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John K. Whelan

John K. Whelan

Senior Counsel

Wall Street Office
2 Wall Street
New York, NY 10005
whelan@clm.com
phone: 212-238-8810
fax: 212-732-3232 download v-card

Practice Areas

Corporate, Securities

Practice Description

Corporate, including securities, general corporate, financing transactions, tender offers, exchange offers and mergers and acquisitions.

Education

  • B.S., 1962 Fordham University
  • J.D., 1965 University of Virginia School of Law

Admissions

  • 1965 New York

Affiliations

  • New York State Bar Association
  • American Bar Association

Publications Available on this website...

"Additional Form 8-K Disclosure Requirements and Acceleration of Filing Dates," Client Advisory, May 21, 2004

Practice Overview


  • assists foreign and domestic issuers in accessing the U.S. capital markets through public (SEC registered) and private (Rule 144A and Regulation D exempt) financings involving equity or debt securities.
  • represents clients before governmental and regulatory authorities, including the Securities and Exchange Commission, the New York Stock Exchange and the Nasdaq Stock Market and advises them as to compliance with applicable laws and regulations, including the Sarbanes-Oxley Act.
  • advises issuers and investment bankers on a wide variety of transactions, including offshore financings pursuant to Regulation S, business combinations (by Plans of Arrangement and otherwise), take-over bids, spin-offs, A/B exchange offers, etc.
  • represents a number of Canadian income trusts and oil and gas royalty trusts and assists them in complying with the requirements of the Securities Act, the Securities Exchange Act and the Investment Company Act.
  • frequent lecturer on matters of U.S. securities law, including offshore offerings pursuant to Regulation S, Rule 144A offerings and the laws affecting mutual funds and other investment companies.