Bar Admissions
- New York
Education
- Brooklyn Law School, JD
- cum laude
- Brooklyn Journal of International Law
- University of Rochester, BA
- cum laude
Adriana Schwartz
Partner
Advises in the securities law, regulatory and compliance and shareholder activism areas.
Adriana counsels clients on a broad range of issues, including in the regulatory areas of Sections 13 and 16, Rule 144, insider trading, Regulation SHO order marking and Regulation M/Rule 105.
She also represents clients in private investments in public and private companies, including private investments in public equity (PIPEs), registered direct offerings, convertible 144A offerings, special-purpose acquisition companies (SPACs) and Regulation S offerings.
- “Upcoming Deadline for New Structured Data Requirement for Schedule 13G and 13D Filings,” Schulte Alert, Dec. 4, 2024
- “REMINDER: SEC Short Position (Form SHO) Filing Deadline Fast Approaching,” Schulte Alert, Nov. 11, 2024
- “SEC Short Sale Reporting under New Rule 13f-2 – Q&A,'” AIMA Publication, September 2024
- “Final Rules on SPAC IPOs and De-SPACs,” Harvard Law School Forum on Corporate Governance, March 2024
- “SEC Approves NYSE’s Amended Stockholder Approval Rules Providing Companies With Increased Flexibility to Raise Capital From Passive Related Parties,” Schulte Alert, Jan. 9, 2024
- “SEC Adopts Short Reporting Rule for Institutional Investment Managers With Global Scope,” Schulte Alert, Nov. 7, 2023
- “Final SEC Rules Amending Schedule 13G and 13D Beneficial Ownership Reporting,” Schulte Alert, Oct. 13, 2023
- “Amendments to Rules Governing Trading Plans and Insider Filings,” Harvard Law School Forum on Corporate Governance, Jan. 26, 2023
- “SEC Adopts Amendments to Rules Governing Rule 10b5-1 Trading Plans and Section 16 Insider Filings on Forms 4 and 5,” Schulte Alert, Dec. 21, 2022
- “The Universal Proxy: New Rules & Perspectives,” Bloomberg Law, December 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “Shareholder Activism in 2022,” Harvard Law School Forum on Corporate Governance, Oct. 25, 2022
- “USA: Trends and Developments,” Chambers Global Practice Guide: Shareholders’ Rights & Shareholder Activism 2022, September 2022
- “Shareholder Rights Update: SEC Proposes to Narrow Ability to Exclude Shareholder Proposals from Company Proxy Materials,” Schulte Alert, July 28, 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “SEC Proposes Comprehensive Changes to Beneficial Ownership Rules (Part Two of Two),” Hedge Fund Law Report, April 28, 2022 (quoted)
- “SEC Proposes Comprehensive Changes to Beneficial Ownership Rules (Part One of Two),” Hedge Fund Law Report, April 21, 2022 (quoted)
- "Proposed Rule Changes to SEC Beneficial Ownership Reporting,” Schulte Alert, Feb. 11, 2022; republished in the Harvard Law School Forum on Corporate Governance, March 10, 2022
- “SEC Staff Guidance Paves Way for More ESG Proposals,” Schulte Alert, February 2022; republished in Bloomberg Law, February 2022
- “SEC's Proxy Voting Proposal Could Shake Up Private Funds,” Law360, Nov. 30, 2021
- “13(d) Reporting Windows to Be Revisited,” Schulte Alert, July 19, 2021
- “Investing in a SPAC Requires Understanding of Liquidity, Regulatory Issues,” Bloomberg Law, Oct. 26, 2020
- “NYSE Further Extends Waiver of Parts of ‘Related Party’ and ‘20%’ Stockholder Approval Rules,” Schulte Alert, Oct. 9, 2020; republished in the Harvard Law School Forum on Corporate Governance, Oct. 27, 2020
- “SEC Brings Enforcement Action Against Fund Manager for Single 13D Violation,” Schulte Alert, Oct. 2, 2020
- “PIPEs Update: Nasdaq Provides Temporary Relief from Certain Shareholder Approval Requirements for PIPEs (COVID-19),” Schulte Alert, May 11, 2020
- “PIPEs and Registered Directs: COVID-19 and Alternative Financing Transactions,” Schulte Alert, April 7, 2020
- “Schedule 13G: Coronavirus Update for Private Fund Managers – SEC Extends Limited Filing Relief for Schedule 13G Filers,” Schulte Alert, March 25, 2020
- “Schedule 13/Section 16 – Coronavirus Update for Private Fund Managers – Limited SEC Filing Relief for Schedule 13G Filers and Unchanged Schedule 13D and Section 16 Obligations,” Schulte Alert, March 15, 2020
- “Delaware Court Upholds Record Holder Requirement in Advance Notice Bylaw Provisions,” Schulte Alert, Sept. 9, 2019 (co-author)
- Private Equity Funds: Formation and Operation (Practising Law Institute), 2018-2019 (contributor)
- Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), 2018 (contributor)
- “SEC Approves Changes to Nasdaq Stockholder Approval Requirement for Discounted Private Offerings,” Schulte Alert, Oct. 3, 2018 (co-author)
- “INSIGHT: Consequences of a Board Seat,” Bloomberg Law, August 2018 (co-author)
- “Section 13 and Section 16 Enforcement Actions – A Guide for Staying in Compliance,” Bloomberg BNA – Securities Regulation & Law Report, June 5, 2017 (co-author)
- “Activism and Passivity: HSR Act and Section 13(d) Developments for Investors,” Schulte Alert, July 28, 2016 (co-author); republished in Westlaw Journal – Derivatives, Aug. 11, 2016, Westlaw Journal – Securities Litigation & Regulation, Aug. 18, 2016, and The Hedge Fund Journal, September 2016
- “Private Investments in Public Equity (PIPEs),” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2011-2016 (contributor)
- “SEC Releases a Second Installment of ‘Bad Actor’ Rule Guidance,” Schulte Alert, Jan. 22, 2014 (co-author)
- “Understanding the Steps for Conducting a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 12, 2013 (co-author)
- “How to Raise Capital Using a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 5, 2013 (co-author)
- “SEC Issues Proposing Release to Readopt Beneficial Ownership Rules as They Relate to Security-Based Swaps,” Schulte Alert, March 25, 2011 (co-author)
- “SEC Staff Clarifies Interpretation Related to Filing Deadline for Schedules 13D and 13G,” Schulte Alert, Nov. 19, 2009 (co-author)
- “Analysis of New SEC Interpretations of Exchange Act Sections 13(d) and 13(g),” Schulte Alert, Oct. 8, 2009 (co-author)
- “Swaps and Section 16: Reporting and Liability Issues,” Schulte Activist Investing Developments, Winter 2009 (co-author)
- “Short Sale Reporting Compliance,” MFA Workshop, October 2024
- “The SEC Short Sale Rule: Addressing the Ambiguity and Answering Members’ Questions,” AIMA Webinar, July 2024
- “Compliance Hot Button Issues,” 33rd Annual Schulte Private Capital Forum, January 2024
- “The SEC’s New Short Sale Reporting Rule,” AIMA Webinar, January 2024
- “Activism,” Schulte Private Capital Conversations, July 2023
- “Activist Regulatory Update” and Moderator, “State of Activism Part I,” Schulte 13th Annual Shareholder Activism Conference, May 2023
- Moderator, “The Power of Engagement: Creating Alpha for Your Clients,” MFA ESG 2022, April 2022
- “ESG,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “Common Brokerage and Trading Issues,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- American Bar Association
- New York City Bar Association
- New York City Bar Association’s Securities Regulation Committee
- The Hedge Fund Journal – 50 Leading Women in Hedge Funds, 2024
- New York Super Lawyers – Rising Star, 2016
- The Deal – Top Women in Dealmaking, 2023
- The Legal 500 US
- “Upcoming Deadline for New Structured Data Requirement for Schedule 13G and 13D Filings,” Schulte Alert, Dec. 4, 2024
- “REMINDER: SEC Short Position (Form SHO) Filing Deadline Fast Approaching,” Schulte Alert, Nov. 11, 2024
- “SEC Short Sale Reporting under New Rule 13f-2 – Q&A,'” AIMA Publication, September 2024
- “Final Rules on SPAC IPOs and De-SPACs,” Harvard Law School Forum on Corporate Governance, March 2024
- “SEC Approves NYSE’s Amended Stockholder Approval Rules Providing Companies With Increased Flexibility to Raise Capital From Passive Related Parties,” Schulte Alert, Jan. 9, 2024
- “SEC Adopts Short Reporting Rule for Institutional Investment Managers With Global Scope,” Schulte Alert, Nov. 7, 2023
