M. Ridgway Barker

Partner

  • Education: Yale University, B.A. • Boston University School of Law, J.D.
  • Admitted: State of PA, 1980 • State of CT, 1985
  • Year joined: 2015
  • Year became partner: 2015

Overview

Ridge focuses on corporate finance and securities law, advising on capital market matters, corporate governance, asset securitizations, debt financing, venture capital transactions, among other areas. He acts as the trusted advisor for small to medium-sized public and private companies across a whole range of their legal needs. In addition to routine day-to-day legal matters, he regularly represents clients on matters relating to public, private and semi-public equity and debt financing mechanisms; and domestic and international, both public and private. His clients span industries ranging from telecommunications and manufacturing to chemical and retail.

Ridge has broad experience in a variety of legal as well as financial, accounting and supervisory roles involving corporate finance, corporate and strategic transactions and development activities, executive compensation, operations and corporate governance.

Ridge's transactional work ranges from opportunity creation, investigation and development through structuring, analysis, negotiation, problem solving, closing and post-transaction implementation. He has used total quality concepts to maximize transaction values and minimize transaction costs.

Specific types of matters in which Mr. Barker has represented clients include: underwritten public and Rule 144A offerings for emerging companies, joint ventures and established companies; stock and asset acquisitions and divestitures; formation of corporations, partnerships and other entities, including broker-dealers and venture capital and investment funds; computer development and supply contracts; equity investments, restructurings, bridge loans and other transactions involving portfolio and other companies; analysis of “repo,” satellite transponder leases, television programming and other complex financial transactions; debt and equity recapitalizations and debt financings for borrowers; worldwide tax and legal restructurings and contract manufacturing programs of multinational corporations; cable television programming contracts; adoption of the first poison pill by a Connecticut bank; and internal corporate investigations.

