Morris Manning & Martin, LLP

Owen Pinkerton

Owen J. Pinkerton

Partner
Phone: 202.216.4812
Fax: 202.408.5146
[email protected]
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Owen Pinkerton leads the firm’s Registered Funds practice and is a Partner in the Investment Funds, Corporate, Securities, and Real Estate Capital Markets practices. Mr. Pinkerton counsels public and private issuers and underwriters on regulatory and transactional matters, such as public and private offerings, and ongoing regulatory compliance with the federal securities laws. In particular, he frequently advises business development companies (BDCs), registered closed-end funds and interval funds.

Mr. Pinkerton provides ongoing regulatory advice to his clients regarding general corporate governance matters, including preparing and reviewing periodic reports under the Securities Exchange Act of 1934 and the Investment Company Act of 1940, and disclosure issues under the federal securities laws. His counsel extends to issues arising under state "Blue Sky" laws and processes and FINRA regulation of public offerings and marketing efforts.

Prior to joining Morris, Manning & Martin, Mr. Pinkerton practiced at another AmLaw 200 firm where he focused on BDCs and public commodity pools. Previously, Mr. Pinkerton was employed by the SEC as an attorney-adviser and senior counsel within the SEC’s Division of Corporation Finance. In this capacity, he served as a reviewer of 1933 Act and 1934 Act registration statements, periodic reports, and proxy statements filed by REITs, business services companies and commodity pools. Previously, Mr. Pinkerton worked at the U.S. Commodity Futures Trading Commission in the Division of Trading and Markets and for the U.S. House of Representatives.

Representative Experience

Issuer’s and underwriters’ counsel for various initial public offerings and follow-on offerings; including the following:

  • Issuer’s and underwriters’ counsel to Stira Alcentra Global Credit Fund, a registered closed-end fund, in connection with its initial public offering.
  • Issuer’s counsel to Flat Rock Opportunity Fund, an interval fund, in connection with its initial public offering.
  • Counsel to Parkview Capital Credit, Inc., a private BDC, in connection with its private offering of shares.
  • Counsel to Flat Rock Capital Corp., a private BDC, in connection with its private offering of shares.
  • Underwriters’ and Blue Sky counsel to NexPoint Capital, Inc., a BDC, in connection with its initial public offering.
  • Issuer’s and underwriters’ counsel to NexPoint Real Estate Strategies Fund, an interval fund, in connection with its initial public offering.
  • Issuer’s, Underwriters’ and Blue Sky counsel to First Capital Investment Corporation, a BDC, in connection with its initial public offering.
  • Issuer’s and underwriters’ counsel for various initial public offerings and follow-on offerings conducted by listed BDCs.

Accolades

  • Member, Institute for Portfolio Alternatives (IPA) and former co-chair of BDC Committee

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