Adam Slutsky

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SEC Proposes Amendments to Rule 10b5-1 Trading Plans

On December 15, 2021, the U.S. Securities and Exchange Commission proposed amendments to Rule 10b5-1 trading plans, as SEC Chairman Gary Gensler first previewed in June in the wake of increased scrutiny of the plans. A Rule...more

12/16/2021 / 10b5-1 Plans , Comment Period , Insider Trading , Proposed Amendments , Publicly-Traded Companies , Securities and Exchange Commission (SEC) , Trading Plans

SEC Chairman’s Comments Signal Likely Changes to Rule 10b5-1 Trading Plans

Rule 10b5-1 trading plans have faced increased scrutiny since the onset of the COVID-19 pandemic and the corresponding public focus on stock sales by executives of public life sciences companies. On June 7, 2021, SEC Chairman...more

6/9/2021 / 10b5-1 Plans , Corporate Executives , Disclosure Requirements , Insider Trading , Publicly-Traded Companies , Securities and Exchange Commission (SEC)

New York Courts Reject Disclosure-Based Settlements of Merger Lawsuits

In two recent rulings, the New York Supreme Court rejected settlements arising from lawsuits in which plaintiff stockholders challenged the defendant public companies’ merger-related disclosures. The court in each case...more

1/15/2015 / Material Disclosures , Merger Agreements , Publicly-Traded Companies , Settlement , Shareholder Litigation , Shareholders , Supplemental Disclosures , Verizon , Vodafone

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