Philipp von Ploetz

Philipp von Ploetz focuses on compliance issues, in particular the ongoing observance of follow-up obligations under capital markets law. Having advised on the defence of investor lawsuits in connection with the diesel emissions issue, he has practical experience in the defence of alleged compliance violations and the internal investigation of such allegations.

In addition, Philipp von Ploetz has many years of experience in advising companies and banks on capital market transactions such as the issue, listing and trading of securities. He has advised a large number of well-known German and international companies on share and bond issues.

Philipp von Ploetz also advises on M&A transactions and public takeovers and has specialised regional experience in Central and Eastern Europe and China.

Philipp von Ploetz studied law at the University of Bonn and completed his legal clerkship at the Cologne Higher Regional Court. He began his legal career in 2000 at Oppenhoff & Rädler (now Linklaters) in Frankfurt am Main. In 2004, he moved to the Moscow office of Clifford Chance and returned to Frankfurt in 2007. Before joining Schalast Law / Tax, Philipp von Ploetz worked for ten years at SZA Schilling, Zutt & Anschütz.

• Author in Habersack/Mülbert/Schlitt, Unternehmensfinanzierung am Kapitalmarkt, 3rd edition, 2013, 4th edition, 2019 and 5th edition 2024
• Anders/von Ploetz, Frankfurt Exchange Eases Rules For Non-E.U./EEA Issuers of GDRs, World Securities Law Report, September 2008

Selected projects:

Compliance & Investigations

• Volkswagen AG, defence against claims for damages (outside the USA and Canada) and representation against BaFin for alleged violations of capital markets disclosure obligations in connection with the diesel issue as well as internal investigation of compliance violations*
• Bayer AG, defence against claims for damages due to alleged breaches of disclosure obligations under capital markets law in connection with the Monsanto takeover*
• Advising an automotive supplier on the internal investigation of possible compliance violations in connection with the diesel issue*
• Investigation of possible breaches of duty in connection with the rating of WireCard AG*
• Advising a German SE on the structuring and introduction of a compliance system under capital markets law and the preparation of a planned IPO*

Capital Markets

• Südzucker AG, promissory note loan*
• Südzucker AG, European Commercial Paper Programme*
• Südzucker International Finance B.V., bond issues*
• Heidelberger Druckmaschinen AG, increase of the high yield bond and extension of the syndicated credit line*
• Vapiano SE, advising selling shareholders on IPO*
• Barclays PLC, rights issue*
• Heidelberger Druckmaschinen AG, convertible bond*
• Volkswagen International Finance N.V., mandatory convertible bonds with US placement*
• Hamborner REIT AG, capital increases with subscription rights*
• Adler Modemärkte AG, IPO*
• Porsche Automobil Holding SE, rights issue with US placement*
• Nordex SE, capital increase without subscription rights*
• RIB Software AG, IPO with US placement*
• Volkswagen AG, rights issue with pre-placement*
• Evonik Industries AG, bond issue*
• UniCredit S.p.A., rights issue with dual listing*
• Bayerische Hypo- und Vereinsbank AG, Debt Issuance Programme*
• Alemannia Aachen GmbH, bond issue*
• Munich Re, issue of a hybrid bond*
• DSC Arminia Bielefeld, bond issue*
• Hochtief AG, capital increase and exchangeable bond*
• OHB Teledata AG, IPO*
• Neue Sentimental Film AG, IPO*
• Wapme Systems AG, IPO*

M&A

• Strategic and legal advice to the founding shareholders of a biotech company in connection with the sale of their shares to a strategic investor*
• Grohe Group, dual track process and subsequent sale to private equity investor*
• Telegraaf Media Groep N.V., sale of the stake in ProSiebenSat.1 Media AG*
• Allianz AG, takeover of the Russian ROSNO Insurance*
• Evonik Industries AG, dual track process and subsequent partial sale to private equity investor*

* Matters relating to work in previous law firms