Publications and speaking engagements

Articles

  • "Securities Law Disclosure Checklist for Alleged (or Confirmed) Misconduct," Corporate Counsel, April 2017.
  • "Implications of the SEC's Universal Proxy Card Rule," Today's General Counsel Feb/Mar 2017.
  • "Lessons Learned from a Highly Successful Proxy Contest Defense," Harvard Law School Forum on Corporate Governance and Financial Regulation, December 18, 2015.
  • “Compliance and Policies in Light of Dodd-Frank,” Aspatore Books’ Inside the Minds: SEC Compliance Best Practices, June 2012.
  • “The Board’s Evolving Role in Corporate Compliance,” Corporate Compliance Insights, April 25. 2012, co-author.
  • “Chinese Reverse Merger Cos. Must Audit By The Rules,” Law360, May 13, 2011, co-author.
  • “Analysis: Huawei Divests Assets and Foregoes 3Leaf Systems Acquisition Based on CFIUS Review,” Thomson Reuters Complinet, May 3, 2011, co-author.
  • “SPACs and NASDAQ Get a Boost from the SEC,” The M&A Journal, March 25, 2011, co-author.
  • “NASDAQ Could Bring Back the SPAC,” SNL Financial, March 2, 2011, co-author.
  • “Financial and Economic Crisis - Law Firms: Liquidity Issues for Plan Fiduciaries Relating to Securities Lending or Stable Value Funds,” The Metropolitan Corporate Counsel, July 2009, co-author.
  • “Exchanges For Listing SPACs – A Shifting Landscape,” The M&A Journal, January 23, 2009, co-author.
  • “Exchanges For Listing SPACs – A Shifting Landscape,” The Metropolitan Corporate Counsel, January 2009, co-author.
  • “PLC - Recent Delaware Decisions Affecting Advanced Notice By-laws,” Practical Law Company (PLC), December 4, 2008, co-author.
  • “SPACs and How They Grew,” The M&A Journal, October 29, 2008.
  • “Recent Delaware Decisions Affecting Advanced Notice By-laws,” The Metropolitan Corporate Counsel, July 2008.
  • “SPACs – Continuing to Grow and Evolve,” The Metropolitan Corporate Counsel, June 2007, co-author.
  • “Pink Sheets–Part II,” The Metropolitan Corporate Counsel, April 2007, co-author.
  • “Pink Sheets–Part I,” The Metropolitan Corporate Counsel, March 2007, co-author.
  • “An Overview of the NYSE Arca,” The Metropolitan Corporate Counsel, February 2007, co-author.
  • “SPACs: A Focus on China,” The Metropolitan Corporate Counsel, December 2006, co-author.
  • “Special Purpose Acquisition Corporations: Specs to Consider When Structuring Your SPAC– Part II,” The Metropolitan Corporate Counsel, September 2006, co-author.
  • “Special Purpose Acquisition Corporations: Specs to Consider When Structuring Your SPAC– Part I,” The Metropolitan Corporate Counsel, August 2006, co-author.
  • “The Impact of Sarbanes-Oxley on Not-For-Profit Companies – Part II,” The Metropolitan Corporate Counsel, March 2006, co-author.
  • “The Impact of Sarbanes-Oxley on Not-For-Profit Companies – Part I,” The Metropolitan Corporate Counsel, February 2006, co-author.
  • “US Corporate Governance and Foreign Private Issuers: the Sarbanes-Oxley Act of 2002 and Beyond,” Financier Worldwide, December 2005, co-author.
  • “U.S. Securities Issues in Spin-Offs and Subsidiary IPOs - Part II,” The Metropolitan Corporate Counsel, December 2005, co-author.
  • “U.S. Securities Issues in Spin-Offs and Subsidiary IPOs - Part I,” The Metropolitan Corporate Counsel, November 2005, co-author.
  • “Prepare to Launch: The IPO Market has Returned,” The Metropolitan Corporate Counsel, March 2005, co-author.
  • “US Securities Issues in Spin-offs and Subsidiary IPOs,” Executive Carve Outs and Spin-offs Review 2004, A Financier Worldwide Supplement, co-author.
  • “Ineffective Internal Controls: Issues That Public Companies May Face After Receiving a Negative Report – Part II,” The Metropolitan Corporate Counsel, November 2004, co-author.
  • “Ineffective Internal Controls: Issues That Public Companies May Face After Receiving a Negative Report – Part I,” The Metropolitan Corporate Counsel, October 2004, co-author.
  • “New Form 8-K Disclosures and Filing Deadlines: A Practical Guide – Part II,” The Metropolitan Corporate Counsel, June 2004, co-author.
  • “New Form 8-K Disclosures and Filing Deadlines: A Practical Guide – Part I,” The Metropolitan Corporate Counsel, May 2004, co-author.
  • “The SEC’s Recent Interpretative Guidance as to MD&A Disclosure: Practical Advice for Companies,” The Metropolitan Corporate Counsel, April 2004, co-author.
  • “The Schering-Plough Action and Regulation FD:  The SEC Ratchets Up the Cost of Noncompliance,” The Metropolitan Corporate Counsel, December 2003, co-author.
  • “Guidelines For Companies Considering Delisting,” The Metropolitan Corporate Counsel, November 2003, co-author.
  • “Application To Foreign Private Issuers Of Sarbanes Audit Committee Listing Standards,” The Metropolitan Corporate Counsel, June 2003, co-author.
  • “Recent Corporate Reforms Applicable to Foreign Issuers,” The Metropolitan Corporate Counsel, June 2003, co-author.
  • “SEC Adopts New Rules Regarding Non-GAAP Financial Measures and Earnings Releases,” The Metropolitan Corporate Counsel, April 2003, co-author.
  • “Regulation FD: The SEC Takes Action,” The Metropolitan Corporate Counsel, February 2003, co-author.
  • “The Sarbanes-Oxley Act Writes A New Chapter in Executive Compensation Arrangements – Part II,” The Metropolitan Corporate Counsel, December 2002, co-author.
  • “The Sarbanes-Oxley Act Writes A New Chapter in Executive Compensation Arrangements – Part I,” The Metropolitan Corporate Counsel, November 2002, co-author.
  • “Changing Roles For The Corporate Audit Committee,” The Metropolitan Corporate Counsel, August 2002, co-author.
  • “Be Prepared, The IPO Market Will Return,” The Metropolitan Corporate Counsel, March 2002, co-author.
  • “SEC Enforcement For Financial Misstatements:  Tougher Stance Against Responsible Individuals, Gentler Approach for Cooperating Corporations,” The Metropolitan Corporate Counsel, January 2002, co-author.
  • “Regulation FD One Year Later:  A Battle is Still Being Waged,” The Metropolitan Corporate Counsel, November 2001, co-author.
  • “Guidelines for Companies Considering Voluntarily Delisting From NASDAQ,” The Metropolitan Corporate Counsel, September 2001, co-author.
  • “Integration of Abandoned Offerings:  The New Safe Harbor,” The Metropolitan Corporate Counsel, May 2001, co-author.
  • “Electronic Voting is Finally Gaining Ground,” The Metropolitan Corporate Counsel, January 2001, co-author.
  • “The SEC Adopts Its First Insider Trading Rules,” The Metropolitan Corporate Counsel, December 2000, co-author.
  • “Regulation FD,” The Metropolitan Corporate Counsel, September 2000, co-author.
  • The Encyclopedia of Venture Capital, contributing editor.

Presentations

  • “Recent Developments at the New SEC,” Don’t Get Burned Proxy Seminar, New York, NY, June 17, 2009.
  • “Understanding the Listing Options: OTC, AIM, Amex, NYSE, Euronext, & NASDAQ,” DealFlow Media’s The SPAC Conference, New York, NY, June 4, 2008.
  • Belmont Partner’s 2nd Annual Alternative Public Strategies Conference, New York, NY, May 8, 2008.
  • “SPACs,” Belmont Partners Alternative Public Strategies Conference, Washington, DC, June 1, 2007.
  • “Hot Securities Law Issues for Small Businesses,” ABA Section of Business Law Spring Meeting, Washington, DC, February 1, 2007, panelist.
  • “Real Time Disclosure: New Form 8-K Requirements,” Westchester/Fairfield Chapter of the American Corporate Counsel Association, September 2004.
  • “Guidelines for Companies Considering Delisting,” online interview posted in March 2004 at www.thecorporatecounsel.net.
  • “Risk Management for the 21st Century; Issues for the Executive Suite,” UBS PaineWebber:  CEO/CFO Symposium, April 2003.
  • “Equity Compensation,” American Society of Corporate Secretaries, December 2002.
  • “Doing the Boardwalk,” Potomac Officers Club, March 2002.
  • “Employer Securities in Executive Compensation,” Westchester/Fairfield Chapter of the American Corporate Counsel Association, October 2002.

 

You are now leaving Withersworldwide and visiting Withers Consulting Group (WCG) website. Please note WCG does not offer legal services and is therefore not regulated by the Solicitors Regulation Authority or other regulating body. WCG works independently of Withersworldwide. For further information please see WCG's +Regulatory Notice +