York Hart & Lane LLPYork Hart & Lane LLP
Practice Area

Capital Market

Strategic advice for issuers and underwriters across going public, public company financings, and hybrid securities.

Key Contacts

John Hart

John Hart

Senior Partner

Overview

We are the premier strategic partner for issuers and underwriters in the equity capital markets. From guiding companies through the pivotal transition from private to public, to providing innovative financing solutions for the entire lifecycle of a public company, we provide end-to-end legal support for our clients to successfully navigate the complex and dynamic capital markets. Our expertise spans the full product spectrum, from traditional IPOs to the sophisticated design of hybrid securities.

Areas of Focus

Going Public Transactions

We advise issuers, founders and underwriters through every stage of the IPO journey, from pre-IPO readiness to pricing and post-listing transition.

  • IPO Readiness & Structuring

    We design listing structures, equity incentive clean-up plans, and governance upgrades to align with exchange and regulatory requirements before launch.

  • Prospectus & Disclosure Management

    We lead drafting and verification of prospectus disclosures, coordinate diligence streams, and align risk factor and business narratives with market expectations.

  • Offering Execution & Listing

    We manage underwriting documentation, regulatory comment responses, timetable coordination and closing mechanics through successful listing.

Public Company Financings

We help listed companies access capital quickly and efficiently through follow-on offerings, private placements and structured financing transactions.

  • Follow-on & Block Offerings

    We advise on accelerated and marketed follow-on offerings, including deal structuring, disclosure updates and execution strategy.

  • PIPEs & Strategic Placements

    We structure private investments in public equity and strategic placements balancing financing flexibility, governance and shareholder protections.

  • Convertible & Debt-linked Financing

    We support issuers and banks on convertibles and related debt-linked products, addressing covenant, dilution and settlement mechanics.

Equity-Linked & Hybrid Securities

We deliver sophisticated structuring and execution support for hybrid capital solutions tailored to issuer balance sheets and investor demand.

  • Hybrid Instrument Structuring

    We design terms for preferred, perpetual and other hybrid instruments to optimize capital treatment, pricing and investor participation.

  • Hedge Overlay & Risk Allocation

    We advise on equity hedge overlays and allocation of market and settlement risk across issuers, underwriters and investors.

  • Regulatory & Accounting Coordination

    We coordinate securities law, listing and disclosure implications with accounting and treasury teams for compliant post-issuance operations.

Related Insights

Client Update

SEC Draft Registration Statement Accommodations

On March 3, 2025, the SEC's Division of Corporation Finance announced an immediate expansion of accommodations for issuers submitting draft registration statements (DRS) for nonpublic review, including expansion to Section 12(g) initial registrations, removal of the 12-month limit for follow-on DRS, and clarification for de-SPAC transactions.

Client Update

SEC Review of Foreign Private Issuer Status

On June 4, 2025, the SEC issued a Concept Release initiating a comprehensive reassessment of the definition of "Foreign Private Issuer" (FPI), citing fundamental shifts in the FPI population including concentration of trading in the U.S. and divergence of incorporation and headquarters jurisdictions.

All Capabilities