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Meet The Speakers
This program is sponsored by Vintage.
In recent years, the landscape of shareholder activism has changed drastically. Any company, regardless of size or financial performance, may become the target of shareholder activism. A variety of issues may lead to these efforts of investors to influence a company’s decision-making and governance structure. A company can take steps, however, to ensure they are effectively and competently handling their filing obligations under the federal securities laws to prevent or mitigate the impact of these situations, through accurate and complete filings, by knowing what and how much to properly disclose, and enhancing the quality of governance-related disclosures.
Join us for this 60-minute program to learn how to handle activist shareholders. Our panel will discuss vulnerabilities to look for in a company that may make it the target of an activism campaign, the types of disclosures that can help to correct or mitigate these vulnerabilities, and practical tips for filing accurate and complete disclosures in compliance with the applicable securities rules and regulations.
• Understand vulnerabilities that can make a company susceptible to shareholder activism
• Learn the types of securities filing obligations that can help minimize these vulnerabilities
• Obtain practical advice for filing public disclosures
Who would benefit most from attending this program?
C-suite executives; in-house and outside counsel dealing with corporate communications and disclosures; attorneys advising companies of all sizes.
Mr. Kai Liekefett is the Head of V&E’s Shareholder Activism Response Team and a corporate partner with 15 years of experience practicing law in New York, Houston, London, Germany, Hong Kong and Tokyo. He has extensive experience advising companies on proxy contests and other shareholder activism campaigns. Moreover, Mr. Liekefett represents domestic and international companies as well as financial advisors in connection with public and private mergers & acquisitions, with a special focus on hostile M&A transactions.
Mr. Liekefett is admitted to practice in Düsseldorf, New York, and Texas. He earned his LL.M. from the Columbia University School of Law, his Ph.D., magna cum laude, from University of Freiburg Law School, and his Executive MBA, summa cum laude, from the University of Muenster Business School.
Mr. Rick Grubaugh is a Senior Vice President of D.F. King & Co., Inc. and co-director of the Strategic Analysis and Proxy Division. Mr. Grubaugh primarily advises corporations and shareholders in complex transactions specializing in corporate control situations such as proxy contests, mergers and hostile tender offers.
Mr. Grubaugh formulates and recommends shareholder communications strategies for public companies in crisis situations. Prior speaking engagements include various programs sponsored by the Practising Law Institute, programs sponsored by the Society of Corporate Secretaries and Governance Professionals and Georgetown University’s program on corporate governance issues.
Prior to joining King, Mr. Grubaugh was a principle of MalCon Proxy Advisors, Inc. specializing in advising companies and activist shareholders in corporate control situations. Prior to forming MalCon, he was Managing Director of the Strategic Consulting Division of Beacon Hill Partners, Inc. and was primarily responsible for providing consulting services to clients involved in proxy contests and hostile tender offers.
Mr. Grubaugh began his proxy solicitation career at the Carter Organization, Inc., joining that firm in 1986. He graduated from Virginia Wesleyan College in 1986.
Mr. Greg Taxin is Managing Member and Co-Founder of Luma Asset Management, LLC. Previously he was the President of Clinton Group, Inc. He co-Founded Glass, Lewis & Co., LLC in 2003 and served as its Chief Executive Officer. Prior to co-founding Glass Lewis, he served as Managing Director of Banc of America Securities in San Francisco. Prior to that, Mr. Taxin served as Director of Epoch Partners, where he sat on the Management Committee from the founding until the business was sold in 2001. He served as a Vice President, the Investment Banking Department of Goldman, Sachs & Co. and served as an attorney at the New York corporate law firm of Wachtell, Lipton, Rosen & Katz. He has been a Director of The Wet Seal, Inc. since October 1, 2014. Mr. Taxin is a magna cum laude graduate of the Harvard Law School, where he was a John M. Olin Fellow in Law and Economics, and a summa cum laude graduate of the University of California, Berkeley.
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