Mark T. Plichta

Partner

Mark T. Plichta practices primarily in the areas of mergers and acquisitions, securities law, corporate governance, and other general corporate business law. He is a partner in the firm’s Transactions, Capital Markets & Public Company Advisory, and Japan Practices, as well as its Manufacturing and Energy Sectors and Automotive Industry Team. Mark is also a member of the firm’s Environmental, Social, and Corporate Governance Team.

Mark has represented companies in numerous mergers, acquisitions, investments, joint ventures, sales, and spin-offs involving public and private companies in various industries. He has represented corporate issuers and underwriters in various public offerings and private placements of debt, equity, and equity equivalent securities, as well as tender offers, exchange offers, and repurchases. He regularly counsels clients regarding corporate governance matters, including in connection with securities, M&A, and takeover defense matters. He also counsels publicly held companies regarding periodic compliance and disclosure matters under federal and state securities laws.

Mark T. Plichta 是美国富理达律师事务所/ Foley & Lardner LLP 的合伙人,负责处理证券交易实务。Plichta 先生主要从事并购、证券法、公司管理及其他一般公司商法领域。他曾代表公司发行人和承销商处理各种债券、股本和权益性证券的公开发售和私人配售事务。Plichta 先生也曾代表公司处理与各行业上市公司和私营公司有关的一系列并购和销售事务。他定期向客户提供有关公司管理事务的建议,包括与证券、并购和反收购有关的事宜。他还根据联邦和州证券法向上市公司提供有关定期合规和披露事宜的建议。他是证券交易和国际事务、制造业、汽车和能源行业团队的成员。

思想领导地位

Plichta 先生定期就与审计委员会及会计和审计事务有关的法律问题,撰写文章和发表演讲。他还定期在日本做有关合并收购主题的演讲。

专业协会成员

Plichta 是密尔沃基市律师协会 (Milwaukee Bar Association)、威斯康星州律师协会 (State Bar of Wisconsin) 和美国律师协会 (American Bar Association) 的会员。

此外,Plichta 先生还是一名注册会计师和威斯康星州注册会计师协会的会员 (Wisconsin Institute of Certified Public Accountants)。他曾在安达信担任审计师,工作时间长达四年。

教育背景

1999 年,Plichta 先生以优等成绩从西北大学法学院毕业,并于 1992 年,从威斯康星大学获得工商管理学士(会计方向)学位。

相关工作经验:

