Kathleen Klaben
Partner | Capital Markets | Sidley Austin LLP
- Role
- Partner at Sidley Austin LLP
- Location
- Washington, DC, US
- LinkedIn followers
- 500 followers
About Kathleen Klaben
I counsel clients on compliance with U.S. federal securities laws, particularly on Sections 13 and 16 of the Securities Exchange Act of 1934 (the “Exchange Act”) and rules and regulations concerning beneficial ownership; extensive work with public companies, hedge funds, broker-dealers, investment advisers, family offices, and other financial institutions.Practice focuses on: analyzing clients’ beneficial ownership of equity securities and the potential obligations under Sections 13 and 16 of the Exchange Act; drafting and analyzing contractual provisions (including in lock-up agreements and investment management agreements) that may implicate Sections 13 and/or 16; drafting corporate resolutions related to Section 16 compliance; identifying and navigating clients through Section 13 and 16 issues during the IPO process; analyzing and calculating short-swing profit liability under Section 16 and preparing for litigation and negotiating settlements; drafting operational and supervisory procedures for compliance with Sections 13 and 16; drafting and managing beneficial ownership disclosures required by Sections 13 and 16 of the Exchange Act and Regulation S-K; and identifying and advising on related issues under Rule 144 under the Securities Act of 1933 and the Hart-Scott-Rodino Act. Drafted and regularly update a chapter on Section 13 of the Exchange Act in Practising Law Institute treatises on broker-dealer regulation and on investment adviser regulation.Also experienced in: assisting broker-dealers with developing, implementing and maintaining securities lending programs; representing clients in response to regulatory inquiries from the SEC and FINRA; and addressing various other issues related to the U.S. federal securities laws and SEC and FINRA rules that govern U.S. broker-dealer activities.Attorney Advertising. Prior results do not guarantee a similar outcome.
Experience
Partner
Jan 2020 — Present · Washington, DC, US
Education
Georgetown University
BS BA, Finance, IB, Gov't
2000 — 2004
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