Eleazer Klein is co-chair of the global Shareholder Activism Group and serves as a member of the firm’s Executive Committee. He practices in the areas of shareholder activism, mergers and acquisitions, securities law and regulatory compliance. He represents activists, investment banks and companies in matters ranging from corporate governance and control to proxy contests and defensive strategies. His recent representations have included representing Trian Fund Management in multiple matters; Elliott Management in Akamai Technologies, Hess Corp and Marathon Petroleum; JANA Partners in Jack in the Box, Whole Foods, Bristol-Myers Squibb and Tiffany; Greenlight Capital in General Motors; Cevian Capital in Autoliv, ABB and LM Ericsson; Starboard Value in Stewart Title; Blue Harbour in Investors Bancorp; venBio Select Advisor in Immunomedics; Saba Capital in First Trust; Oasis Capital in Stratus Properties; Altimeter Capital Management in United Continental Holding; SRS Investment Management in Avis Budget Group; Clinton Group in Campus Crest Communities; and Anchorage in connection with board representation at Houghton Mifflin. Ele works on numerous activist campaigns and related transactions every year for some of the largest private investment groups and investment banks in the United States and abroad. In addition, he advises on private investments in public equity (PIPEs), initial public offerings and secondary offerings, venture capital financing, and indenture defaults and interpretation, and he counsels clients in the regulatory areas of insider trading, short selling, Sections 13 and 16, Rule 144, insider trading and Regulation M/Rule 105.

Ele is recognized as a leading lawyer in Chambers USA, The Legal 500 US, New York Super Lawyers – New York Metro Top 100 and Super Lawyers Business Edition. He has served as a moderator and speaker at numerous conferences and events addressing shareholder activism, regulatory and reporting issues, PIPEs, M&A deals, the capital markets and other topics of interest to the alternative investment industry. He contributed to The Activist Investing Annual Review 2018 (produced by Activist Insight in association with SRZ) and the 2018 Shareholder Activism Insight report (published by SRZ in association with Activist Insight and Okapi Partners). Ele received his law degree in 1991 from Yale Law School, where he was senior editor of The Yale Law Journal.

Publications

Books

“Private Investments in Public Equity (PIPEs),” Insider Trading Law and Compliance Answer Book (Practising Law Institute), 2011-2019 (co-author)

“Transaction Reporting,” Investment Management: Law and Practice (Oxford University Press), 2010

PIPEs: Revised and Updated Edition (Bloomberg Press), 2006 (co-author)

PIPEs: A Guide to Private Investments in Public Equity (Bloomberg Press), 2003 (co-author)

Articles

Quoted, “Activist Spotlight: White Squires Turning Grey, The Deal, May 7, 2019

Interview, “Interview with Eleazer Klein, Partner at Schulte Roth & Zabel, Skytop Strategies, March 2019

Interview, “The Activist Insight Podcast: Views from the Shareholder Activism Summit,” Activist Insight, March 25, 2019

Quoted, “Activist Spotlight: Insurgent Investors on the Rise in Asia,” The Deal, March 14, 2019

Quoted, “Three Ways Shareholder Activists Will Shape M&A in 2019,” Law360, Feb. 12, 2019

Quoted, “Activist Funds Turn Attention to Banks as New Merger Wave Sets Up,” CNBC, Feb. 8, 2019

Quoted, “Activist Investors Pushed 922 Companies to Perform Better in 2018,” Opalesque, Feb. 6, 2019

Quoted, “Elliott Leads Activist Pack After Record ’18,” FT FundFire, Feb. 6, 2019

Contributor, The Activist Investing Annual Review 2019 (Activist Insight in association with SRZ)

Quoted, “Activists Expected To Target M&A, Overseas Cos. In 2019,” Law360, Jan. 1, 2019

Quoted, “Activist Spotlight: M&A Could Emerge Soon at Elliott-Targeted Travelport,” The Deal, Nov. 6, 2018

Quoted, “Starboard CEO Jeff Smith’s Stand to Fix Universal Ballot Contests,” Activist Insight, Oct. 26, 2018

