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Corporate Paralegal, SEC in Danbury, CT at Ethan Allen Global Inc.

Date Posted: 6/3/2019

Job Snapshot

Job Description

Requisition ID: 006056

Position Summary:

Provide legal and administrative support to the VP, General Counsel and Secretary particularly with corporate governance, commercial real estate, litigation, transactional matters, and other related duties as assigned. 

Essential Duties and Responsibilities:


  • Comprehensive knowledge and expertise in all areas of corporate governance requirements for publicly traded corporations, including, without limitation, compliance with all applicable federal and state statutes and regulations; preparation, filing and maintenance of SEC filings (i.e., Forms 3, 4 & 5) Annual and Quarterly Statements and Press Releases (10-K, 10-Q, Form 8-K, etc.). Assist in preparation of annual Proxy Statement and related publications. Assist in conduct of annual meeting of shareholders.
  • Maintain EDGAR Codes (Officers & Directors) and create/update passwords.
  • New York Stock Exchange Filings (Annual Certifications; Interim Reporting if substantive changes in Committee Membership or Board Members; Quarterly reporting of shares issued/outstanding; review listing manual for updates)
  • Prepare presentation materials for Board of Directors and Annual Meetings such as Forms 8-K, 10-Q and 10-K, Proxy Statement, etc.) Assist in conduct of quarterly meetings of Board of Directors.
  • Enter blackout dates in Solium application and prepare memo to Officers & Directors for Insider Trading timeframe.
  • Prepare Stock Option Award agreements, create new grant spreadsheet, and load stock grants into Solium application.
  • Prepare Restricted Stock Award agreements; add to Computershare; monitor vesting schedules; coordinate DWAC of vested shares to Broker or Computershare via book entry
  • Work with third-party auditor on quarterly audits and preparation of quarterly audit letters.
  • Work with professional services firm, CT Corporation on Service of Process, ordering UCC searches, good standing certificates, and certified documents as needed
  • Prepare Annual Consents as needed for officer changes, JP Morgan credit facility, real estate transactions, etc.

 Intellectual Property, including Trademarks

  • Maintain trademark filings, renewals, new marks.
  • Prepare Cease & Desist letters for domain names with regards for international registration with IT/ trademark infringements.
  • Research, summarize, and report product names to client.

 Real Estate Purchases and Sales

  • Follow-up and manage real estate due diligence. 
  • Collect, review and submit Due Diligence materials.
  • Interface with Title Company (or closing agent or attorney).
  • Prepare and submit closing documents and binders.


  • Track and follow up on State applications and surety bonds in adherence to regulatory compliance of Sweepstakes
  • Related tasks as assigned


Job Requirements

Knowledge, skills, and abilities:

  • High school diploma or equivalent with a minimum of seven (7) years of experience working as a Paralegal.
  • Paralegal certification by an institution approved by American Bar Association required.
  • Must be detail oriented, highly organized and demonstrate effective communication skills interacting with all levels of personnel.
  • Computer proficiency in Microsoft Office Suite.
  • Ability to conduct computerized research (Legal, General, etc.), and Westlaw is required.

Ethan Allen is an Equal Opportunity/Affirmative Action Employer.  All Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability or veteran status.  We are an E-Verify Employer.