Daniel A. Goldstein
Schulte Roth & Zabel LLP
Articles
Amendments to Rules Governing Trading Plans and Insider Filings
USA - January 26 2023 On Dec. 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (the…
SEC Adopts Amendments to Rules Governing Rule 10b5-1 Trading Plans and Section 16 Insider Filings on Forms 4 and 5
USA - December 21 2022 On Dec. 14, 2022, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 (the…
SEC Staff Guidance Paves Way for More ESG Proposals
USA - February 2 2022 With more ESG proposals passing than ever before, the 2021 proxy season was a watershed moment for shareholder proposals on ESG issues and a…
Engine No. 1 Lessons for Environmental Proxy Campaigns
USA - July 27 2021 Time will tell whether the recent success of investment startup Engine No. 1 in gaining three board seats at Exxon Mobil Corp. will prompt imitators…
13(d) Reporting Windows to Be Revisited
USA - July 19 2021 On June 23, 2021, Gary Gensler, the newly appointed Chairman of the Securities and Exchange Commission (“SEC”), delivered remarks at London City Week…