Interview, “Activist Investors Are Gearing Up for More Battles in the Year Ahead, Taking Aim at Consumer Stocks,” CNBC, Oct. 8, 2018 

Contributor, Shareholder Activism Insight (SRZ in association with Activist Insight and Okapi Partners), 2018

“SEC Approves Changes to Nasdaq Stockholder Approval Requirement for Discounted Private Offerings, SRZ Alert, Oct. 3, 2018 (co-author) 

INSIGHT: Consequences of a Board Seat,” Bloomberg Law, August 2018 (co-author)

Quoted, “U.S. and Asia Propel M&A Activism Surge,” Activist Insight, Aug. 29, 2018

Quoted, “Activist Target: Tesla,” The Deal, Aug. 23, 2018

Quoted, “Data Analysis: North American Activists and Corporations Expand Toolbox,” Activistmonitor, July 12, 2018

Quoted, “Finance Activists,” Swissquote, July 2018

Quoted, “The Legal Risks Lurking in the CBS-Viacom Deal,” Financial Times, April 19, 2018

Quoted, “CBS Weighs Legal Risks of Increased Viacom Bid,” Financial Times, April 18, 2018

Quoted, “Crain’s New York Business 40 Under 40 Class of 2018,” Crain’s New York Business, March 2018

Quoted, “Activist Spotlight: Icahn Helps Shift the Lines of Defense,” The Deal, Feb. 1, 2018 

Quoted, “Shareholder Activism Poised for Busy, High-Stakes 2018,” Law360, Jan. 1, 2018

Contributor, The Activist Investing Annual Review 2018 (Activist Insight in association with SRZ)

Interview, “Passive Investors and Their Role in Activism for 2018, Forbes, Dec. 20, 2017 

“ISS and Glass Lewis 2018 Proxy Guidelines Continue to Expand Shareholder Influence,” SRZ Alert, Dec. 6, 2017 (co-author)

Interview, “Shareholder Activism Knows No Bounds: A Discussion With SRZ's Global Shareholder Activism Group, The Hedge Fund Journal, December 2017 

Quoted, “Corporate Defenders Urge ISS to Ask More From Activists,” The Deal, Sept. 11, 2017

Quoted, “Consumer Goods Make Appetising Target For US Activists,” Financial Times, July 21, 2017

Quoted, “With Crowding in U.S. Market, Activist Investors Look to Europe,” The New York Times, June 26, 2017

Quoted, “Activist Investors Are Hunting Canada – Why?Forbes, June 26, 2017

“Immunomedics Proxy Contest: Schulte Roth & Zabel Achieves Unprecedented Litigation Victories,” The Hedge Fund Journal, June 2017

Quoted, “When Activists Enter the Kitchen, the CFOs Feel the Heat,” The Wall Street Journal, June 12, 2017

“Section 13 and Section 16 Enforcement Actions A Guide for Staying in Compliance,” Bloomberg BNA – Securities Regulation & Law Report, June 5, 2017 (co-author)

Quoted, “Companies, Activists Mired in Ongoing Proxy Battles,” Bloomberg, May 25, 2017

Interview, “Hedge Fund Activists: The Debate On Unlocking Value,” Forbes, March 21, 2017

Quoted, “Meet the New Wave of Insurgents,” The Deal, Feb. 10, 2017

Quoted, “5 Trends That Will Shape Shareholder Activism In 2017,” Law360, Feb. 7, 2017

Quoted, “CEOs Targeted More by Activists but Give Them Fewer Board Seats,” Reuters, Feb. 1, 2017

Contributor, The Activist Investing Annual Review 2017 (Activist Insight in association with SRZ)

Quoted, “Activist Investors Set For Busy 2017,” Law360, Jan. 2, 2017

Quoted, “Good Governance Hits a Speed Limit,” The Deal, Dec. 9, 2016

Quoted, “Intermediary Awards 2016,” Activist Insight Activism Monthly, December 2016