- “Final SEC Rules Amending Schedule 13G and 13D Beneficial Ownership Reporting,” Schulte Alert, Oct. 13, 2023
- “Amendments to Rules Governing Trading Plans and Insider Filings,” Harvard Law School Forum on Corporate Governance, Jan. 26, 2023
- “SEC Adopts Amendments to Rules Governing Rule 10b5-1 Trading Plans and Section 16 Insider Filings on Forms 4 and 5,” Schulte Alert, Dec. 21, 2022
- “The Universal Proxy: New Rules & Perspectives,” Bloomberg Law, December 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “Shareholder Activism in 2022,” Harvard Law School Forum on Corporate Governance, Oct. 25, 2022
- “USA: Trends and Developments,” Chambers Global Practice Guide: Shareholders’ Rights & Shareholder Activism 2022, September 2022
- “Shareholder Rights Update: SEC Proposes to Narrow Ability to Exclude Shareholder Proposals from Company Proxy Materials,” Schulte Alert, July 28, 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “SEC Proposes Comprehensive Changes to Beneficial Ownership Rules (Part Two of Two),” Hedge Fund Law Report, April 28, 2022 (quoted)
- “SEC Proposes Comprehensive Changes to Beneficial Ownership Rules (Part One of Two),” Hedge Fund Law Report, April 21, 2022 (quoted)
- "Proposed Rule Changes to SEC Beneficial Ownership Reporting,” Schulte Alert, Feb. 11, 2022; republished in the Harvard Law School Forum on Corporate Governance, March 10, 2022
- “SEC Staff Guidance Paves Way for More ESG Proposals,” Schulte Alert, February 2022; republished in Bloomberg Law, February 2022
- “SEC's Proxy Voting Proposal Could Shake Up Private Funds,” Law360, Nov. 30, 2021
- “13(d) Reporting Windows to Be Revisited,” Schulte Alert, July 19, 2021
- “Investing in a SPAC Requires Understanding of Liquidity, Regulatory Issues,” Bloomberg Law, Oct. 26, 2020
- “NYSE Further Extends Waiver of Parts of ‘Related Party’ and ‘20%’ Stockholder Approval Rules,” Schulte Alert, Oct. 9, 2020; republished in the Harvard Law School Forum on Corporate Governance, Oct. 27, 2020
- “SEC Brings Enforcement Action Against Fund Manager for Single 13D Violation,” Schulte Alert, Oct. 2, 2020
- “PIPEs Update: Nasdaq Provides Temporary Relief from Certain Shareholder Approval Requirements for PIPEs (COVID-19),” Schulte Alert, May 11, 2020
- “PIPEs and Registered Directs: COVID-19 and Alternative Financing Transactions,” Schulte Alert, April 7, 2020
- “Schedule 13G: Coronavirus Update for Private Fund Managers – SEC Extends Limited Filing Relief for Schedule 13G Filers,” Schulte Alert, March 25, 2020
- “Schedule 13/Section 16 – Coronavirus Update for Private Fund Managers – Limited SEC Filing Relief for Schedule 13G Filers and Unchanged Schedule 13D and Section 16 Obligations,” Schulte Alert, March 15, 2020
- “Delaware Court Upholds Record Holder Requirement in Advance Notice Bylaw Provisions,” Schulte Alert, Sept. 9, 2019 (co-author)
- Private Equity Funds: Formation and Operation (Practising Law Institute), 2018-2019 (contributor)
- Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), 2018 (contributor)
- “SEC Approves Changes to Nasdaq Stockholder Approval Requirement for Discounted Private Offerings,” Schulte Alert, Oct. 3, 2018 (co-author)
- “INSIGHT: Consequences of a Board Seat,” Bloomberg Law, August 2018 (co-author)
- “Section 13 and Section 16 Enforcement Actions – A Guide for Staying in Compliance,” Bloomberg BNA – Securities Regulation & Law Report, June 5, 2017 (co-author)
- “Activism and Passivity: HSR Act and Section 13(d) Developments for Investors,” Schulte Alert, July 28, 2016 (co-author); republished in Westlaw Journal – Derivatives, Aug. 11, 2016, Westlaw Journal – Securities Litigation & Regulation, Aug. 18, 2016, and The Hedge Fund Journal, September 2016
- “Private Investments in Public Equity (PIPEs),” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2011-2016 (contributor)
- “SEC Releases a Second Installment of ‘Bad Actor’ Rule Guidance,” Schulte Alert, Jan. 22, 2014 (co-author)
