Michael T. Dunn is a partner in the Houston office of Seyfarth Shaw LLP and serves as vice chair of the firm’s national Capital Markets group. His practice is focused on counseling public companies on registration and reporting obligations under the Securities Act of 1933 and the Securities Exchange Act of 1934, including periodic reporting, responses to SEC comment letters, and requests for confidential treatment.
Mr. Dunn has assisted public companies with a broad range of corporate governance compliance activities, including compensation risk assessments, FINRA compliance, drafting and assessing insider trading compliance programs and 10b5-1 trading plans, and compliance with NYSE, NASDAQ and NYSE Mkt listing standards. His transactional experience includes corporate debt and equity financing transactions, including IPOs, shelf takedowns, and registered spin-offs.
Mr. Dunn also has counseled private companies on offerings of securities in private placement transactions under Federal Regulation D involving both debt and equity securities for clients from a wide range of industries, such as real estate, pharmaceutical, media and entertainment, and healthcare services. He also has counseled not-for-profit corporations on formation and governance matters.