“2016 Shareholder Activism Insight Report,” Harvard Law School Forum on Corporate Governance and Financial Regulation, Dec. 1, 2016 (co-author)

Contributor, Shareholder Activism Insight (SRZ in association with Activist Insight and FTI Consulting), 2016

Quoted, “Shareholder Activism Continuing an Evolution, Report Says,” Law360, Nov. 1, 2016

Quoted, “Opalesque Exclusive: The Idiosyncrasies of European Activist Investing,” Opalesque, Sept. 16, 2016

“Activism and Passivity: HSR Act and Section 13(d) Developments for Investors,” SRZ Alert, July 28, 2016 (co-author); republished in Westlaw Journal – Derivatives, Aug. 11, 2016, Westlaw Journal – Securities Litigation & Regulation, Aug. 18, 2016, and The Hedge Fund Journal, September 2016

Quoted, “A Closer Look at the Proxy Case Everyone’s Talking About,” Law360, May 27, 2016

Quoted, “Dodging Court,” Activism Monthly Premium, May 2016

Interview, “Activism in MicroCap Stocks,” Stock News Now Wall Street View, May 23, 2016

“Activist Investing Update: DOJ’s HSR Action Against ValueAct Highlights Uncertainties Regarding the ‘Investment-Only’ Exemption,” SRZ Alert, May 20, 2016 (co-author); republished in The Hedge Fund Journal, June 2016 

Quoted, “Blurred Lines: PE Firms and Activists Steal from Each Other’s Playbooks,” The Deal, March 18, 2016

Interview, “Writing the Activism Playbook,” The Hedge Fund Journal, February 2016

Quoted, “Market Sell-Off Creates Opportunities for Activists,” The Deal, Feb. 19, 2016

Quoted, “Why Fear of Activists Pressures MetLife to Sell Itself Smaller,” The Street, Feb. 8, 2016

Quoted, “Europe Activism Boom Calls for Gentler Tack From Investors,” Law360, Feb. 3, 2016

Quoted, “MetLife’s Sale Puts Spotlight on SIFI Activism,” The Deal, Feb. 3, 2016

Quoted, “A Look at the 2016 Proxy Season’s Hot Topics,” Law360, Jan. 28, 2016

Contributor, The Activist Investing Annual Review 2016 (Activist Insight in association with SRZ)

Quoted, “Stock Volatility Could Stall Public M&A Boom,” Law360, Jan. 21, 2016

Interview, “Activist Investors: How Companies Should Best Engage,” Forbes, Jan. 14, 2016

Quoted, “PIPEs Raise Nearly $90B in 2015 as Market Fades in Q4,” The Deal, Jan. 11, 2016

Quoted, “The Energy Crash Is Going to Be Huge Business for Wall Street,” Business Insider, Nov. 21, 2015

Quoted, “Energy Companies Have a New Problem on Their Hands,” Business Insider, Nov. 17, 2015

Quoted, “Activist Investors Are Finding It Easier Than Ever to Get Board Seats,” Bloomberg, Nov. 4, 2015

“Rule 105 Update: New Round of Enforcement Highlights SEC Approach on Short-Selling Violations,” SRZ Alert, Oct. 22, 2015 (co-author); republished in The Hedge Fund Journal, November 2015

Quoted, “Will Third Point’s FTC Deal Chill Activism?,” The Deal, Oct. 2, 2015

Quoted, “Short-Term Activism Could Wane Once Rates Start to Rise,” Hedgeweek, Sept. 30, 2015

Quoted, “Activist Investors Keep Colliding — and It's Forcing the Industry to Transform,” Business Insider, Sept. 11, 2015

“Hart-Scott-Rodino Filing Update: Recent Settlement Interprets ‘Investment-Only’ Exemption Narrowly,” SRZ Alert, Sept. 3, 2015 (co-author); republished in Bloomberg BNA – World Securities Law Report, Sept. 30, 2015

Quoted, “Activism vs. PE Strategies: Opposing or Similar Forces?,” ValueWalk, Aug. 25, 2015

