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Anne L. Bruno

Member

[email protected]

+1.617.832.6565

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Clients – ranging from startups to multinational public companies, in a broad range of industries – look to Anne for her skillful ability to advise on issues related to corporate and employment law, including executive compensation, employee benefits, securities law, and corporate governance.

Anne is also a key member of the firm’s multidisciplinary ESG practice, helping corporate boards, companies, and their investors navigate a broad range of environmental, social, and governance considerations. She is also a member of the firm’s FinTech, Blockchain, and Digital Assets practice, where she regularly advises on compensation and benefits programs involving cryptocurrency and digital assets.

Part of Anne’s practice involves helping clients create, implement and administer equity and executive compensation arrangements and programs, including equity plans, phantom equity arrangements, incentive plans, deferred compensation plans, change-in-control arrangements, and severance and employment agreements.  She also advises with respect to tax, corporate and securities law concerns that arise in connection with such plans and arrangements. She advises and represents a broad range of public and private companies, boards of directors and compensation committees in these matters. She also assists executives with negotiation of their compensation packages, and works closely with senior executives and founders to implement 10b5-1 plans and complex diversification strategies. Additionally, Anne has played a significant role in many public offerings, SPAC transactions and merger and acquisition transactions, representing companies in connection with complex employee benefits and compensation-related aspects.

On the corporate side of her practice, Anne leverages her broad-ranging experience to counsel clients on the intricacies of the federal securities laws. Anne advises public companies and registrants in preparing required disclosure filings and shareholder materials, and helps companies develop ESG strategies, consider disclosure requirements of director and executive compensation, understand cybersecurity issues, and address institutional investors and proxy advisory firm considerations.

In addition, Anne assists companies in implementing and administering a range of policies to address governance obligations, including insider trading, anti-hedging and claw back policies.  She also provides guidance on securities laws requirements to clients involved in public and private M&A and private equity and leveraged buyout transactions, as well as debt and equity financings, divestitures, spinoffs, and IPOs.

viewpoints

SEC Approves Nasdaq Rule Change on Reverse Stock Splits and Minimum Bid Price Compliance Timing

October 17, 2024 | Alert | By Page R. Hubben, Anne Bruno, Daniel T. Kajunski

Read about an amendment to Nasdaq Listing Rule 5810(c)(3)(A), approved by the SEC on October 7, 2024, which affects companies utilizing reverse stock splits to regain compliance with Nasdaq’s minimum bid price requirements.

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New Schedule 13G Accelerated Filing Deadlines Effective Today, September 30, 2024

September 30, 2024 | Alert | By Page R. Hubben, Daniel T. Kajunski, Anne Bruno

Read about the new accelerated filing deadlines for ownership reporting on Schedule 13G that take effect on September 30, 2024 and the requirements for different types of investors.

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SEC Issues Updated Guidance on Cybersecurity Incident Disclosure Under Item 1.05 of Form 8-K

July 11, 2024 | Alert | By Daniel T. Kajunski, Anne Bruno, Kevin M. Yao

The SEC issued five new Compliance & Disclosure Interpretations (C&DIs) relating to the materiality assessment and disclosure requirements of material cybersecurity incidents under Item 1.05 of Form 8-K.

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SEC Issues New Statement on Cybersecurity Incident Disclosure

June 3, 2024 | Alert | By Daniel T. Kajunski, Anne Bruno, Cynthia Larose, Raven Sun

Read about a recent statement from Erik Gerding, Director of the SEC’s Division of Corporation Finance, which provided clarification regarding the disclosure of cybersecurity incidents by reporting companies.

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Recent SEC Rules and Guidance Impose New Obligations on SPACs and Reverse Mergers

May 15, 2024 | Alert | By Anne Bruno, Daniel T. Kajunski, Samantha Silver

Read about how the SEC’s final rules relating to special purpose acquisition companies (SPACs) and other shell companies, which take effect on July 1, 2024, and the agency’s recent guidance on reverse mergers are likely to impact SPAC-related transactions and alternative capital raising transactions.

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Preparation for 2023 Fiscal Year-End SEC Filings and 2024 Annual Shareholder Meetings

December 15, 2023 | Advisory | By John Condon, Anne Bruno, Melanie Ruthrauff Levy, Jacob Hupart, Cynthia Larose, Breton Leone-Quick, Page R. Hubben, Ellen Shapiro

Public companies need to consider regulatory, legal, market, and ESG-related developments in preparing for their fiscal year-end filings with the SEC and their annual shareholder meetings. In an in-depth memorandum, Mintz attorneys discuss the SEC’s new cybersecurity disclosure rule, recent trends in reverse stock splits, and the SEC’s disclosure requirements for Rule 10b5-1 trading plans and insider trading policies, and other emerging issues affecting public companies.

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SEC Adopts Amendments to Section 13 Reporting Requirements

October 25, 2023 | Alert | By Anne Bruno, Daniel T. Kajunski, Raven Sun

Read about the SEC’s amendments to the rules, adopted on October 10, 2023,  governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934.

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Read about the executive compensation recovery “clawback” listing standards proposed by the NYSE and Nasdaq, the consequences for failing to meet these requirements, and the steps affected issuers should take to ensure compliance by the December 1 deadline.

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Read about the proposal by NYSE and Nasdaq to delay the effective date of the SEC’s clawback listing standards to October 2, 2023.

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News & Press

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Mintz advised Cardurion Pharmaceuticals, Inc., a biotechnology company developing novel therapeutics to treat heart failure and other cardiovascular diseases, in a private investment of up to $300 million from Bain Capital Life Sciences and Bain Capital Private Equity that will enable the Boston-based company to expand its drug discovery programs.
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In Agenda, a Financial Times publication, Mintz Special Counsel Anne Bruno was quoted on company succession planning and how boards can effectively communicate the process and decision to candidates.
Press Release Thumbnail Mintz
Firm plays a key role in the largest health care acquisition to date in 2020.
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Events & Speaking

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May
7
2024
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Panelist
Feb
16
2023
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Jan
24
2023
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Oct
15
2022

The Future of Incentive Compensation & Blockchain

ABA 2022 Fall Tax Meeting

Hyatt Regency Dallas

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Aug
17
2022

Cryptocurrency in Employee Benefits and Executive Compensation Arrangements

A live 90-minute premium CLE video webinar with interactive Q&A

Strafford Webinar

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May
6
2021
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Apr
15
2020
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Clients – ranging from startups to multinational public companies, in a broad range of industries – look to Anne for her skillful ability to advise on issues related to corporate and employment law, including executive compensation, employee benefits, securities law, and corporate governance.

Recognition & Awards

  • Phi Beta Kappa

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