- “Understanding the Steps for Conducting a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 12, 2013 (co-author)
- “How to Raise Capital Using a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 5, 2013 (co-author)
- “SEC Issues Proposing Release to Readopt Beneficial Ownership Rules as They Relate to Security-Based Swaps,” Schulte Alert, March 25, 2011 (co-author)
- “SEC Staff Clarifies Interpretation Related to Filing Deadline for Schedules 13D and 13G,” Schulte Alert, Nov. 19, 2009 (co-author)
- “Analysis of New SEC Interpretations of Exchange Act Sections 13(d) and 13(g),” Schulte Alert, Oct. 8, 2009 (co-author)
- “Swaps and Section 16: Reporting and Liability Issues,” Schulte Activist Investing Developments, Winter 2009 (co-author)
- “Short Sale Reporting Compliance,” MFA Workshop, October 2024
- “The SEC Short Sale Rule: Addressing the Ambiguity and Answering Members’ Questions,” AIMA Webinar, July 2024
- “Compliance Hot Button Issues,” 33rd Annual Schulte Private Capital Forum, January 2024
- “The SEC’s New Short Sale Reporting Rule,” AIMA Webinar, January 2024
- “Activism,” Schulte Private Capital Conversations, July 2023
- “Activist Regulatory Update” and Moderator, “State of Activism Part I,” Schulte 13th Annual Shareholder Activism Conference, May 2023
- Moderator, “The Power of Engagement: Creating Alpha for Your Clients,” MFA ESG 2022, April 2022
- “ESG,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “Common Brokerage and Trading Issues,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- American Bar Association
- New York City Bar Association
- New York City Bar Association’s Securities Regulation Committee
- The Hedge Fund Journal – 50 Leading Women in Hedge Funds, 2024
- New York Super Lawyers – Rising Star, 2016
- The Deal – Top Women in Dealmaking, 2023
- The Legal 500 US
Adriana Schwartz
Partner
Advises in the securities law, regulatory and compliance and shareholder activism areas.
Adriana counsels clients on a broad range of issues, including in the regulatory areas of Sections 13 and 16, Rule 144, insider trading, Regulation SHO order marking and Regulation M/Rule 105.
She also represents clients in private investments in public and private companies, including private investments in public equity (PIPEs), registered direct offerings, convertible 144A offerings, special-purpose acquisition companies (SPACs) and Regulation S offerings.
Bar Admissions
- New York
Education
- Brooklyn Law School, JD
- cum laude
- Brooklyn Journal of International Law
- University of Rochester, BA
- cum laude
- “Upcoming Deadline for New Structured Data Requirement for Schedule 13G and 13D Filings,” Schulte Alert, Dec. 4, 2024
- “REMINDER: SEC Short Position (Form SHO) Filing Deadline Fast Approaching,” Schulte Alert, Nov. 11, 2024
- “SEC Short Sale Reporting under New Rule 13f-2 – Q&A,'” AIMA Publication, September 2024
- “Final Rules on SPAC IPOs and De-SPACs,” Harvard Law School Forum on Corporate Governance, March 2024
- “SEC Approves NYSE’s Amended Stockholder Approval Rules Providing Companies With Increased Flexibility to Raise Capital From Passive Related Parties,” Schulte Alert, Jan. 9, 2024
- “SEC Adopts Short Reporting Rule for Institutional Investment Managers With Global Scope,” Schulte Alert, Nov. 7, 2023
- “Final SEC Rules Amending Schedule 13G and 13D Beneficial Ownership Reporting,” Schulte Alert, Oct. 13, 2023
- “Amendments to Rules Governing Trading Plans and Insider Filings,” Harvard Law School Forum on Corporate Governance, Jan. 26, 2023
- “SEC Adopts Amendments to Rules Governing Rule 10b5-1 Trading Plans and Section 16 Insider Filings on Forms 4 and 5,” Schulte Alert, Dec. 21, 2022
- “The Universal Proxy: New Rules & Perspectives,” Bloomberg Law, December 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “Shareholder Activism in 2022,” Harvard Law School Forum on Corporate Governance, Oct. 25, 2022
