Public Securities

Our Expertise Makes the Difference

Led by the industry’s foremost experts, KCC Securities team offers professionals clear insight about complex public securities matters and an unmatched commitment to quality and service. 

For companies undergoing Chapter 11 restructurings that involve publicly-traded securities, KCC offers:


Advisory Services:

Our experts have pioneered innovative securities solutions in some of the nation’s largest bankruptcies including Eastman Kodak, Inc., Washington Mutual, Inc., and Ambac Financial Group, Inc. Our advisory services provide clients with the proper administrative and procedural framework from the outset of the case to ensure a successful outcome. With an in-depth understanding of both domestic and international financial institutions and established procedures, our experts assist professionals to identify, plan for and navigate through any administrative challenge involving publicly held securities in a corporate restructuring.


Administration Services:

  • Pre-Packaged Plan Voting: KCC develops and effects solicitation and voting procedures and conducts balloting specifically geared toward public securities holders on a Plan prior to the company filing for Chapter 11.
  • Pre-Filing Preparation: We research the debtor’s holdings and oversee the complex process of identifying the involved U.S. and/or international securities and their related components.
  • Noticing: In conjunction with first-day noticing and throughout the case, we provide notices to public-securities holders on key events and developments.
  • Solicitation & Balloting: With expertise in Street Name registration and various voting practices, we administer the solicitation and balloting of public-securities holders when voting on a Plan of Reorganization, Competing Plans, or Pre-Packaged Plans as well as when Plans call for Special Treatment Elections or Convenience Class Elections.
  • International Securities: Our close working relationship with the non-U.S. Depositories, and our breadth of knowledge in the markets in which they operate, ensure that our professionals offer unparalleled service when international securities are involved in a case.
  • Rights Offerings, Exchange Offers & Consents: As an approved agent with DTC’s Automated Tender Offer Program (ATOP) and Automated Subscription Offer Program (ASOP), we serve as agent for consents, tender/exchange offers and rights offerings.
  • Roll-Up Note Offers: We offer guidance in creating and setting up the appropriate mechanics to ensure the roll-up transaction is completed efficiently and timely.
  • Distributions: Whether the new securities being issued can or cannot be held through DTC and non-U.S. Depositories, we coordinate with the Transfer Agent, Indenture Trustees, Depositories, and financial advisors to ensure the process runs smoothly.


Court Testimony

Our team members provide expert testimony to verify the effectiveness of the administrative, noticing, and voting strategies implemented in the Chapter 11 case.

Our Professionals

KCC’s in-house experts remain at the forefront of the latest trends and developments within the corporate restructuring industry.

David Hartie

Managing Director, Public Securities Services


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Peter J. Walsh

Senior Managing Consultant, Public Securities Services


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What We Do

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