Securities Regulation & Corporate Governance Expertise
Amy has experience counseling large and small cap companies on:
- Compliance with NYSE and NASDAQ requirements
- Disclosure requirements under the Securities Exchange Act (Forms 10-K, 8-K and 11-K and Section 16 reports)
- Proxy statements, annual reports to shareholders, and corporate and securities laws relating to annual shareholder meetings
- Implementing and administering equity and deferred compensation plans, including plan design and drafting, securities law compliance and drafting forms of award agreements
- SEC registration statements and prospectus requirements
- Insider trading laws, Rule 10b-5, Rule 10b5-1, Regulation FD and implementing corporate securities and insider trading policies
In her role at UnitedHealth Group, Amy provided support for the activities of the board of directors and its standing committees, including advice regarding corporate governance matters, preparation of governance reports and other meeting materials, and drafting of meeting minutes.
While with UnitedHealth Group, Amy served as general counsel and secretary to the United Health Foundation and the UnitedHealthcare Children’s Foundation. She also provided legal support to UnitedHealth Group’s Office of Social Responsibility on philanthropic giving and other initiatives. Amy advised on governance and nonprofit compliance, oversaw charter documents and policies, and counseled on grant and vendor agreements. She also supported board activities, prepared meeting materials and drafted meeting minutes.