- “USA: Trends and Developments,” Chambers Global Practice Guide: Shareholders’ Rights & Shareholder Activism 2022, September 2022
- “Shareholder Rights Update: SEC Proposes to Narrow Ability to Exclude Shareholder Proposals from Company Proxy Materials,” Schulte Alert, July 28, 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “SEC Proposes Comprehensive Changes to Beneficial Ownership Rules (Part Two of Two),” Hedge Fund Law Report, April 28, 2022 (quoted)
- “SEC Proposes Comprehensive Changes to Beneficial Ownership Rules (Part One of Two),” Hedge Fund Law Report, April 21, 2022 (quoted)
- "Proposed Rule Changes to SEC Beneficial Ownership Reporting,” Schulte Alert, Feb. 11, 2022; republished in the Harvard Law School Forum on Corporate Governance, March 10, 2022
- “SEC Staff Guidance Paves Way for More ESG Proposals,” Schulte Alert, February 2022; republished in Bloomberg Law, February 2022
- “SEC's Proxy Voting Proposal Could Shake Up Private Funds,” Law360, Nov. 30, 2021
- “13(d) Reporting Windows to Be Revisited,” Schulte Alert, July 19, 2021
- “Investing in a SPAC Requires Understanding of Liquidity, Regulatory Issues,” Bloomberg Law, Oct. 26, 2020
- “NYSE Further Extends Waiver of Parts of ‘Related Party’ and ‘20%’ Stockholder Approval Rules,” Schulte Alert, Oct. 9, 2020; republished in the Harvard Law School Forum on Corporate Governance, Oct. 27, 2020
- “SEC Brings Enforcement Action Against Fund Manager for Single 13D Violation,” Schulte Alert, Oct. 2, 2020
- “PIPEs Update: Nasdaq Provides Temporary Relief from Certain Shareholder Approval Requirements for PIPEs (COVID-19),” Schulte Alert, May 11, 2020
- “PIPEs and Registered Directs: COVID-19 and Alternative Financing Transactions,” Schulte Alert, April 7, 2020
- “Schedule 13G: Coronavirus Update for Private Fund Managers – SEC Extends Limited Filing Relief for Schedule 13G Filers,” Schulte Alert, March 25, 2020
- “Schedule 13/Section 16 – Coronavirus Update for Private Fund Managers – Limited SEC Filing Relief for Schedule 13G Filers and Unchanged Schedule 13D and Section 16 Obligations,” Schulte Alert, March 15, 2020
- “Delaware Court Upholds Record Holder Requirement in Advance Notice Bylaw Provisions,” Schulte Alert, Sept. 9, 2019 (co-author)
- Private Equity Funds: Formation and Operation (Practising Law Institute), 2018-2019 (contributor)
- Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), 2018 (contributor)
- “SEC Approves Changes to Nasdaq Stockholder Approval Requirement for Discounted Private Offerings,” Schulte Alert, Oct. 3, 2018 (co-author)
- “INSIGHT: Consequences of a Board Seat,” Bloomberg Law, August 2018 (co-author)
- “Section 13 and Section 16 Enforcement Actions – A Guide for Staying in Compliance,” Bloomberg BNA – Securities Regulation & Law Report, June 5, 2017 (co-author)
- “Activism and Passivity: HSR Act and Section 13(d) Developments for Investors,” Schulte Alert, July 28, 2016 (co-author); republished in Westlaw Journal – Derivatives, Aug. 11, 2016, Westlaw Journal – Securities Litigation & Regulation, Aug. 18, 2016, and The Hedge Fund Journal, September 2016
- “Private Investments in Public Equity (PIPEs),” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2011-2016 (contributor)
- “SEC Releases a Second Installment of ‘Bad Actor’ Rule Guidance,” Schulte Alert, Jan. 22, 2014 (co-author)
- “Understanding the Steps for Conducting a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 12, 2013 (co-author)
- “How to Raise Capital Using a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 5, 2013 (co-author)
- “SEC Issues Proposing Release to Readopt Beneficial Ownership Rules as They Relate to Security-Based Swaps,” Schulte Alert, March 25, 2011 (co-author)
- “SEC Staff Clarifies Interpretation Related to Filing Deadline for Schedules 13D and 13G,” Schulte Alert, Nov. 19, 2009 (co-author)
- “Analysis of New SEC Interpretations of Exchange Act Sections 13(d) and 13(g),” Schulte Alert, Oct. 8, 2009 (co-author)
