Ms. Garringer’s primary practice focuses on advising and assisting in clients in all matters of federal and state securities regulation, initial securities registration, and compliance with Securities and Exchange Commission (SEC) ongoing reporting obligations, including the preparation and filing of annual and quarterly reports, proxy statements and shareholder communications, compliance with Sarbanes Oxley Act regulations and corporate governance standards and stock exchange listing rules and requirements, as well as Financial Industry Regulatory Authority (FINRA) filings and requirements. Ms. Garringer has represented both issuers and underwriters in multiple debt and equity securities offerings, including initial public offerings, convertible debenture offerings, tender offers, exchange offerings, and private placement offerings under Regulation D. She also has experience in advising and assisting clients on the formation and initial funding of business enterprises, as well as raising additional equity financing through the private placement of securities and other recapitalization structures, as well as a variety of general corporate matters, corporate governance and other ongoing issues for clients in both the for profit and non-profit sectors, including negotiation and preparation of a wide variety of documentation such as corporate governance policies, employment agreements, technology licensing agreements, distribution agreements, sales representative agreements, manufacturing agreements and supply agreements.
Ms. Garringer has been involved in complex commercial transactions for clients including Kansas City Southern, United Stationers Supply Co., Jordan Industries, FirstGuard Health Plan, Westlake Hardware, Inc. and Applebees International, Inc., covering all aspects of the transaction, from the negotiation and preparation of letters of intent and coordination of initial due diligence to the drafting of transaction and ancillary documents and the orchestration of transaction closings.
