Overview
Stephanie Swan is a senior paralegal in the Corporate Department. She has more than 18 years of public company experience, having spent the majority of her career at a publicly traded bank holding company. She has experience with the preparation and filing of Exchange Act reports, as well as compliance with the rules and requirements of the national securities exchanges.
- Completes Section 16 filings and ensures related compliance by insiders
- Drafts Current Reports on Form 8-K, Schedule 13D/G, and Schedule 14A
- Researches U.S. Securities and Exchange Commission (SEC) rules and regulations and rule checks SEC reports on Form 8-K, Forms 10-K and 10-Q, Schedule 14A, and Registration Statements on Forms S-1, S-4, and S-8
- Completes notice filings with NYSE, NASDAQ, and OTC
- Completes Regulation D filings for sales of unregistered securities
- Researches corporate rules and regulations and completes corporate filings in multiple states
Services
Practice Areas
Experience
Representative Matters
- Served as the Director of Shareholder Services for Capitol Bancorp Ltd. where she was responsible for public company reporting and compliance, as well as the shareholder services functions for Capitol and its affiliate banks
- Provided shareholder support to both public and nonpublic security holders, as well as transfer agent services to more than 25 affiliated entities, including the preparation of shareholder meeting materials and oversight of the proxy solicitation and annual meeting process
Prior Experience
- Capitol Bancorp Ltd. - Shareholder Services, Director, 1995-2013
Credentials
Education
Central Michigan University, B.S.
- Administration