- “Swaps and Section 16: Reporting and Liability Issues,” Schulte Activist Investing Developments, Winter 2009 (co-author)
- “Short Sale Reporting Compliance,” MFA Workshop, October 2024
- “The SEC Short Sale Rule: Addressing the Ambiguity and Answering Members’ Questions,” AIMA Webinar, July 2024
- “Compliance Hot Button Issues,” 33rd Annual Schulte Private Capital Forum, January 2024
- “The SEC’s New Short Sale Reporting Rule,” AIMA Webinar, January 2024
- “Activism,” Schulte Private Capital Conversations, July 2023
- “Activist Regulatory Update” and Moderator, “State of Activism Part I,” Schulte 13th Annual Shareholder Activism Conference, May 2023
- Moderator, “The Power of Engagement: Creating Alpha for Your Clients,” MFA ESG 2022, April 2022
- “ESG,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “Common Brokerage and Trading Issues,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- American Bar Association
- New York City Bar Association
- New York City Bar Association’s Securities Regulation Committee
- The Hedge Fund Journal – 50 Leading Women in Hedge Funds, 2024
- New York Super Lawyers – Rising Star, 2016
- The Deal – Top Women in Dealmaking, 2023
- The Legal 500 US
- “Upcoming Deadline for New Structured Data Requirement for Schedule 13G and 13D Filings,” Schulte Alert, Dec. 4, 2024
- “REMINDER: SEC Short Position (Form SHO) Filing Deadline Fast Approaching,” Schulte Alert, Nov. 11, 2024
- “SEC Short Sale Reporting under New Rule 13f-2 – Q&A,'” AIMA Publication, September 2024
- “Final Rules on SPAC IPOs and De-SPACs,” Harvard Law School Forum on Corporate Governance, March 2024
- “SEC Approves NYSE’s Amended Stockholder Approval Rules Providing Companies With Increased Flexibility to Raise Capital From Passive Related Parties,” Schulte Alert, Jan. 9, 2024
- “SEC Adopts Short Reporting Rule for Institutional Investment Managers With Global Scope,” Schulte Alert, Nov. 7, 2023
- “Final SEC Rules Amending Schedule 13G and 13D Beneficial Ownership Reporting,” Schulte Alert, Oct. 13, 2023
- “Amendments to Rules Governing Trading Plans and Insider Filings,” Harvard Law School Forum on Corporate Governance, Jan. 26, 2023
- “SEC Adopts Amendments to Rules Governing Rule 10b5-1 Trading Plans and Section 16 Insider Filings on Forms 4 and 5,” Schulte Alert, Dec. 21, 2022
- “The Universal Proxy: New Rules & Perspectives,” Bloomberg Law, December 2022
- “SEC Adopts New Reporting Requirements for Form 13F Filers to Disclose “Say-On-Pay” Votes and Enhances Voting Disclosures Required by Registered Funds” Schulte Alert, Nov. 10, 2022
- “Shareholder Activism in 2022,” Harvard Law School Forum on Corporate Governance, Oct. 25, 2022
- “USA: Trends and Developments,” Chambers Global Practice Guide: Shareholders’ Rights & Shareholder Activism 2022, September 2022
- “Shareholder Rights Update: SEC Proposes to Narrow Ability to Exclude Shareholder Proposals from Company Proxy Materials,” Schulte Alert, July 28, 2022
- “SEC Rescinds Certain Rules Governing Proxy Voting Advice,” Schulte Alert, July 21, 2022
- “SEC Proposes Comprehensive Changes to Beneficial Ownership Rules (Part Two of Two),” Hedge Fund Law Report, April 28, 2022 (quoted)
- “SEC Proposes Comprehensive Changes to Beneficial Ownership Rules (Part One of Two),” Hedge Fund Law Report, April 21, 2022 (quoted)
- "Proposed Rule Changes to SEC Beneficial Ownership Reporting,” Schulte Alert, Feb. 11, 2022; republished in the Harvard Law School Forum on Corporate Governance, March 10, 2022
- “SEC Staff Guidance Paves Way for More ESG Proposals,” Schulte Alert, February 2022; republished in Bloomberg Law, February 2022
- “SEC's Proxy Voting Proposal Could Shake Up Private Funds,” Law360, Nov. 30, 2021
- “13(d) Reporting Windows to Be Revisited,” Schulte Alert, July 19, 2021
- “Investing in a SPAC Requires Understanding of Liquidity, Regulatory Issues,” Bloomberg Law, Oct. 26, 2020
