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How to Prepare an Initial Public Offering 2020

Speaker(s): Amanda Rose, Eileen J. Shin, Julia L. Petty, Ravi Rao, Robert A. Freedman, Sophia Hudson, Steve Parish
Recorded on: Apr. 28, 2020
PLI Program #: 278643

Amanda Rose advises life sciences and technology companies with respect to corporate finance, SEC reporting and governance matters. Amanda has represented issuers and underwriters in a wide variety of public and private financing transactions, including initial public offerings, follow-on and secondary offerings, at-the-market offerings, PIPEs and preferred stock and debt financings. She also advises late-stage private companies with respect to general corporate governance and liquidity preparation and public companies on corporate and securities law compliance and disclosure matters, including corporate governance best practices, Exchange Act reporting obligations and stock exchange requirements. Chambers USA ranks Amanda as a top capital markets lawyer, with clients saying, "Amanda stands out as an exceptional young attorney with great judgment, poise, 24/7 availability and extreme attention to detail."

Prior to joining Fenwick & West, Amanda was an associate in the Corporate Group at Dorsey & Whitney LLP.

Amanda received her J.D., magna cum laude, from the Seattle University School of Law in 2009, where she was Associate Editor for the Seattle University Law Review. She earned her B.A., cum laude, in Political Science and Communication from the University of Washington in 2006.

Amanda is a member of the State Bar of Washington.

Eileen Shin is a Managing Director and Associate General Counsel in the Corporate & investment bank of JPMorgan Chase & Co., where she provides legal and regulatory advice for equity, high yield debt and Latin America capital markets origination businesses as well as the global research department.  She has served as a faculty member in previous Practicing Law Institute seminars on the topic of initial public offerings.  She has been named in the Corporate Counsel 100 most influential in-house lawyers in business for Latin America.  She and her legal colleagues have been recognized as the Equity In-House Legal Team of the Year by the International Financial Law Review in many years running and have most recently earned recognition as the Debt In-House Legal Team of the Year by the International Financial Law Review.  She has also participated in panel discussions relating to capital markets topics at National Asian Pacific American Bar Association conferences.  Previously, she was a lawyer in the securities practice group at Simpson Thacher & Bartlett LLP.  She is a graduate of Columbia Law School, where she was a Harlan Fiske Stone Scholar and an editor of the Human Rights Law Review.  She holds a Master of Music degree in piano performance from the Eastman School of Music and a B.A. degree with honors in modern thought & literature from Stanford University.  She was also a Rotary Foundation scholar for the study of piano performance in France.  She and her husband have two children along with a puppy added to the family during the pandemic and live in the Upper West side of New York City.


Julia Petty is a partner in the New York office of Kirkland & Ellis LLP where she serves as a member of the Executive Compensation Group. Julia’s practice focuses on executive compensation and benefits matters in connection with domestic and cross-border business transactions, including mergers and acquisitions, spin-offs and divestitures, public offerings and restructuring transactions. Julia also counsels clients on executive compensation and associated securities, tax and corporate governance matters, including the design, disclosure, and implementation of equity and cash incentive programs, executive employment and severance arrangements, change in control protections, deferred compensation plans and retention programs.

Ravi is a Partner in PwC’s Deals practice focusing on Capital Markets & Accounting Advisory (CMAAS). He has 25 years of experience in the US and internationally, advising clients with respect to transformational capital markets transactions including IPOs, spin-offs, mergers and acquisitions, debt offerings and divestitures.  The assistance includes advice on complex US GAAP, IFRS and SEC reporting matters. He serves some of our largest US based private equity clients with their acquisitions and dispositions/IPOs of US and European portfolio companies.

Ravi also spent 3 years in PwC’s National Office as part of PwC’s SEC Services practice. While at National, Ravi consulted with clients on a wide array of capital markets transactions, complex accounting and SEC matters and he also assisted clients with their pre-clearance of various issues with the US Securities and Exchange Commission.

Ravi is a frequent speaker on SEC reporting and accounting matters and has presented a number of webcasts on IPOs, Corporate Divestitures/Carve-outs, and Mergers and Acquisitions.  He is an author and contributor on thought leadership related to divestitures and business combinations and has appeared in PwC’s CFOdirect network videos on various SEC reporting related topics.   He has worked for PricewaterhouseCoopers in Amsterdam, Netherlands and London, United Kingdom.

