S. Halle Vakani
Bio
Halle has more than 20 years of experience advising public and private companies on capital markets, securities and general corporate law matters. She represents companies in their initial organizations, securities transactions (including various forms of equity and debt offerings, tender offers, mergers and acquisitions, and other strategic transactions), SEC reporting, compliance and governance matters, investor relations and disclosure issues, stock exchange rules and regulations, and shareholder proposals and engagement. Prior to joining the firm in 2005, Halle practiced with McMillan LLP, a leading Canadian business law firm. Halle is licensed to practice law in North Carolina and Ontario, Canada. She is founder and former chair of the firm’s Diversity, Equity and Inclusion Committee and co-chair of the firm’s Midsize Mansfield Rule Certification Committee.
Halle received her B.A. in French and International Trade Economics, Dean’s Honors List, from the University of Waterloo (Canada). She received her M.A. in French Literature, Dean’s Honors List, from Queen’s University (Canada). Halle completed her law degree at Osgoode Hall at York University (Canada) where she won the Cassels Brock & Blackwell Centennial Prize in Lawyering Skills. Halle received her LL.M. in Corporate Law and Finance, cum laude, from Widener University School of Law.
Languages: French and Gujarati
- Recipient of Diversity, Equity, and Inclusion Champion Award (NCCJ) 2021
- Recipient of Leaders in Diversity Award (Triangle Business Journal), Raleigh, NC, 2016
- North Carolina State Bar
- North Carolina Bar Association and member of the Securities Regulation Committee and Minorities in the Profession Committee
- Wake County Bar Association
- Law Society of Ontario (Canada)
- Leadership Council on Legal Diversity, Success in Law School Mentoring Program
- Member of Alliance Française (Raleigh-Durham-Chapel Hill)
- Attends Board and committee meetings of a Charleston, South Carolina based SaaS software company listed on Nasdaq and represented that company in its $150 million IPO and subsequent equity offerings for a total of over $750 million;
- Represents a Charleston, South Carolina based cloud software company listed on Nasdaq on certain SEC matters and represented that company in acquisitions totaling over $400 million;
- Attends Board and committee meetings of a local specialty pharmaceutical company listed on Nasdaq and represents that company in its capital raising transactions;
- Attended all Board and committee meetings of a New York-based clinical stage ophthalmic biopharmaceutical company listed on Nasdaq and represented that company in multiple equity offerings totaling over $60 million;
- Represents multiple Canadian public and private companies on U.S. capital markets and general corporate matters;
- Represented a local clinical stage biopharmaceutical company on SEC matters and in its $86 million IPO;
- Represented a major RTP-based global CRO (contract research organization) on SEC matters and in its $172.5 million IPO and subsequent equity offerings; and
- Represented a local specialty pharmaceutical company for over 10 years on SEC matters and in 5 equity and debt offerings raising over $1 billion.
- SEC Adopts Amendments to Modernize Share Repurchase Disclosure
- SEC Reverses Certain Rules Regulating Proxy Advisory Firms
- Key ISS and Glass Lewis Voting Policy Updates for 2022
- Client Alert: SEC Approves Nasdaq Board Diversity Listing Rules
- Enforcement of Proxy Advisor Rules Paused Pending Further SEC Review
- Nasdaq Files Amendment to Board Diversity Disclosure Proposal
- Client Alert: SEC Proposes Amendments to Smaller Reporting Company Definition
- Client Alert: SEC Approves Rules Governing Federal Crowdfunding
- Client Alert: SEC Eliminates Ban on General Solicitation in Rule 506 and Rule 144A Offerings
- Client Alert: JOBS Act Could Increase Access to Capital for Emerging Growth Companies
- Moderator, “Diversity, Equity & Inclusion in the Legal Profession and Legal Practice: Moving Forward,” NCBA 2022 Zoning, Planning & Land Use Section Program, Raleigh, NC, April 2022
- Panelist, “Diversity in the Workplace,” Wake Forest University of Law, October 2020
- NASDAQ Provides COVID-19-Related Regulatory Relief from Price-Based Continued Listing Standards, April 2020
- SEC’s Filing Fees Increase by 7.1%, September 2019
- SEC Considers Improving Private Placement Rules, June 2019
- SEC Adopts Amendments to Regulation S-K, May 2019
- Panelist, “NCBA Minorities Pre-Law Conference,” Raleigh, NC, March 2019
- SEC Adopts Final Rules for Disclosure of Hedging Policies, January 2019
- NASDAQ Modifies 20% Shareholder Approval Rule, Increasing Flexibility, October 2018
- SEC’s Filing Fees Decrease by 2.7%, October 2018
- SEC Adopts Amendments to Smaller Reporting Company Definition, July 2018
- Updated ISS Proxy Voting Guidelines for Shareholder Meetings, January 2018
- Panelist, “Proxy Statement Interactive Seminar: Corporate Governance Communications Strategies for Shareholder Engagement,” Donnelley Financial Solutions, Raleigh, NC, November 2017
- Public Companies Benefit from Expanded SEC Registration Statement Filing Procedures, September 2017
- SEC’s Filing Fees to Increase Starting October 1, 2017, September 2017
- SEC Issues Updated Pay Ratio Guidance, September 2017
- Reminder for Public Companies to Begin Hyperlinking Exhibits Starting September 1, August 2017
- Panelist, “Fighting for Fairness in the Legal Profession (NCBA),” Raleigh, NC, May 2017
- Panelist, “Adelante, Moving Forward,” NCBA, Raleigh, NC, January 2015, February 2014
- MC, NCBA First Annual Celebration of Diversity, Raleigh, NC, June 2014