Corp. in
its acquisition of Andeavor for $23.3 billion. Examples of Emily's
experience prior to joining Jones Day include representing numerous
corporate and MLP issuers in initial public offerings and follow-on
public equity and 144A debt offerings. Emily is a Fellow of the Texas
Bar Foundation and a member of the General Counsel Forum, Houston Board,
Special Events Committee (co-chair); the National Association of
Corporate Directors (NACD), TriCities Chapter, Advisory Board; the State
Bar of Texas; and the Houston Bar Association. Prior to her legal
career, Emily was an investment banker, click here.
Kelly Turner – Jones Day
For
over a decade, Kelly Turner has advised clients in complex capital
markets transactions as well as day-to-day disclosure obligations and
corporate governance matters. Her experience advising a diverse range of
companies and financial institutions spans a variety of public and
private transactions, including 144A offerings, public high yield and
investment-grade debt offerings, equity offerings, tender offers,
exchange offers, debt restructurings, corporate reorganizations, and
M&A transactions. Kelly also regularly advises public companies and
other organizations on SEC reporting requirements, corporate governance
matters, and stock exchange rules and regulations. Kelly has represented
clients in a variety of industries, including communications, energy,
automotive, banking, and manufacturing. In recent years, some of the
companies Kelly has represented include Church's Chicken, Cumulus Media,
Gray Television, Koch Industries, and Sprint Corporation. She also has
represented financial institutions including Citigroup Global Markets
and UBS Securities. Kelly is a member of the Texas Bar Association and
the Georgia Bar Association. She joined Jones Day's Dallas Office in
2007 and worked in the Atlanta Office from 2010 until transferring to
the Houston Office in 2012, click here.
James O'Bannon – Jones Day
Jim
O'Bannon, head of the Firm's Capital Market Practice in the Texas
Region, has more than 30 years of experience practicing corporate and
securities law. He represents issuers and underwriters in public and
private offerings of equity and debt securities as well as in mergers
and other acquisitions and dispositions of corporate securities and
assets. He is also extensively engaged in corporate counseling
activities with respect to SEC disclosure, corporate governance,
directors' and officers' fiduciary duties, tender offers, and other
contests for corporate control. Notable corporate clients include
AMERISAFE, BenefitMall, Capital Southwest, CSW Industrials, Flint Hills
Resources, FTS International, Georgia Pacific, Koch Industries, Lennox,
International Wire Group, PMFG, RadioShack, Sprint Nextel, Tokyo
Electron, and Taiwan Semiconductor. Jim is a frequent speaker on issues
related to SEC disclosure, corporate governance, and executive
compensation, click here.