Quoted, “Hedge Funds Are Shaking Up Corporate America and Wall Street Couldn't Be Happier,” Business Insider, Aug. 22, 2015

Quoted, “How a ‘Wolf Pack’ Can Devour Your Company Before You Know It’s Happening,” The Deal, June 23, 2015

Contributor, Shareholder Activism Insight (SRZ in association with Mergermarket), 2014

“SEC Releases a Second Installment of ‘Bad Actor’ Rule Guidance,” SRZ Alert, Jan. 22, 2014 (co-author)

“Understanding the Steps for Conducting a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 12, 2013 (co-author)

“How to Raise Capital Using a PIPE,” Law360 (excerpted from Lexis® Practice Advisor), Sept. 5, 2013 (co-author)

“District Court Dismisses Insider Preference Claim Despite Affiliates Holding Equity and Board Seats,” SRZ Alert, April 19, 2013 (co-author)

“SEC Issues Proposing Release to Readopt Beneficial Ownership Rules as They Relate to Security-Based Swaps,” SRZ Alert, March 25, 2011 (co-author)

Quoted, “SEC Redoubling Efforts to Root Out Microcap Fraud,” The PIPES Report, Jan. 18, 2011

Quoted, “Goldman-Facebook Deal Raises Debate on Investor Pool,” The New York Times, Jan. 6, 2011

Quoted, “QVT Must Face Trial on Alleged Short-Swing Profits,” The PIPEs Report, Nov. 2, 2010

Quoted, “Enable Capital,” The PIPEs Report, April 6, 2010

Quoted, “PIPE Funds that Participate in CMPOs May Face Increased Scrutiny of Shorting,” The PIPEs Report, April 6, 2010

Quoted, “Investor Disputes May Drive Regulators’ Scrutiny,” The PIPEs Report, March 16, 2010

Quoted, “Issuers Face Restatements From ‘Down Round’ Provisions,” The PIPEs Report, Jan. 19, 2010

Quoted, “Inconsistent Due Diligence Threatens Agents,” The PIPEs Report, Dec. 15, 2009

“SEC Staff Clarifies Interpretation Related to Filing Deadline for Schedules 13D and 13G,” SRZ Alert, Nov. 19, 2009

Quoted, “Confidentiality, Standstill and Insider Trading Considerations Relevant to Hedge Funds Investing in PIPEs,” The Hedge Fund Law Report, Nov. 11, 2009

Quoted, “PIPEs: A Lasting Trend,” Practical Law, Sept. 1, 2009

“SEC Enforcement: Enhanced 13(d) Scrutiny and Merger Arbitrage,” SRZ Activist Investing Developments, Summer 2009

Quoted, “Exchange-Listed Companies Larger Slice of Market,” The PIPEs Report, April 21, 2009

Quoted, “Registration Law is Now Likely,” The PIPEs Report, April 7, 2009

“Swaps and Section 16: Reporting and Liability Issues,” SRZ Activist Investing Developments, Winter 2009 (co-author)

Quoted, “Evasive Action: Redemptions Instill Hesitancy in Funds,” The PIPEs Report, Oct. 7, 2008

Quoted, “Rule 415 Reversal? Actions Leave APOs in Uncertain Standing,” The Reverse Merger Report, March 13, 2008

Quoted, “Rule 415 Threatens APO Market,” The PIPEs Report, March 4, 2008

Quoted, “PIPE Fitting: Amid LBO Slump, PE Shops Are Seizing on the Market for Private Investments in Public Equity,” Mergers and Acquisitions Journal, Dec. 1, 2007

Quoted, “PIPE Sellers Tangle with Issuers and Investors Who Seek to Abolish Hedging,” The PIPEs Report, Nov. 20, 2007

Quoted, “PIPE Financing Sheds Off Bad Rap and Sluggish Activity,” Boston Business Journal, Nov. 9, 2007

Quoted, “PIPEs Gain Ground with a Wider Audience,” Investment Dealers Digest, Nov. 5, 2007