- “NYSE Further Extends Waiver of Parts of ‘Related Party’ and ‘20%’ Stockholder Approval Rules,” Schulte Alert, Oct. 9, 2020; republished in the Harvard Law School Forum on Corporate Governance, Oct. 27, 2020
- “SEC Brings Enforcement Action Against Fund Manager for Single 13D Violation,” Schulte Alert, Oct. 2, 2020
- “PIPEs Update: Nasdaq Provides Temporary Relief from Certain Shareholder Approval Requirements for PIPEs (COVID-19),” Schulte Alert, May 11, 2020
- “PIPEs and Registered Directs: COVID-19 and Alternative Financing Transactions,” Schulte Alert, April 7, 2020
- “Schedule 13G: Coronavirus Update for Private Fund Managers – SEC Extends Limited Filing Relief for Schedule 13G Filers,” Schulte Alert, March 25, 2020
- “Schedule 13/Section 16 – Coronavirus Update for Private Fund Managers – Limited SEC Filing Relief for Schedule 13G Filers and Unchanged Schedule 13D and Section 16 Obligations,” Schulte Alert, March 15, 2020
- “Delaware Court Upholds Record Holder Requirement in Advance Notice Bylaw Provisions,” Schulte Alert, Sept. 9, 2019 (co-author)
- Private Equity Funds: Formation and Operation (Practising Law Institute), 2018-2019 (contributor)
- Hedge Funds: Formation, Operation and Regulation (ALM Law Journal Press), 2018 (contributor)
- “SEC Approves Changes to Nasdaq Stockholder Approval Requirement for Discounted Private Offerings,” Schulte Alert, Oct. 3, 2018 (co-author)
- “INSIGHT: Consequences of a Board Seat,” Bloomberg Law, August 2018 (co-author)
- “Section 13 and Section 16 Enforcement Actions – A Guide for Staying in Compliance,” Bloomberg BNA – Securities Regulation & Law Report, June 5, 2017 (co-author)
- “Activism and Passivity: HSR Act and Section 13(d) Developments for Investors,” Schulte Alert, July 28, 2016 (co-author); republished in Westlaw Journal – Derivatives, Aug. 11, 2016, Westlaw Journal – Securities Litigation & Regulation, Aug. 18, 2016, and The Hedge Fund Journal, September 2016
- “Private Investments in Public Equity (PIPEs),” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2011-2016 (contributor)
- “SEC Releases a Second Installment of ‘Bad Actor’ Rule Guidance,” Schulte Alert, Jan. 22, 2014 (co-author)
- “Understanding the Steps for Conducting a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 12, 2013 (co-author)
- “How to Raise Capital Using a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 5, 2013 (co-author)
- “SEC Issues Proposing Release to Readopt Beneficial Ownership Rules as They Relate to Security-Based Swaps,” Schulte Alert, March 25, 2011 (co-author)
- “SEC Staff Clarifies Interpretation Related to Filing Deadline for Schedules 13D and 13G,” Schulte Alert, Nov. 19, 2009 (co-author)
- “Analysis of New SEC Interpretations of Exchange Act Sections 13(d) and 13(g),” Schulte Alert, Oct. 8, 2009 (co-author)
- “Swaps and Section 16: Reporting and Liability Issues,” Schulte Activist Investing Developments, Winter 2009 (co-author)
- “Short Sale Reporting Compliance,” MFA Workshop, October 2024
- “The SEC Short Sale Rule: Addressing the Ambiguity and Answering Members’ Questions,” AIMA Webinar, July 2024
- “Compliance Hot Button Issues,” 33rd Annual Schulte Private Capital Forum, January 2024
- “The SEC’s New Short Sale Reporting Rule,” AIMA Webinar, January 2024
- “Activism,” Schulte Private Capital Conversations, July 2023
- “Activist Regulatory Update” and Moderator, “State of Activism Part I,” Schulte 13th Annual Shareholder Activism Conference, May 2023
- Moderator, “The Power of Engagement: Creating Alpha for Your Clients,” MFA ESG 2022, April 2022
- “ESG,” Schulte 31st Annual Private Investment Funds Seminar, January 2022
- “Common Brokerage and Trading Issues,” Schulte 29th Annual Private Investment Funds Seminar, New York, January 2020
- American Bar Association
- New York City Bar Association
- New York City Bar Association’s Securities Regulation Committee
- The Hedge Fund Journal – 50 Leading Women in Hedge Funds, 2024
- New York Super Lawyers – Rising Star, 2016
- The Deal – Top Women in Dealmaking, 2023
- The Legal 500 US
