transcript   Transcript

Resales of Restricted Securities and Secondary Sales of Securities of Privately Held Companies

Recorded on: May. 24, 2017
Running Time: 00:44:51

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Taken from the Web Program Private Placement and Hybrid Securities Offerings 2017 recorded May, 2017 in New York.

Resales of Restricted Securities and Secondary Sales of Securities of Privately Held Companies [00:44:51]
  • Rule 144 overview and satisfying Rule 144 conditions
  • Tacking issues—recent no-action letter guidance
  • Section 4(1-1/2)
  • Section 4(a)(7)
  • How do privately held companies provide liquidity for existing security holders
  • Legal considerations for secondary sales of privately held company stock
  • Secondary trading venues 

Shriram Bhashyam, Raphael M. Russo, Annemarie Tierney


The purchase price of this segment includes the following article from the Course Handbook available online:

  • Resales of Restricted and Control Securities
    Raphael M. Russo
  • Frequently Asked Questions About Rule 144 and Rule 145
    Claire E. Logan, Lloyd S. Harmetz, Anna T. Pinedo
Presentation Material
  • Resales of Restricted Securities
    Shriram Bhashyam, Raphael M. Russo, Annemarie Tierney
    • (s)
      Shriram Bhashyam ~ Founder and General Counsel, EquityZen
      Raphael M Russo ~ Paul, Weiss, Rifkind, Wharton & Garrison LLP
      Annemarie Tierney ~ Vice President, Head of Strategy and New Markets, Nasdaq Private Market
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