Quoted, “‘Blank Check Company’ Has Eye on Major Media Buy,” Los Angeles Business Journal, May 14, 2007

Quoted, “Final Ruling on Rule 415,” The PIPEs Report, Feb. 6, 2007

Quoted, “Accounting Move Roils PIPE Market,” Corporate Financing Week, May 1, 2006

Quoted, “SEC Review Process Slows Speed to Market,” Corporate Financing Week, Jan. 30, 2006

“Implications and Considerations of Section 16 for Activist Investors,” Activist Investing Developments, Fall 2005

Quoted, “The Finder Dilemma,” The PIPEs Report, December 2004

Quoted, “The PIPEs Are Flowing: Small Public Companies Can Find It Less Costly to Raise New Money Privately, But Only If They Can Find the Right Investors,” CFO Magazine, November 2004

Quoted, “Hedge Fund Short-Sale Tactic Faces Uncertain Future,” TheStreet.com, Sept. 16, 2004

Quoted, “No Need to Sweat These PIPEs,” CFO Magazine, August 2004

Quoted, “PIPEs Investors Grapple with Insider Trading Issues,” MAR/Hedge, July 2004

Commentary on Short Selling Activities, The Daily Deal, May 27, 2003

Quoted, feature story on Canadian Provincial Regulators, The PIPEs Report, July 15, 2003

Quoted, feature story on International Private Placements, The PIPEs Report, May 1, 2003

“PIPE Trends—PIPEs Benefit from Increasing Credibility,” Wall Street Reporter, PIPE Market Insider, February 2002

Quoted, “PIPEs Pumped by Venture Cash,” The Daily Deal, Sept. 30, 2002

Quoted, “Possible Enron Bankruptcy Seen Cooling SEC Probe Pace,” Reuters, Nov. 29, 2001

Speaking Engagements

Harvard Law School Roundtable on Shareholder Engagement, Cambridge, Mass., June 2019

ACA Compliance Group Spring 2019 Compliance and Performance Conference, Miami, May 2019

“Trends in Shareholder Activism,” 13D Monitor 2019 Active-Passive Investor Summit, New York, April 2019

“An Emerging Trend: Activists Attempting to Block M&A Deals,” The Deal Corporate Governance 2019 – The Future of Shareholder Engagement in Europe, London, February 2019

AIMA Shareholder Engagement – Basics of Running a Campaign, New York, February 2019

“Advance Notices and Public Rejections: The Game Book for Issuers and Activists,” Skytop Strategies Shareholder Activism — Unlocking Shareholder Value, New York, January 2019

“Market Update: Terms, Customized Products and Co-Investment Vehicles,” SRZ 28th Annual Private Investment Funds Seminar, New York, January 2019

“The Evolution of Shareholder Activism: New Strategies and Tactics,” The Deal Economy Conference, New York, November 2018

Moderator, “Current Developments and State of the Market in the U.K. and Europe,” SRZ Shareholder Activism in Europe Seminar, London, November 2018

Moderator, “A View from the Boardroom,” SRZ 9th Annual Shareholder Activism Conference, New York, October 2018

Harvard Law School Roundtable on Shareholder Engagement, Cambridge, Mass., June 2018

“Representing Activists,” 13D Monitor 2018 Active-Passive Investor Summit, New York, April 2018

“Role of Shareholder Activism in Corporate Governance,” Harvard Law School Activism Roundtable, Cambridge, Mass., April 2018

“Small Cap Versus Large Cap Companies: Activist Targets, and Why,” Skytop Strategies Shareholder Activism — Unlocking Shareholder Value, New York, January 2018

“Shareholder Activism,” SRZ 27th Annual Private Investment Funds Seminar, New York, January 2018

Moderator, “Anatomy of a Proxy Contest: venBio Case Study” and “SPVs, NOLs and HSR,” SRZ 8th Annual Shareholder Activism Conference, New York, October 2017

