• Share
  • Email
  • Print

Mark R. Busch

Partner
+1.704.331.7440
Fax +1.704.353.3140
Mr. Busch is a partner in the Charlotte office and focuses his practice on corporate finance, securities, executive compensation, mergers and acquisitions, and corporate law. He regularly advises clients on securities and corporate governance matters including public and private securities offerings, reporting requirements under the Securities Exchange Act of 1934 and compliance with stock exchange rules and the Sarbanes-Oxley Act. Mr. Busch typically acts as principal outside counsel to his clients, assisting them across a broad spectrum of their legal needs, ranging from public and private securities offerings, advising boards of directors of public and private companies, executive compensation matters, the purchase or sale of public and private companies, recapitalizations, joint ventures and general corporate and contract matters. The industries involved in these matters and transactions have varied widely, including energy, life sciences, technology, telecommunications, software, financial services, and manufacturing.

Professional/Civic Activities

  • North Carolina Bar Association, Business Law Section, Securities Regulation Committee
  • The Entrepreneurship Institute, Charlotte Chapter, Member, Board of Advisors

Speaking Engagements

  • “Securities Law Update and Corporate Governance,” K&L Gates and North Carolina Subchapter of the southeastern Chapter of the Society of Corporate Secretaries and Governance Professionals, “Back to Basics” Presenter, May 2016
  • K&L Gates “Under the Wire” CLE Seminar, “Considering Confidentiality: the SEC’s KBR Order Intensifies Complex Company Communications with Secret Keepers and Whistleblowers,” Panelist, February 2016
  • The Presidents’ Forum of Charlotte, “Capital Attraction: Getting it. Keeping it. Leveraging it.,” panel moderator 2015
  • The President’s Forum of Charlotte, “Top Questions Business Owners Should Ask Their Legal and Tax Advisors” Session Moderator, December 2011,2013, and 2014
  • “Annual Shareholder Meetings (for Public and Private Corporations),” Presenter, January 2011 and 2013
  • The President's Forum of Charlotte, "Financing Issues - Navigating the Current Environment" Session Panelist, December 2012
  • The President’s Forum of Charlotte, “Top Questions Business Owners Should Ask Their Legal and Tax Advisors” Session Moderator, December 2010
  • “New Proxy Rules for 2010: What You Need to Know to be Ready,” Audio Conference co-hosted with Douglas Ellis, February 2010  
  • Represented technology company in connection with its initial public offering and listing on Nasdaq
  • Represented molecular diagnostics company listed on NASDAQ in connection with $175 million underwritten public offering of common stock
  • Represented energy company listed on NYSE MKT in connection with several public and private offerings of shares of common stock, convertible preferred stock, warrants and convertible notes
  • Represented bio technology company in connection with underwritten public offering and NASDAQ uplisting
  • Represented energy company in connection with cross-border joint development and licensing transaction
  • Represented drug development company listed on NASDAQ in connection with several registered direct offerings of preferred stock, common stock and warrants
  • Represented biotechnology company in connection with $32 million recapitalization transaction and $15 million PIPE financing
  • Represented U.S.-based service company in connection with acquisition of UK and EU-based companies
  • Represented drug development company in a reverse takeover transaction with a NASDAQ-listed public company