Owen Pinkerton is a member of Sutherland's Corporate Practice Group, focusing on securities and corporate governance. In this capacity, Owen is involved in initial public offerings and follow-on offerings conducted by a variety of issuers, including business development companies and commodity pools. He has also assisted in Rule 144A offerings for private companies.
Owen's practice involves preparing and reviewing periodic reports under the Securities Exchange Act of 1934 and advising clients on disclosure issues under the federal securities laws. Additionally, he advises clients on issues arising under state "Blue Sky" laws and processes, and FINRA regulation of public offerings and marketing efforts.
Before joining the firm, Owen was employed by the U.S. Securities and Exchange Commission (SEC) as an attorney-adviser and senior counsel. Within the SEC's Division of Corporation Finance, Owen served as a reviewer of 1933 Act and 1934 Act registration statements filed by real estate investment trusts (REITS), business services companies and commodity pools. He also served as principal screener of proxy statements filed by a variety of issuers.
Prior to this, Owen worked at the U.S. Commodity Futures Trading Commission in the Division of Trading and Markets, and for the U.S. House of Representatives.
Representative Experience
Owen's recent representative experience includes:
· Representing a first-of-its-kind non-listed business development company in an initial public offering of up to $1.5 billion of common shares.
· Representing an exchange-traded commodity fund in initial public offerings and follow-on offerings totaling more than $40 billion.
· Representing a private issuer in 144A private offering of approximately $1 billion in membership units.
Professional and Community Involvement
· Member, Business Law Section, American Bar Association
· Member, Corporate, Finance and Securities Law Section, District of Columbia Bar
Recent Publications
· Participating author for Corporate Secretary's Answer Book
· Co-author, "Beating the Market by Staying Out," The Investment Lawyer (April 2009)
· Contributor, Corporate Secretary's Answer Book (2008-2009)
· Co-Author, Privately Traded Public Equity Regulatory Review (November 2008)
· Speaker, "Non-Traded REITs: Hot Topics, Trends and Recent Developments," D.C. Bar Conference Center (April 10, 2012)
News
Sutherland Represents Main Street Capital Corporation in $73.9 Million Shelf Offering
April 11, 2011
Sutherland Represents Solar Capital Ltd. in Initial Public Offering
April 28, 2010
Sutherland Represented Patriot Capital Funding in Merger with Prospect Capital
December 7, 2009
Legal Alerts
Legal Alert: CFTC Issues Rules to Increase Oversight of Funds That Invest in Commodity Interests
February 29, 2012
Legal Alert: Regulatory Watch List for 2012: Issues Anticipated to Impact the Commodity ETF Industry
February 10, 2012
Legal Alert: Who Is Listening? The SEC Emphasizes Importance of Cybersecurity Disclosure
October 26, 2011
Legal Alert: What Does Proxy Access Mean Today?
October 17, 2011
Legal Alert: Impending Federal Government Shutdown: Steps to Take Now at SEC
April 7, 2011
Legal Alert: A New World Order: What Your Board Should Know About Proxy Access
September 23, 2010
Legal Alert: Proxy Plumbing: SEC Considers Extensive Renovation Job to the Proxy System
July 30, 2010
Legal Alert: It's Signed, Now for the Hard Part: What your Board Needs to Know About Corporate Governance and Executive Compensation Provisions in the Dodd-Frank Act
July 22, 2010
Legal Alert: Capitol Hill Takes on Executive Compensation and Corporate Governance
June 17, 2010
Legal Alert: SEC Warms to Climate Change
March 16, 2010
Legal Alert: SEC Tackles Proxy Disclosure Rules
December 29, 2009
Legal Alert: Say on Pay: It's Coming, Are You Ready?
October 5, 2009
Legal Alert: What Will Proxy Access Mean? The Debate Over Proxy Access
July 9, 2009
Legal Alert: Regulatory & Legislative Corporate Governance Initiatives
May 20, 2009
Legal Alert: SEC Issues Temporary Emergency Orders to Ban Short Selling of Financial Companies and Restore Market Liquidity
September 24, 2008
Legal Alert: SEC Approves Amendments Simplifying Disclosure Obligations for a Larger Number of Smaller Public Companies
January 16, 2008
Legal Alert: SEC Amends Rules 144 and 145 to Provide Increased Liquidity to Restricted Securityholders
January 14, 2008
Legal Alert: SEC Affirms Interpretation of Shareholder Proposals Rule Relating to the Election of Directors
January 2, 2008
Publications
Beating the Market by Staying Out
April 2009 Reprinted with permission The Investment Lawyer
Corporate Secretary's Answer Book
2008, 2009
Privately Traded Public Equity Regulatory Review
November 2008
Events
Non-Traded REITs: Hot Topics, Trends and Recent Developments
April 10, 2012