Mr. Servidio’s recent deal experience includes:
- Representation of issuer and investment bank clients on issuer equity-linked capital-raising transactions, including convertible bond offerings, bond hedge and warrant/capped call overlays, issuer stock borrow facilities, at-the-market (ATM) offerings and forward stock offerings with fixed price or ATM executions.
- Representation of issuer and investment bank clients on accelerated share repurchase transactions, common stock buy-back programs and convertible note repurchase strategies.
- Negotiating prime brokerage, securities and financing documentation such as listed and cleared execution, custodial/tri-party, Master Repurchase, Global Master Repurchase, Master Securities Loan and Master Securities Forward Transaction Agreements.
- Negotiating derivatives documentation such as International Swaps and Derivatives Association (ISDA) Master Agreements, Credit Support Annexes, collateral agreements, and master confirmations.
Mr. Servidio’s recent regulatory experience includes:
- Advising clients on the Commodity Exchange Act; Commodity Futures Trading Commission (CFTC), CME and Intercontinental Exchange (ICE) regulations; CFTC and National Futures Association (NFA) registration and examination requirements; CFTC enforcement matters; as well as investments in financial intermediaries that trade bitcoin and certain other virtual currencies.
- Advising clients on Securities Act, Securities Exchange Act, SEC, Financial Industry Regulatory Authority (FINRA), New York Stock Exchange (NYSE) and Nasdaq rules and regulations raised by equity derivative transactions, as well as investments in security tokens, distributed ledger infrastructure and digital asset trading platforms.
- Advising clients on Dodd-Frank Act rules including Title VII swap and security-based swap rule implementation, as well as compliance with ISDA protocols and CFTC swap documentation, reporting, clearing, margin and collateral segregation requirements.
- Advising clients on Federal Reserve, Office of the Comptroller of the Currency (OCC) and Federal Deposit Insurance Corporation (FDIC) regulations regarding swaps and other derivatives, including on the replacement of LIBOR with the Secured Overnight Financing Rate (SOFR) or other alternative rates.
- Advising clients on compliance with foreign derivatives regulation in the U.K., Europe, Hong Kong and other non-U.S. jurisdictions.