Alissa K. Lugo

She | Her | Hers

Partner

Orlando
T +1.407.649.4015
F +1.407.841.0168

Overview

Alissa Lugo focuses on securities, corporate governance and general corporate law, with a concentration on representing public companies. Her experience includes advising and counseling boards of directors and corporate senior management of public and private companies on the disclosure requirements under the federal securities laws; compliance with SEC and stock exchange requirements; executive compensation; investor relations; and corporate governance best practices. Alissa also guides them in conducting private and public offerings of equity (preferred stock and common stock), debt and equity-linked securities (convertible preferred, convertible debt, and warrants).

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  • Represents corporate and partnership issuers in public and private equity and debt securities offerings, including preparing registration statements, private placement memoranda and other offering documents, coordinating all required filings with the Securities and Exchange Commission and the various state securities divisions in connection with such offerings, and advising clients in conducting offerings.
  • Regularly represents NYSE- and Nasdaq-listed companies with respect to their ongoing disclosure and public reporting and compliance obligations, including periodic reporting, proxy and information statements, Section 16, and Regulation FD, along with other federal and state compliance issues and corporate governance best practices.
  • Regularly manages the annual shareholder meeting process for public companies, including the preparation of proxy materials.
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Experience

  • Represents corporate and partnership issuers in public and private equity and debt securities offerings, including preparing registration statements, private placement memoranda and other offering documents, coordinating all required filings with the Securities and Exchange Commission and the various state securities divisions in connection with such offerings, and advising clients in conducting offerings.
  • Regularly represents NYSE- and Nasdaq-listed companies with respect to their ongoing disclosure and public reporting and compliance obligations, including periodic reporting, proxy and information statements, Section 16, and Regulation FD, along with other federal and state compliance issues and corporate governance best practices.
  • Regularly manages the annual shareholder meeting process for public companies, including the preparation of proxy materials.
  • Represented an NYSE-listed company in its filing of a universal shelf registration statement and subsequent take down of a $75 million at-the-market offering program.
  • Represented a company in multi-faceted transaction that consisted of a firm commitment underwriting offering of common stock, the proceeds of which were used to partially finance an acquisition as well as the company’s up-listing to Nasdaq from the OTC Market.
  • Represented a Nasdaq-listed company in a firm commitment underwritten offering of common stock, the proceeds of which were used to partially finance an acquisition. Prior to closing, the company also successfully obtained stockholder approval with respect to the offering. Acted as lead attorney with respect to the public offering and the special stockholders' meeting.
  • Represented a company quoted on the OTC Market in its initial public offering of shares of its common stock, which shares were registered for resale on behalf of a selling stockholder.
  • Represented a Nasdaq-listed company in multiple private placement offerings of common stock and warrants to purchase common stock. Prepared and coordinated filings with the SEC and various state securities divisions in connection with such offering, including the filing of resale registration statements.
  • Advises a Nasdaq-listed company on the requirements of the Conflict Minerals Rule, including assisting the client in developing a compliance plan and preparing its annual Conflict Minerals Report.
  • Advises public companies during the SEC comment letter process.
  • Regularly advised public companies on executive compensation matters, including matters related to proxy disclosure, say-on-pay proposals and CD&A best practices.
  • Advised a smaller reporting company in connection with Nasdaq's continued listing rules. Assisted the company in developing a plan to regain compliance with the minimum bid price listing rule, determined the necessary shareholder approval requirements under prior transaction documents in order to effect a possible reverse stock split, and developed a timeline to ensure all measures could be achieved by the compliance date.
  • Represents public companies during reverse stock split process, reverse mergers, short-form mergers, and other restructurings and organizations.

Recognitions and Memberships

Memberships

  • American Bar Association

Community

  • National Multiple Sclerosis Society Mid-South Florida Chapter: Board of Trustees (Chair of Board of Trustees)
  • Leadership Council on Legal Diversity: 2020 Fellow
  • Leadership Orlando, Class 87
  • Central Florida Gator Club
  • Orange County Community Action Board: Former Member
  • Young Professionals Advisory Council (2012 to 2013)

Pro Bono

  • Represented public guardian of an elderly ward.

Prior Positions

  • Justice Campbell Thornal Moot Court Team: Intermural Chair (2006)

Admissions

  • Florida

Education

  • J.D., University of Florida Levin College of Law, 2006
  • B.S.B.A., University of Florida, 2003, cum laude