  • 代表帝人株式会社以8亿2500万美元收购Continental Structural Plastics
  • 代表Manitowoc公司脱离其母公司Manitowoc食品服务公司,而成为一个独立公司。监督并协调了脱离过程中的所有相关方面,并直接负责撤资,公司治理,以及证券交易等,包括根据1934年证券交易法及144A法规中的提供大额票面及第二留置权抵押票据规定进行注册
  • 代表一家中国直接贷款公司Adrie Global Holdings Limited反向收购了一家纳斯达克上市的特殊目的并购公司DT Asia
  • 代表Johnson Controls, Inc出售其价值17亿美元的优先票据
  • 代表一家中国汽车供应商以1亿美元的公司价值收购了一家美国汽车材料公司
  • 代表一家中国太阳能公司对位于美国的一家纳斯达克(Nasdaq)上市公司进行多数股权投资
  • 代表一家知名日本医药公司与一家位于加利福尼亚的医药公司签署药物联合开发协议,并对其进行优先股权投资
  • 代表私募基金出售价值3.75亿美元的信息服务公司
  • 代表MGIC Investment Corporation进行价值12亿美元的普通股和可转债双笔交易
  • 代表一家上市公司的证券、公司和重述法律顾问,这家上市公司最初设立于中国,通过反向收购在美国上市并注册
  • 代表 Pentair Ltd. 根据 144A 条例处理涉及发行 20 多亿美元优先债务的发售事务,其中包括其 Pentair, Inc. 子公司发行在外的优先票据的股权交换,所有发售事务均与 Pentair 与 Tyco Flow Control 之间的对等合并有关
  • 代表 Johnson Controls, Inc. 发售价值为 11 亿美元的优先债务
  • 代表 Manitowoc Company, Inc. 公开发售价值为 3 亿美元的优先债务
  • 代表 Johnson Controls, Inc. 处理可转换票据和权益凭证的注册股权交换事务
  • 代表 Ladish Co., Inc. 向 Allegheny Technologies Incorporated 销售价值为 8 亿美元的证券,包括处理相关证券政权申请
  • 代表 Johnson Controls, Inc. 公开发售其价值为 16 亿美元的优先债务
  • 代表诸多客户采纳或更新股东权利计划,包括 NOL 权利计划 ,以及其他收购和积极防御措施
  • 代表 Briggs & Stratton Corporation 公开发售价值为 2.25 亿美元的优先债务
  • 代表 Manitowoc Company, Inc. 公开发售价值为 6 亿美元的优先债务
  • 代表 Hanger Orthopedic Group, Inc. 处理根据第 144A 条例和 S 规例销售价值为 2 亿美元的优先票据、注册票据的相关股权交换和现有票据的相关要约收购等事务
  • 代表 MGIC Investment Corporation 公开发售价值为 8 亿美元的普通股和价值为 3.5 亿美元的可转换优先债务
  • 代表 Manitowoc Company, Inc. 公开发售价值为 4 亿美元的优先债务
  • 代表 Johnson Controls, Inc. 公开发售价值为 4 亿美元的股票和价值为 3.5 亿美元的可转换票据
  • 代表 Robert W. Baird & Co. Incorporated 公开发售其在 California Water Service Company 的第一抵押权债券,价值为 1 亿美元
  • 代表 Harley-Davidson, Inc. 公开发售价值为 6 亿美元的优先债务
  • 在一宗私有化交易中,代表 Gehl Company 处理与 Manitou BF S.A. 之间的销售事务,价值为 4.5 亿美元
  • 代表 MGIC Investment Corporation 公开发售价值为 4.2 亿美元的普通股,以及并发销售价值为 3.9 亿美元的可转换次级票据
  • 代表 TierOne Corporation 与 CapitalSource Inc. 达成价值为 6.5 亿美元的销售协议,以及随后终止合并协议,包括处理相关证券申请文件
  • 代表 Fiserv, Inc. 公开发售其价值为 17.5 亿美元的优先票据
  • 代表 MGIC Investment Corporation 与 Radian Group Inc. 达成价值为 50 亿美元的对等合并协议,以及随后终止合并协议,包括处理相关证券申请文件
  • 处理许多涉及小型私营公司的合并、收购、销售和合资事务

Mark T. Plichta (マーク・プリクタ) はフォーリー・ラードナーLLPのパートナーである。当事務所のM&A・証券グループ、製造業、自動車およびエネルギー産業チームに所属する。Plichtaは、主に M&A、証券取引法、コーポレート•ガバナンスおよびその他一般企業の商法に関する業務分野を担当している。Plichtaは、債券、株式および株式相当証券における各種公募および私募において、社債発行人および引受人の代理を務めてきた。また、各業界の株式公開会社および株式未公開会社等、数々の合併、買収および売却に関して企業の代理人を務めてきた。Plichtaは、さらに、債券、M&A および買収対抗案件関連等、コーポレート•ガバナンスに関する案件に関して、定期的にクライアントに助言を行っている。また、連邦および州レベルの証券取引法に基づく定期的なコンプライアンスおよび開示案件に関して、株式上場企業への助言も行っている。

Plichtaは、ミルウォーキー弁護士協会、ウィスコンシン州弁護士および米国弁護士協会の会員である。

Plichtaはさらに、公認会計士およびウィスコンシン州公認会計士協会の会員である。4年間アーサー•アンダーセンの監査役に従事。監査委員会および会計監査案件に関連した法律問題の執筆・講演を行っている。 また、日本においても定期的にM&Aについて定期的に講演を行っている。

Plichtaは 1999 年、ノースウェスタン大学ロースクールを優秀な成績で卒業。1992 年にウィスコンシン大学で会計を専攻し経営学士を取得した。

Plichta主要な取扱案件実績:

