Rethinking Engagement Strategies Amid Evolving 13G/13D Guidelines

The SEC’s recent changes to 13G/D guidance significantly expand the definition of an active investor. Faced with the prospect of becoming a 13D filer, some investors paused all engagement for the near-term, while others have gradually introduced new policies to be more cautious and limited in their engagement approaches. To navigate this new, and still evolving, environment, issuers should take a creative approach to offseason shareholder engagement so they can better assess investor perception and strive to get ahead of any emerging issues before next year’s proxy season.

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