Areas of focus include: IPOs, spin-offs, 144a debt offerings, carve-outs, mergers and acquisitions/business combinations, IFRS/US GAAP conversions, SEC reporting and project management advice associated with all of the above.

Robert (Rob) Freedman is co-chair of the Securities & Corporate Finance group and provides corporate and securities law services to late stage and public technology and life sciences companies. He leads initial public offerings and follow-on offerings of equity and debt, and focuses on advising boards and management on corporate and securities law compliance and disclosure matters. Rob has represented issuers and underwriters in securities offerings by public companies for over 20 years. Rob also concentrates on mergers and acquisitions and private financings for public companies.

Rob has been recommended by The Legal 500 for his individual practice and role as co-chair of Fenwick & West’s corporate and securities practice, which was recognized as a team of “highly knowledgeable and flexible technology sector specialists.”

Representative Initial Public Offering Experience:

  • Aeglea BioTherapeutics
  • AnaptysBio
  • Audentes Therapeutics
  • Castlight Health
  • Corium International
  • Cowen and Company
  • Dermira
  • DexCom
  • Loxo Oncology
  • Piper Jaffray & Co.
  • ServiceNow
  • Shutterfly
  • Sierra Onocology
  • Silver Spring Networks
  • Sutro Biopharma
  • Upwork

Representative M&A and Tender Offer Experience:

  • OncoGenex Pharmaceuticals’ merger with Achieve Life Science
  • Castlight Health’s acquisition of Jiff
  • Corium’s acquisition by Gurnet Point Capital
  • KalVista Pharmaceuticals’ acquisition of Carbylan Therapeutics
  • DexCom’s acquisition of SweetSpot Diabetes Care
  •’s acquisition by
  • Alpha Innotech’s acquisition by Cell Biosciences
  • Data Domain’s acquisition by EMC
  • Cisco Systems’ acquisition of WebEx Communications
  • Macromedia’s merger with Adobe

Rob is a member of the State Bars of California, Idaho and Washington. He received his A.B. degree in biochemistry and history in 1987 from Bowdoin College where he graduated summa cum laude and Phi Beta Kappa. He received his J.D. degree, with distinction, in 1993 from Stanford University.

Rob is the co-chair for the Practising Law Institute’s “How to Prepare an Initial Public Offering” program. Prior to law school, Rob was a banker for Manufacturers Hanover Trust in New York.

Sophia Hudson is a capital markets partner in the New York office of Kirkland & Ellis LLP. Sophia advises issuers and underwriters on capital markets transactions, including initial public offerings and follow-on equity offerings, public and private high-yield, investment-grade and convertible debt offerings and private placements of equity and convertible securities for early stage companies. She also counsels her corporate clients, including management teams and boards of directors, on governance, corporate and securities law matters.

Her experience ranges across a variety of industries, including consumer goods, financials, industrials, life sciences, mining, retail, specialty pharmaceuticals and technology. She has represented all the major U.S. investment banks.

Sophia has been recognized as a leading capital markets attorney by major legal publications, including named a “Rising Star” by New York Law Journal in 2017 and by Law360 for Life Sciences in 2016.

Sophia was a member of the Partnership for New York City 2016-2017 class of David Rockefeller Fellows. She has served as the co-chair of Practising Law Institute’s “How to Prepare an Initial Public Offering” since 2015. Sophia received her J.D. from the University of Michigan Law School and her A.B. from Princeton University.

Steve joined ICR in December, 2019 and serves as Head of Capital Markets for ICR Capital. In his role, Steve is responsible for advising corporate management teams and financial sponsors across all industry verticals on the full spectrum of public equity market monetizations, including IPOs, follow-on offerings and block trades.

Steve has focused on capital markets for his entire career. Most recently, Steve spent seven years as a Managing Director at Solebury Capital, advising U.S. and international issuers on multiple equity transactions. He also spent twenty five years at Bear Stearns & Co as a Senior Managing Director, holding senior leadership roles in equity capital markets, including Global Head of the Equity Transactions Group and Global Head of Equity Syndicate. He served on firm-wide committees such as the Commitment Committee and Equity Committee. During his career, he has overseen the execution and has advised on over 1000 public equity and equity linked offerings.

Steve received a BA in History from Tulane University and an MBA in Finance from New York University Stern School of Business.