  • 大手日本商社を代理してのUS Tier 1自動車部品メーカーであるContinental Structural Plasticsの8.25億ドル買収案件
  • Manitowoc Company, Inc. を代理し、子会社であるManitowoc Foodservice, Inc. の公開企業としてのスピンオフ。
  • 中国企業(Adrie Global Holdings Limited)を代理し、NASDAQ上場SPAC(DT Asia)との逆さ合併
  • Johnson Controls, Inc. 代理人。優先債券17億米ドルの募集。
  • 中国自動車部品メーカー代理人。企業価値1億米ドルの米国自動車用材会社の買収。
  • 中国太陽エネルギー会社代理人。NASDAQ上場米国企業への過半数出資。
  • 日本大手製薬会社代理人。米国の製薬会社との共同開発契約及び優先株式投資。
  • プライベート・エクイティ・ファンド代理人。3.75億米ドルで情報サービス会社を売却。
  • MGIC Investment Corporation代理人。普通株8億米ドルおよび転換優先債券12億米ドルの公募。
  • 中国企業代理人。逆さ合併による米国での上場・登記における債権・法人・財務諸表リステートメントの助言。
  • Pentair Ltd.代理人。優先債券20億米ドルを超える発行をカバーした証券取引法規則144Aの募集。Pentair, Inc.子会社の発行済優先債券の株式公開買い付けおよびPentairとTyco Flow Controlの対等合併に関連した一切の案件を含む。
  • Johnson Controls, Inc.代理人。優先債券11億米ドルの募集。
  • The Manitowoc Company, Inc.代理人。優先債券3 億米ドルの公募。
  • Johnson Controls, Inc.代理人。転換債券および株式口の記名式株式公開買い付け。
  • Ladish Co., Inc.代理人。Allegheny Technologies Incorporatedへ8億米ドルで売却。関連有価証券報告書を含む。
  • Johnson Controls, Inc.代理人。優先債券16億米ドルの公募。
  • NOL ライツプラン等、買収対抗策としての既存株主優遇制度の採用または更新のために、多数クライアントを代理。
  • Briggs & Stratton Corporation代理人。優先債券 2.25 億米ドルの公募。
  • The Manitowoc Company, Inc.代理人。優先債券 6 億米ドルの公募。
  • Hanger Orthopedic Group, Inc.代理人。規則144A およびレギュレーションSに従った優先債券2億米ドルの売却。記名式債券の関連株式買い付けおよび既存債券の関連株式公開買い付け。
  • MGIC Investment Corporation代理人。普通株8億米ドルおよび転換優先債券3.5億米ドルの公募。
  • The Manitowoc Company, Inc.代理人。優先債券4億米ドルの公募。
  • Johnson Controls, Inc.代理人。株式口4億米ドルおよび転換債券3.5億米ドルの公募。
  • Robert W. Baird & Co. Incorporated代理人。第1担保付債券1億米ドルのCalifornia Water Service Companyによる公募。
  • Harley-Davidson, Inc.代理人。優先債券6億米ドルの公募。
  • Gehl Company代理人。株式非公開取引において Manitou BF S.A.へ4.5億米ドルで売却。
  • MGIC Investment Corporation代理人。普通株4.2億米ドルおよび転換下位劣後債券3.9億米ドルの同時売却。
  • TierOne Corporation代理人。CapitalSource Inc., への6.5億ドルの売却合意および関連有価証券報告書を含む後の合併合意の終了。
  • Fiserv, Inc.代理人。優先債券17.5億米ドルの公募。
  • MGIC Investment Corporation代理人。Radian Group Inc.との対等合併 50 億米ドルに関する合意および関連有価証券報告書を含む後の合併合意の終了。
  • 中小株式未公開会社の合併、買収、売却、合弁事業の取り扱い多数。

