Adam W. Park

Associate

Houston
T +1.713.646.1319
F +1.713.751.1717

Overview

Adam Park has considerable knowledge of U.S. federal securities laws, including the Securities Act, Exchange Act and Investment Company Act. He regularly advises his clients on matters relating to public and private capital markets transactions and SEC reporting requirements, including Section 16 compliance. Adam also works closely with management teams to ensure compliance with exchange listing requirements and advises on corporate governance matters, including preparation of materials for board of directors and committee meetings. Adam's diligence and transparency, combined with his experience advising management executives and corresponding with SEC staff, enable him to efficiently assist his clients with their capital markets and corporate governance functions.

Select Experience

  • Conduct review of compliance policies and procedures and advise on revisions necessary to maintain compliance with regulatory requirements and best practices and assist in implementation of compliance procedures.
  • Lead associate in public and private capital markets transactions, including retail and investment grade debt offerings, secured and unsecured debt offerings, follow-on transactions, equity offerings, including initial public offerings, block trades and preferred stock offerings and “at-the-market” (ATM) offerings.
  • Advise public corporations on all aspects of federal securities laws and exchange listing rules.
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Experience

  • Conduct review of compliance policies and procedures and advise on revisions necessary to maintain compliance with regulatory requirements and best practices and assist in implementation of compliance procedures.
  • Lead associate in public and private capital markets transactions, including retail and investment grade debt offerings, secured and unsecured debt offerings, follow-on transactions, equity offerings, including initial public offerings, block trades and preferred stock offerings and “at-the-market” (ATM) offerings.
  • Advise public corporations on all aspects of federal securities laws and exchange listing rules.
  • Draft and negotiate registration statements, prospectuses/offering memoranda, underwriting/purchase agreements, legal opinions, indentures, placement agent agreements, closing deliverables and other ancillary documentation related to capital markets transactions.
  • Conduct and manage due diligence review, lead diligence calls with issuers, investment banks and counsel, coordinate comfort process with auditors, coordinate local counsel opinions and manage closings.
Public Company Transactions
  • Lead associate in a recent follow-on public offering of $50 million of NYSE listed common stock for business development company.
  • Lead associate in launching and overseeing continuous updates to at-the-market common stock offering raising over $200 million.
  • Lead associate in continuous public offering of $200 million of NYSE listed investment-grade term preferred stock for non-traded closed-end fund.
  • Lead associate in initial offerings of several series of investment-grade term preferred stock listed on NYSE totaling approximately $100 million.
  • Lead associate in acquisition of an interval fund with $34 million of net assets.
  • Lead associate in initial and follow-on offerings of retail debt securities listed on NYSE and Nasdaq totaling approximately $215 million.
  • Lead associate in initial offerings of institutional investment-grade debt securities totaling approximately $360 million.
  • Lead associate in launching one million share direct stock purchase plan.

Recognitions and Memberships

Prior Positions

  • U.S. Department of Justice, Criminal Division, Fraud Department: Legal Intern
  • Office of the Commonwealth's Attorney, Fairfax, Va.: Legal Intern

Admissions

  • Texas
  • Virginia
  • District of Columbia

Education

  • J.D., George Mason University School of Law, 2013, magna cum laude; Journal of Law Economics and Policy, Editor in Chief
  • B.A., College of William and Mary, 2009