- Counsel to various public and private companies on investment company status issues under the securities laws.
- Counsel to various broker-dealers on the retail distribution of securities, including structuring the various programs through which securities are offered, particularly with respect to the distribution of mutual fund shares.
- Represented Ready Capital Corporation in signing a definitive merger agreement to combine with Anworth Mortgage Asset Corporation, a specialty finance REIT, and the creation of a combined company with a pro forma equity capital base in excess of $1 billion.
- Represented Broadstone Net Lease Inc. in entering into a definitive agreement with its external manager, Broadstone Real Estate LLC and its affiliates, to internalize BNL's management through a series of transactions involving Broadstone Real Estate's acquisition by BNL's operating company, Broadstone Net Lease LLC.
- Advised clients through review and drafting of SEC filings, including 10-Ks, 10-Qs, 8-Ks, S-4s, and proxy disclosure documents.
- Advised clients on numerous corporate governance issues pertaining to effective board governance and drafted multiple board policies, board strategic plans, bylaws, articles of incorporation (AOI), amendments to bylaws and AOI, and resolutions for board consideration and action.
Associate,
- Phone: 404.881.7171
- Email: helena.gu@alston.com
Clients depend on Helena for the formation, registration, disclosure, and compliance of registered investment companies, and for guidance through complex transactions relating to alternative investments and REITs.