Representative Experience

  • Represented BorgWarner Inc. in its spin-off of PHINIA Inc. as a new, independent NYSE-listed company.
  • Represented Dream Finders Homes, Inc. in its sale of $300 million of senior notes in a Rule 144A private placement.
  • Represented Hanger, Inc. in its sale to Patient Square Capital for $1.25 billion, including M&A and SEC proxy statement and disclosure aspects.
  • Represented HCI Group, Inc. in its public offering and sale of $172.5 million of convertible senior notes.
  • Represented private equity firm in the sale of IT services company.
  • Represented Fortune 500 software and technology company in multiple software company purchases.
  • Represented B. Riley, as an underwriter, in the public offering of $250 million of common stock and senior notes by Synchronoss Technologies, Inc.
  • Represented BorgWarner Inc. in its public offering of €1.0 billion of senior notes.
  • Represented B. Riley, as underwriter, in the public offering of $52 million of common stock by Eloxx Pharmaceuticals, Inc.
  • Represented acquirer of automotive parts supplier.
  • SEC disclosure counsel for Briggs & Stratton in connection with restructuring and bankruptcy matters.
  • Represented life sciences company in corporate reorganization and venture financing round.
  • Represented Plantronics, Inc. in its sale of $500 million of senior notes in a Rule 144A private placement.
  • Represented acquirer of lawn care equipment manufacturer.
  • Represented BorgWarner Inc. in an $800 million par-for-par exchange offer pursuant to Rule 144A.
  • Represented The Marcus Corporation in its sale of $100 million of convertible senior notes in a Rule 144A transaction.
  • Represented MGIC Investment Corporation in its public offering of $650 million of senior notes.
  • Represented Vicor Corporation in its public offering of $115 million of common stock.
  • Represented BorgWarner Inc. in its public offering of $1.1 billion of senior notes.
  • Represented a Japanese pharmaceutical company in its IP license agreement with and equity investment in Nasdaq-listed biotech company.
  • Represented pharmaceutical company in connection with agreements with contract manufacturing organizations.
  • Represented a private equity firm in its acquisition of a transportation company.
  • Represented a Japanese company in its acquisition of a U.S.-based manufacturer of advanced aerospace materials.
  • Represented Mortgage Guaranty Insurance Corporation in two offshore reinsurance and insurance-linked notes transactions, involving notes with an aggregate principal amount of over $630 million.
  • Represented a leading communications technology company in its acquisition of a provider of advanced dispatch solutions.
  • Represented acquirer of asphalt paving company.
  • Represented a private equity firm in the acquisition of an IT services company.
  • Represented Oshkosh Corporation in its public offering of $300 million of senior notes.
  • Represented Teijin Limited in its $825 million acquisition of Continental Structural Plastics.
  • Represented The Manitowoc Company, Inc. in its spin-off of Manitowoc Foodservice, Inc. as an independent public company. Supervised and coordinated all aspects of the spin-off and had direct responsibility for the divestiture, corporate governance, and securities aspects of the transaction, including registration under the Securities Exchange Act of 1934 and Rule 144A offerings of senior notes and second lien secured notes.
  • Represented a Japanese technology company in its investment in a startup based in the United States and Singapore.
  • Represented Adrie Global Holdings Limited, a Chinese direct lender, in a reverse merger with DT Asia, a Nasdaq-listed SPAC.
  • Represented Johnson Controls, Inc. in its $1.7 billion offering of senior notes.
  • Represented Chinese auto supplier in its acquisition of a U.S. automotive materials company with a $100 million enterprise value.
  • Represented Chinese solar energy company in its majority equity investment in a Nasdaq-listed energy company based in the United States.
  • Represented a major Japanese pharmaceutical company in connection with its joint drug development agreement with and preferred stock investment in, a California pharmaceutical company.
  • Represented private equity fund in its $375 million sale of information services company.
  • Represented MGIC Investment Corporation in its $1.2 billion dual-tranche offering of common stock and convertible notes.
  • Securities, corporate, and financial statements restatement counsel for a Chinese reverse merger company listed in the U.S.
  • Represented Pentair Ltd. in Rule 144A offerings covering the issuance of over $2 billion of senior notes, including an exchange offer for outstanding senior notes of its Pentair, Inc. subsidiary, all in connection with Pentair’s merger-of-equals with Tyco Flow Control.
  • Represented Johnson Controls, Inc. in its offering of $1.1 billion of senior notes.
  • Represented The Manitowoc Company, Inc. in its public offering of $300 million of senior notes.
  • Represented Johnson Controls, Inc. in a registered exchange offer for convertible notes and equity units.
  • Represented Ladish Co., Inc. in its $800 million sale to Allegheny Technologies Incorporated, including the related securities filings.
  • Represented Johnson Controls, Inc. in its public offering of $1.6 billion of senior notes.
  • Represented numerous clients in their adoption or renewal of shareholder rights plans, including NOL rights plans and other takeover and activist defense measures.
  • Represented Briggs & Stratton Corporation in its public offering of $225 million of senior notes.
  • Represented The Manitowoc Company, Inc. in its public offering of $600 million of senior notes.
  • Represented Hanger, Inc. in its sale of $200 million of senior notes pursuant to Rule 144A and Regulation S, related exchange offer for registered notes, and related tender offer for existing notes.
  • Represented MGIC Investment Corporation in its public offering of $800 million of common stock and $350 million of convertible senior notes.
  • Represented The Manitowoc Company, Inc. in its public offering of $400 million of senior notes.
  • Represented Johnson Controls, Inc. in its public offering of $400 million of equity units and $350 million of convertible notes.
  • Represented Robert W. Baird & Co. Incorporated in a public offering by California Water Service Company of $100 million of first mortgage bonds.
  • Represented Harley-Davidson, Inc. in its public offering of $600 million of senior notes.
  • Represented Gehl Company in its $450 million sale to Manitou BF S.A. in a going private transaction.
  • Represented MGIC Investment Corporation in its public offering of $420 million of common stock and concurrent sale of $390 million of convertible junior subordinated notes.
  • Represented TierOne Corporation in its agreement to a $650 million sale to CapitalSource Inc., as well as the later termination of the merger agreement, including the related securities filings.
  • Represented Fiserv, Inc. in its public offering of $1.75 billion of senior notes.
  • Represented MGIC Investment Corporation in its agreement to a $5 billion merger of equals with Radian Group Inc., as well as the later termination of the merger agreement, including the related securities filings.
  • Numerous other private company mergers, acquisitions, sales, and joint ventures, including Article 9 and other distressed company/debt acquisitions.

