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De-Mystifying DTC for Restructuring Professionals


This is a virtual event, accessible online and over the phone. Access instructions will be provided after registration.


This is a complimentary program sponsored by Epiq.

Companies considering or facing a possible corporate restructuring, and their counsel, should understand the realities of The Depository Trust Company, the U.S. securities depository that holds all securities in “Street” name, and related process considerations.

These process considerations will have an impact on voting, election, and distribution. The object of this panel is to de-mystify certain essential elements of the restructuring process.

During this 60-minute program, panelists will discuss:

• Technical and procedural considerations related to bondholder events, including plan votes, treatment elections, and distributions
• Statutory mechanisms relating to the markets, especially FINRA, the regulatory authority governing most bond issues 
• The most important things DTC wants you to know
• What processing pain-points you can easily avoid

Educational Objectives:

• Understanding of a broad range of technical points that will have an impact on most restructurings
• Insight into timely, clear, and effective communications with DTC and FINRA
• Knowledge regarding the mechanics of Chapter 11 and corporate restructurings

Who would benefit most from attending this program?

Law Firm:Attorney/Counsel, General Counsel, Managing Partner, Of Counsel, Partner
Corporation: Attorney/Counsel, General Counsel
Accounting Firm: Attorney/Counsel, General Counsel


Moderator: Samantha Green
  • Manager of Thought Leadership
  • Epiq

Samantha Green is a subject matter expert on all aspects of electronic discovery and data privacy law, drawing on her more than 15 years of litigation and consulting experience. She has published numerous articles and white papers, and has authored chapters for ABA, Inside Counsel, and West publications. She has spoken all over the country and provided over a hundred CLEs on topics relating to e-discovery, litigation readiness, international data privacy, and case law. Samantha has an in-depth understanding of electronic discovery and data privacy. She has drafted electronic discovery response plans, litigation readiness protocols, and best practices for both law firm and corporate clients, and formulated workflow solutions for a wide range of large and complex discovery matters. As a litigator, she has taken a number of cases from pre-discovery through trial, and has handled a broad spectrum of cases, from government investigations (including FCPA and SEC matters) to HSR second requests and commercial litigation matters.

Jane Sullivan
  • Executive Vice President, Corporate Restructuring
  • Epiq

As Executive Vice President of Epiq Corporate Restructuring, Jane is involved in a host of client assignments. She has specialized in bankruptcy balloting and other restructuring assignments for over 25 years, and continues to be instrumental in developing and implementing the solicitation procedures utilized in cases with public securities and special balloting and distribution needs. Jane has handled hundreds of bankruptcy solicitations, many of which have involved a large number of securities – including Lehman, CIT, and many others. She is also instrumental in facilitating plan distributions, treatment elections, as well as tender and exchange offers via The Depository Trust Company (DTC) Automated Tender Offer Program (ATOP). Her approach includes determining the requirements of the issuer’s transaction, as well as an in-depth understanding of DTC’s procedures and bank and broker back-office mechanics. Her goal is to craft procedures and supporting documents that are workable both for the requirements of the transaction and the parties who will be processing them.

Patricia Casimates
  • Vice President of Marketing Operations

Patricia Casimates is the Vice President of Market Operations for FINRA Transparency Services. Her responsibilities include FINRA’s TRACE, Alternative Display Facility (ADF), and the OTC trade reporting facility. In addition, she also manages OTC corporate action and dividend announcements. Prior to Market Operations, Casimates was Deputy Director, in FINRA’s Market Regulation Department, overseeing surveillance for trade reporting, order handling, best execution, FIPS (Fixed Income Pricing System) as well as the real-time surveillance area, handling backing away complaints, and locked/crossed market issues. Additionally, she worked in FINRA’s Enforcement Department.

Bill Simunek
  • Director, Global Operations & Client Services
  • DTCC

Bill Simunek started in the industry with Merrill Lynch in the mid 1980s and was hired by DTC in 1988, where he held several positions in the P&I (Income) processing group in both internal and customer facing roles. He played a major role in a variety of projects, including: the move to Same-Day-Funds-Settlement, Y2K planning and implementation and the initial phases of Paperless Redemptions. From 2005 to-date, Bill transitioned to Corporate Actions and, as a Director, has overseen the announcement and processing of voluntary and mandatory corporate action events. With a client-centric mindset, and placing risk mitigation in the forefront, Bill’s efforts continue to focus on efficiently expanding DTC’s ability to process the non-standard corporate action events that continue to be presented for processing through DTC for the industry. As part of that effort, Bill has been chairing the Asset Services Advisory Board (ASAB) since 2013.

Continuing Education

1.0 General COA, 1.0 CLE
Practice Areas:
Working knowledge of corporate restructuring, securities, and bankruptcy issues
Production Date: