Amy Batten has over 25 years of experience in counseling public and private companies on complex securities laws and co-leads Smith Anderson’s Corporate and Transactional team. She works closely with executives and boards of directors, assisting with day-to-day compliance and advising on strategic corporate and capital raising transactions. Amy has advised many of the region’s largest and growing public companies and previously spent time in house with IBM Corporation.
Amy has served as primary outside counsel for issuers conducting primary offerings and facilitating secondary offerings from private equity sponsor shareholders in a wide variety of offering structures, including, among others, initial public offerings, fully marketed underwritten offerings, confidentially marketed shelf takedowns, bought deals, PIPEs and registered and private notes offerings.
In addition to providing securities advice, Amy regularly counsels public companies on governance structuring and best practices, conducts board and committee self-assessments and general corporate matters, and has substantial experience with mergers, acquisitions and other core corporate transactions.
Amy serves as Chair of the firm's Management Committee.
Areas of Focus
- Chambers USA: America's Leading Business Lawyers, Corporate/M&A (2015-2018; one of only two women in North Carolina)
- North Carolina Lawyers Weekly "Leaders in the Law" (2023)
Securities/Capital Markets Law (2009-2024)
Corporate Law (2019-2024)
Corporate Governance (2023-2024)
- Securities Regulation (2024)
Best Lawyers®, "Lawyer of the Year," Raleigh, Corporate Governance Law (2022)
- Triangle Business Journal, Women in Business Award Winner (2022)
- Governing for Nonprofit Excellence, Harvard Business School Executive Education Program (2019)
- Martindale-Hubbell AV Preeminent Rated
- Duke University, J.D., with honors, 1992
- University of Pennsylvania, The Wharton School of Business, B.S., cum laude, 1989
Bar & Court Admissions
- North Carolina
- North Carolina Bar Association
- Wake County Bar Association
- Ravenscroft School
- Co-Chair, Head of School Search Committee (2023)
- Chair, Board of Trustees (2020-2023)
- Member, Board of Trustees (2015-2020)
- Chair, Committee on Trustees (2016-2019)
- Co-Chair, Smith Anderson Corporate and Transactional Group
- Chair, Smith Anderson Management Committee
- Co-Chair, Smith Anderson Lawyer Development Committee
- Former Co-Chair, Smith Anderson Recruiting Committee
- Board of Directors, Carolina Ballet, 2001-2004
- Represented a leading genome editing company dedicated to improving life in its $145.4 million initial public offering of 9,085,000 shares of common stock at a public offering price of $16.00 per share.
- Advised a Nasdaq-listed pharmaceutical development company in the acquisition of a specialty dermatology company for up to $51 million in up-front and contingent consideration.
- Advised an investment banking firm and broker-dealer specializing in the financial services sector, as lead underwriter, in connection with a $20 million public offering of a community bank common stock.
- Advised a multinational Fortune 500 provider of product development and integrated healthcare services in its merger with a NYSE-listed global information and technology services company, creating a leading information and tech-enabled healthcare service provider. The equity market capitalization of the joined companies was more than $17.6 billion at closing.
- Advised a leading worldwide interactive entertainment and gaming company in a $1.25 billion strategic investment by leaders in the technology, financial, sports and entertainment communities.
- Represented a global provider of biopharmaceutical development services and commercial outsourcing services in its $1.1 billion initial public offering and listing on the New York Stock Exchange, as well as subsequent secondary offerings totaling proceeds of approximately $3 billion to selling shareholders.
- Represented a Nasdaq-listed pharmaceutical development company in a $38 million public offering of common stock
- Advised a leading timberland REIT in connection with its $207 million public offering.
- Represented a global biopharmaceutical services company with its $525 million offering of senior notes and a related holding company reorganization and spinoff of a subsidiary to its shareholders.
- Represented a global biopharmaceutical services company in connection with a tender offer for its outstanding $525 million senior notes.
- Represented a global solid state LED lighting and semiconductor manufacturing company in connection with its announced agreement for its $850 million sale of assets to a publicly traded German semiconductor company. The transaction was terminated before completion due to regulatory considerations.
- Represented a global biopharmaceutical services company in connection with a private equity transaction that reconstituted the company's ownership and provided liquidity to its existing security holders.
- Represented global solid state LED lighting and semiconductor manufacturing company in $434 million public offering of common stock.
- Advised a publicly traded supplier of water and water dispensers in an agreement to acquire by merger a publicly traded competitor for $263 million in cash and stock.
- Represented a multinational manufacturer and supplier to the papermaking industry in connection with a private placement of $240 million of senior notes and subsequent exchange offer for registered notes.
- Advised a semiconductor and LED company on the divestiture of its lighting products business unit for an initial cash payment of $225 million plus the potential to receive an earn-out payment based on the business’s post-closing performance.
- Represented the largest electric utility in the United States in tender offer for outstanding contingent value rights
- Represented major convenience store chain in connection with a tender offer and consent solicitation with respect to outstanding senior secured notes.
- Represented multiple public companies in regular 1934 Act compliance, securities filings and corporate governance matters.
- Speaking EngagementPanelist, "Charting Your Journey: Purposefully Navigating Careers, Transitions, and Partnerships," NC Chamber's Women Lead NC Conference, Raleigh, N.C.
- NewsSmith Anderson Achieves All Time Highs for Attorneys Recognized by Best Lawyers® in Three Categories
- RecognitionNorth Carolina Lawyers Weekly Names Smith Anderson attorney Amy Batten a “Leader in the Law”
- Smith Anderson Achieves All Time Highs for Attorneys Recognized by Best Lawyers® in Three CategoriesBest Lawyers®News
- North Carolina Lawyers WeeklyRecognition
- The News and ObserverQuoted
- Best Lawyers® and Best Lawyers: Ones to Watch Recognizes 98 Smith Anderson Attorneys in Latest PublicationBest Lawyers®Recognition
- Dynamic and Outstanding - Triangle Business Journal Honors Amy Batten with “Women in Business” AwardTriangle Business Journal
- Hitting a New Milestone - 100 Members of Smith Anderson’s Legal Team Recognized by Best Lawyers® and Best Lawyers: Ones to WatchBest Lawyers
- 2021 Best Lawyers® and The Best Lawyers: Ones to Watch Recognize Largest Group of Smith Anderson Lawyers in Firm’s HistoryThe 2021 Best Lawyers®
- Smith Anderson Leads “Best Lawyers®” Rankings with 71 Recognized Lawyers and 11 “Lawyers of the Year” - Most of Any Raleigh Law FirmThe Best Lawyers in America©
- The Best Lawyers in America©
- Chambers USAAlert
- The Best Lawyers in America©
- Chambers USAAlert
- 2017 The Best Lawyers in America® Guide Recognizes 62 Smith Anderson Lawyers – Most in the Firm’s HistoryAlert
- Chambers USAAlert
- 2016 The Best Lawyers in America® Guide Lists 60 Smith Anderson Lawyers – Most in the Firm’s HistoryAlert
- Smith Anderson Announces 49 of its Firm Lawyers are Named a “Best Lawyer” by The Best Lawyers in America® 2013
Publications & Alerts
- SEC Adopts Significant Amendments to Improve Financial Disclosures Regarding Business Acquisitions and DispositionsAlert
- SEC Issues New Guidance on Pay Ratio Rule, Emphasizing “Flexibility” of Median Employee Pay Calculation
- Public Companies Take Note: SEC Launches Enforcement Initiative Targeting Section 16 and Other Shareholder Filings
- New Limits on Broker Discretionary Voting on Corporate Governance Proposals and other Proxy Season Considerations
- President Obama Signs the Dodd-Frank Act: Corporate Governance and Disclosure Provisions and Smaller Public Company Relief from SOX § 404(b)
- Senate Passes Financial Reform Bill with Corporate Governance and Disclosure Implications for All Public Companies
- SEC Modifies Broker Voting Rules and Proposes New Rules Regarding Executive Compensation Disclosures and Corporate Governance
Events & Programming
- Panelist, "Charting Your Journey: Purposefully Navigating Careers, Transitions, and Partnerships," NC Chamber's Women Lead NC Conference, Raleigh, N.C.Speaking Engagement
- Panelist, "Let’s Get Real: How to Lead with Authenticity in an Ever-Changing World,” Women > A Force in Business Virtual ConferenceSpeaking Engagement
- Co-Presenter, "Preparing for the Upcoming 10-K and Proxy Season," Securities Law Breakfast Series, N.C. Biotechnology Center, Durham, N.C. and Smith Anderson Offices, Raleigh, N.C.Speaking Engagement
- Moderator, "Legal Across Borders," NCBA Corporate Counsel Section Thought Leadership, Durham, N.C.Speaking Engagement
- Co-Presenter, “Preparing for the Upcoming 10-K and Proxy Season,” Securities Law Breakfast Series, N.C. Biotechnology Center, Durham, N.C. and Smith Anderson Offices, Raleigh, N.C.Event
- Speaker, SEC Reporting Breakfast Club, Dixon Hughes Goodman LLP, Raleigh, N.C.June 2016 and December 2016Event
- Co-Presenter, "Preparing for 10-K and Proxy Season," Smith Anderson's Securities Law Series, Raleigh, N.C.Event
- Guest Speaker, Business Economics of Law Firm Practice Seminar, Duke University School of Law, Durham, N.C.Event2008-2014