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  • Education
    • LL.M., Georgetown University Law Center, 2005, Securities and Financial Regulation
    • J.D., Northwestern University School of Law, 2001
    • B.A., University of California, Berkeley, 1997, Economics

Eric S. Wu has a capital markets background that allows him to serve his clients as a reliable resource and practical adviser.

Eric concentrates his practice in business transactions, finance, and corporate counseling. He has a special focus on helping publicly-traded and privately-held companies anticipate, navigate, and resolve the legal issues surrounding capital-raising securities transactions, mergers and acquisitions, SEC periodic reporting, executive compensation, proxy and shareholder matters, and corporate governance practices.

Eric represents issuers in a wide variety of SEC-registered public offerings and private placements of debt and equity securities, including:

  • Initial public offerings
  • Follow-on and registered shelf offerings
  • Rule 144A offerings of high-yield, convertible and investment grade debt securities to institutional investors
  • Exchange offers
  • Seed and later-stage venture financings

Eric regularly counsels numerous public companies on compliance with SEC periodic reporting and other disclosure obligations under the federal securities laws. He is well-versed on the corporate governance requirements and listing standards of various stock exchanges. Eric also renders practical advice on the legal issues regarding public company corporate governance, Sarbanes-Oxley and Dodd-Frank Act compliance, anti-takeover strategies, compensation matters, and fiduciary duties of company boards and committees.

In addition, Eric has extensive experience as transactional counsel to public and private companies in a broad range of industries. He represents both buyers and sellers in mergers, acquisitions, and divestiture transactions involving stock, assets, businesses, and subsidiaries.

As a result of his diverse client base, Eric advises numerous companies in complex corporate transactions, including proxy contests, consent solicitations, tender offers, going-private transactions, spin-offs, joint ventures, corporate reorganizations, and service agreements.

Prior to joining Polsinelli, Eric was an extern in the SEC’s Division of Corporation Finance and practiced for five years in the Washington, D.C. office of a Wall Street law firm.

  • Represented a NASDAQ-listed client of Polsinelli, as lead counsel to the issuer, in its $250 million Rule 144A/Reg. S offering of second-lien senior secured notes with registration rights and related guarantees from the issuer’s subsidiaries.
  • Represented a NASDAQ-listed client of Polsinelli, as lead counsel to the issuer, in the completed registered public offering to its common stock holders of subscription rights to purchase units consisting of Series A convertible preferred stock and common stock purchase warrants, and the subsequent issuance of subscribed securities.
  • Represented an industrial company in its initial public offering of $165 million of common stock and listing on NASDAQ.
  • Represented an NYSE-listed company in its $480 million acquisition of operational assets and regional customer segment from another NYSE-listed company.
  • Represented a foreign private issuer in its $443 million cross-border initial public offering of units and dual listing on the NYSE and a foreign stock exchange.
  • Represented an NYSE-listed company in its $150 million Rule 144A offering of convertible senior notes and the related NYSE supplemental listing of additional shares of common stock.
  • Represented an NYSE-listed company in its $48 million public offering of common stock.
  • Represented a NASDAQ-listed company in its $73 million public offering of common stock.
  • Acted as special corporate counsel to a domestic NYSE-listed company in its $21.6 billion sale of a controlling interest to a leading overseas telecommunications company.
  • Represented a NASDAQ-listed company in its $92 million public offering of common stock and its Rule 144A/Regulation S offering of $80 million of debt securities.
  • Represented an NYSE-listed company in consent solicitations relating to secured notes issued by its subsidiaries and amendments to the indentures governing the secured notes.
  • Represented a privately held financial services company in its acquisition of the convertible preferred stock of an NYSE-listed financial services firm.
  • Represented an NYSE-listed company in its reverse merger acquisition of a privately held mobile software application developer and advertising company.
  • Represented an NYSE-listed company in the spin-off to its shareholders of a special dividend of its subsidiary’s capital stock under Rule 144A.
  • Represented a NASDAQ-listed company in its continuous shelf offering of common stock relating to its outstanding warrants listed on NASDAQ and its secondary offering of warrants and options issued as underwriter compensation.
  • Acted as special corporate counsel to an NYSE-listed company in its merger with a NASDAQ-listed company and the related filing of a registration statement and proxy statement for common stock issued as merger consideration.
  • Represented a NASDAQ-listed company in its stock acquisitions of two privately held companies in exchange for cash and common stock.
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July 24, 2013
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Overview of the IPO Process, Public Company Disclosure and Ongoing Reporting Obligations
Co-presented at the 2012 Polsinelli Shughart Business Law Institute
June 2012
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The JOBS Act: Emerging Growth Companies
Polsinelli Shughart Corporate Finance and Securities E-alert
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May 2012
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