Awards and Recognition

  • Thomson Reuters Stand-out Lawyer – independently rated lawyers

Affiliations

  • Milwaukee Bar Association
  • State Bar of Wisconsin
  • American Bar Association
  • Certified public accountant
  • Member of the Wisconsin Institute of Certified Public Accountants. He spent four years as an auditor with Arthur Andersen

Presentations and Publications

  • Mark regularly writes and speaks about legal issues related to audit committees and accounting and auditing matters. He also regularly speaks regarding M&A topics in Japan
29 November 2023 Deals and Wins

Foley Represents Mozaic in $20M Series A Funding Round

Foley & Lardner LLP represented Mozaic, a global payment platform for multi-party payouts, in its $20 million Series A funding round led by Volition Capital.
04 October 2022 Manufacturing Industry Advisor

The SEC Focuses on Supply Chain Disruptions: COVID, Russia-Ukraine Conflict and More

Public companies must not lose sight of how supply chain disruptions impact their disclosure obligations under federal securities laws.
22 July 2022 Deals and Wins

Foley Represents Hanger in Acquisition by Patient Square Capital

Foley & Lardner LLP represented Hanger, Inc., a leading provider of orthotic and prosthetic (O&P) patient care services and solutions, in its definitive agreement to be acquired by Patient Square Capital, a dedicated health care investment firm.
23 May 2022 Press Releases

Foley Client Vicor Opens First-Ever Chip Fabrication Facility

01 November 2021 Press Releases

Foley Announces Release of Comprehensive Audit Committee Deskbook

Foley & Lardner LLP, in partnership with the Practising Law Institute, is pleased to announce the release of the Audit Committee Deskbook, set to publish on November 1, 2021.
08 October 2020 Blogs

Post-COVID M&A Transactions Guidebook

The COVID-19 pandemic has had far-reaching effects to date, including economic uncertainty and widespread business interruptions. This environment may raise unique considerations for parties contemplating an M&A transaction. This guidebook is intended to provide a summary of key considerations for M&A transactions in a post-COVID-19 era.