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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 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.
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.
Corporations with 10 or More ISO or ESPP Reporting Obligations on Forms 3921 or 3922 Should Take Notice of Revised Electronic Filing Requirements
January 25, 2024 | Blog | By Anne Bruno, Michelle Capezza
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.
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.
SEC Approves NYSE and Nasdaq Compensation “Clawback” Listing Standards; Compliance Required by December 1, 2023
June 23, 2023 | Alert | By Anne Bruno, Daniel T. Kajunski, Raven Sun
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.
NYSE and Nasdaq Propose Delayed Effectiveness of Compensation “Clawback” Listing Standards
June 9, 2023 | Alert | By Anne Bruno, Daniel T. Kajunski
Read about the proposal by NYSE and Nasdaq to delay the effective date of the SEC’s clawback listing standards to October 2, 2023.
SEC Adopts Amendments to Rule 10b5-1 Insider Trading Arrangements
December 27, 2022 | Blog | By Anne Bruno, Page R. Hubben
Preparation for 2022 Fiscal Year-End SEC Filings and 2023 Annual Shareholder Meetings
December 7, 2022 | Advisory | By John Condon, Anne Bruno, Melanie Ruthrauff Levy, Jacob Hupart, Cynthia Larose, Breton Leone-Quick, Page R. Hubben
SEC Adopts Pay Versus Performance Compensation Disclosure Requirements
September 26, 2022 | Advisory | By Xandy Walsh, Anne Bruno, Daniel T. Kajunski
Read about the SEC’s recently adopted rules to require reporting companies to disclose the so-called Pay Versus Performance relationship between a company’s financial performance and executive compensation that was “actually paid” by the company over a five-year period.
News & Press
Mintz Promotes Nine to Member
December 15, 2021
Mintz Advises JMP Group in Sale to Citizens Financial Group
November 16, 2021
Mintz Advises Cardurion Pharmaceuticals in Investment of up to $300 Million from Bain Capital
November 02, 2021
‘Too Old’ to Be CEO — Bias Charges in Succession Plan
November 6, 2020
Events & Speaking
Designing Rule 10b5-1 Trading Plans Under New SEC Rules: Preserving the Affirmative Defense
Strafford
Online Event
![Webinar Reference Image](https://www.mintz.com/sites/default/files/styles/social/public/media/images/2020-04-23/WEBINAR.jpg?itok=4PLQNYlN)
![Conference Reference Image](https://www.mintz.com/sites/default/files/styles/social/public/media/images/2020-04-23/CONFERENCE_vfinal.jpg?itok=1eZh6mA0)
Cryptocurrency in Employee Benefits and Executive Compensation Arrangements
A live 90-minute premium CLE video webinar with interactive Q&A
Strafford Webinar
![Webinar Reference Image](https://www.mintz.com/sites/default/files/styles/social/public/media/images/2020-04-23/WEBINAR.jpg?itok=4PLQNYlN)
Disclosure, Financing, and Executive Compensation Basics for New and Aspiring Public Company Executives
Boston Bar Association
Webinar
![Webinar Reference Image](https://www.mintz.com/sites/default/files/styles/social/public/media/images/2020-04-23/WEBINAR.jpg?itok=4PLQNYlN)
Let's Talk SPACs - SPACs Session 2: de-SPAC – So Now You’re a Public Company
HUB International
Webinar
![Webinar Reference Image](https://www.mintz.com/sites/default/files/styles/social/public/media/images/2020-04-23/WEBINAR.jpg?itok=4PLQNYlN)
ESG 101: Emerging Environmental, Social, and Corporate Governance Issues for Boards
View the Webinar Recording
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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