​Led by the industry’s foremost expert Dave Hartie, our 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, we offer advisory services, administration services and court testimony.

Advisory Services

Our experts have pioneered innovative securities solutions in some of the nation’s largest bankruptcies including Cobalt International Energy, Inc., A.M. Castle & Co., Goodman Networks Inc., Peabody Energy Corporation and City of Detroit. Our advisory services provide you 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 you with identifying, planning for and navigating through any administrative challenge involving publicly held securities in a corporate restructuring.

Administration Services

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    Pre-Packaged Plan Voting

    We develop and effect solicitation and voting procedures and conducts balloting specifically geared toward public securities holders on a plan prior to the company filing for chapter 11.

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    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.

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    Noticing

    In conjunction with first-day noticing and throughout the case, we provide notices to public-securities holders on key events and developments.

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    Solicitation and 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.

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    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 KCC’s professionals offer unparalleled service when international securities are involved in a case.

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    Rights Offerings, Exchange Offers and 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.

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    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.

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    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.