Attorney Profile

Richard  Baumann
Practice Areas:

Tel: (212) 370-1300/(646) 895-7112
Fax: (212) 370-7889


Richard Baumann

Richard Baumann, a member of the Firm, is a seasoned corporate and securities attorney who represents underwriting and placing banks, securities issuers, shareholders and others in equity and debt capital markets transactions. He also regularly advises on other complex securities, corporate governance, general corporate and corporate finance matters, often on a cross-border basis.

For 20 years, Mr. Baumann has represented global and regional investment banks and securities issuers in equity IPOs, high-yield and investment-grade debt offerings, and other substantial capital markets transactions. For many of those years, Mr. Baumann was based in London, and advised on cross-border transactions originating throughout Europe and in India, China and Africa.

Mr. Baumann’s transactions have involved listings on most of the world’s leading stock exchanges, including the New York Stock Exchange, NASDAQ, the London Stock Exchange (Main Market and AIM), and exchanges in Mumbai, Hong Kong, Frankfurt, Luxembourg and Lima, among others. He has also advised on a substantial number of Rule 144A/Regulation S offerings. Mr. Baumann also counsels clients on secondary market securities transactions, the ongoing public reporting requirements of issuers and shareholders, contested and uncontested proxy and consent solicitation matters, investment company matters, corporate governance requirements, merger and acquisition transactions and other public- and private-company corporate and securities-related issues.

Mr. Baumann practiced for many years at Davis Polk & Wardwell in New York and London. While in London, he was also a partner at Norton Rose (now Norton Rose Fulbright), where he helped establish that firm’s cross-border US securities practice, and a partner at Dorsey & Whitney, where he helped establish that firm’s international securities practice as a market leader in India. Prior to joining the Firm, he was a partner at Morrison Cohen LLP in New York.

Mr. Baumann has a bachelor’s degree from Princeton University’s Woodrow Wilson School of Public & International Affairs and earned his J.D. at NYU Law School.

Rich’s representative transactions include:

• Privatization of the National Power Grid of India (Deal of the Year award, India Business Law Journal).

• SEC-registered IPO and NYSE listing of Horizon Technology Finance Corp., a business development company (representing the selling shareholder).

• Comprehensive securities law advice for US public companies (including rights, At-the-Market and preferred share offerings, shelf takedowns and multiple successful proxy contest defenses).

• Partial exit of Citi Venture Capital International from Pesquera Exalmar S.A. as part of that company’s international IPO (nominee, Corporate Finance Deal of the Year, LatinLawyer).

• First successful international Offer for Sale (a new form of offering under India’s securities laws) by the Government of India, selling $1.1 billion of its shares in NMDC, Ltd., the Indian mining company.

• International IPO and Hong Kong Stock Exchange listing of Computime (Best Small-Cap Equity Deal of the Year, FinanceAsia).

• Multiple high-yield debt offerings representing Goldman Sachs.

• International IPO and London Stock Exchange listing of easyJet plc (European Corporate Finance Deal of the Year, Airfinance/Euromoney) and follow-on offerings.