Alissa K. Lugo

Partner

Orlando
T +1.407.649.4015
F +1.407.841.0168

Overview

Alissa Lugo focuses on securities and general corporate law with a concentration on securities work for public companies. Her experience includes advising and counseling clients on corporate governance and securities disclosure matters, and conducting securities offerings. Alissa brings an understanding of her clients' concerns to her work, addressing all details of their situation promptly.

Select Experience

  • Represented a Nasdaq-listed company in a private placement offering of common stock and warrants to purchase common stock. Prepared and submitted filings with the Securities and Exchange Commission (SEC) and various state securities divisions in connection with such offering. Filed a registration statement on Form S-3 to register shares of common stock and the shares underlying warrants for resale by the selling stockholders.
  • Advised a Nasdaq-listed company on the Conflict Minerals Rule adopted pursuant to the Dodd-Frank Act, assisted in developing a compliance plan and prepared its Conflict Minerals Report.
  • Represented a publicly traded company during the SEC comment letter process. Assisted in revising Compensation Discussion and Analysis (CD&A) to reflect additional information requested by the SEC.
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Experience

  • Represented a Nasdaq-listed company in a private placement offering of common stock and warrants to purchase common stock. Prepared and submitted filings with the Securities and Exchange Commission (SEC) and various state securities divisions in connection with such offering. Filed a registration statement on Form S-3 to register shares of common stock and the shares underlying warrants for resale by the selling stockholders.
  • Advised a Nasdaq-listed company on the Conflict Minerals Rule adopted pursuant to the Dodd-Frank Act, assisted in developing a compliance plan and prepared its Conflict Minerals Report.
  • Represented a publicly traded company during the SEC comment letter process. Assisted in revising Compensation Discussion and Analysis (CD&A) to reflect additional information requested by the SEC.
  • Advised an NYSE-listed company on executive compensation matters, including the determination of named executive officers and proper disclosure in its proxy statement.
  • Represented public companies in connection with the adoption of omnibus incentive plans. Drafted the appropriate disclosure for proxy statements and prepared related registration statements on Form S-8, which registered shares issuable under the omnibus incentive plans. Adoption of plans and subsequent registration of shares ensured the companies' continued ability to compensate and retain executive officers, directors and key employees.
  • Represented an NYSE-listed company in connection with the registration of shares issuable under a dividend reinvestment and direct stock purchase place.
  • Represented a Nasdaq-listed company in connection with the adoption of an employee stock purchase plan, including preparation of the appropriate disclosure for its proxy statement.
  • 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.
  • Represented an OTC company in the filing of a resale registration statement on Form S-1 for the resale of up to approximately 57.4 million shares of its common stock by a certain selling stockholder in connection with an equity line agreement.
  • Represented an OTC company in the filing of a resale registration statement on Form S-1 for the resale of shares underlying convertible debentures and warrants.
  • Represented issuers in connection with private placement offerings under Regulation D, including the preparation of private placement memoranda, subscription agreements and resale registration statements.
  • Counsels public companies regarding their ongoing disclosure and public reporting obligations, including periodic reporting, proxy statements, annual meetings, Section 16 matters and Regulation FD. 
  • Advises public companies on corporate governance matters related to the Dodd-Frank Act, the Sarbanes-Oxley Act, and the listing rules of  Nasdaq and the NYSE.

Recognitions and Memberships

Memberships

  • Legal Aid Society

Community

  • National Multiple Sclerosis Society Mid Florida Chapter: Board of Trustees
  • Orange County Community Action Board
  • Leadership Orlando, Class 87
  • Central Florida Gator Club
  • Young Professionals Advisory Council (2012 to 2013)

Pro Bono

  • Advised a charity on a possible merger, including the effect of certain liabilities of the target charity.  

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