Roundtable on Shareholder Engagement, Harvard Law School, Cambridge, Mass., June 2017

“Welcome Remarks,” Yeshiva University A Conversation with Activist Investor Paul Singer, New York, June 2017

Moderator, “Activists’ Perspectives,” SRZ Shareholder Activism in the UK, London, May 2017

“Representing Activists,” 13D Monitor 2017 Active-Passive Investor Summit, New York, April 2017

“The Big Debate – Part II: The Pros and Cons of Activism,” Skytop Strategies Shareholder Activism 2 — Unlocking Shareholder Value, New York, January 2017

Moderator, “Mid-Cap Activism” and “‘Occasional’ Activists,” SRZ 7th Annual Shareholder Activism Conference, New York, November 2016

Moderator, “Stay Informed: Tracking the Evolution of Activist Investing in Europe,” The Deal & ArrowCon Partners Activist Investing in Europe 2016, London, September 2016

Roundtable on Shareholder Engagement, Harvard Law School, Cambridge, Mass., June 2016

“Stockholder Activism Today,” 15th Annual International Mergers and Acquisitions Conference, International Bar Association, New York, June 2016

“Activism in the Microcap Market,” Growth Capital Expo, Las Vegas, May 2016 

“Representing Activists,” 13D Monitor Active-Passive Investor Summit, New York, April 2016

“Shareholder Activism: For Better or For Worse?,” Yale Law School Marvin A. Chirelstein Colloquium Panel, New Haven, Conn., February 2016

Co-Chair and Panelist, “The Big Debate: Pros & Cons of Activism,” Skytop Strategies Shareholder Activism: The Emergence of the New Generation Investor Seminar, New York, February 2016

“Trading Compliance: Managing Regulatory Risk,” SRZ 25th Annual Private Investment Funds Seminar, New York, January 2016

Moderator, “New Era of Public Venture Capital: Status Report on the Reg A+ and Solicited Reg D Offerings Markets,” MarketNexus Media Growth Capital Summit — Legal and Regulatory Update on Emerging Growth Company Finance, Washington, D.C., November 2015

Moderator, “Current Developments in Shareholder Activism Across Europe,” SRZ and Activist Insight Shareholder Activism in the UK Conference, London, November 2015

“The Activist Landscape,” Morgan Stanley 2nd Annual Event-Driven Symposium, New York, October 2015

Moderator, “Current Developments in Shareholder Activism” and “Mid-Cap Activism,” SRZ 6th Annual Shareholder Activism Conference, New York, October 2015

“The Gathering Storm: New Delaware Litigation Developments and the Escalating Activist Environment,” Thomson Reuters 11th Annual Southeastern M&A/PE Forum, Atlanta, October 2015

Moderator, “Exploring the Strategies, Preparation and Tactics Activist Investors Use to Organize a Campaign,” ArrowCon Events Activist Investing in Europe, London, May 2015

“Challenges for Public Emerging Growth Companies,” MarketNexus Media Growth Capital Summit — Legal and Regulatory Update on Emerging Growth Company Finance, Washington, D.C., November 2014

“Wall Street Meets Crowd Street: Next Steps for Bringing Crowdsourced Investment into the Capital Markets Ecosystem” and “What Emerging Growth Companies Need to Know About Activist Investor Campaigns,” Growth Capital Expo, Las Vegas, April/May 2014

“The Recent Resurgence of PIPE Deals: Who’s Transacting, Under What Terms, and a Discussion on Sustainability,” DealFlow Media PIPEs Conference, New York, November 2013

“Trends in PIPE and Registered Direct Offerings,” SRZ Public Company Hot Topics, New York, July 2013

“Registered Directs, CMPOs & Follow-Ons,” DealFlow Media DealFlow Conference, New York, December 2012

“Current Trends in M&A, PIPEs and Co-Investment Transactions,” SRZ 21st Annual Private Investment Funds Seminar, New York, January 2012

“Registered Directs, CMPOs, Follow-ons and Other Small Cap Capital Formation Tools,” DealFlow Media PIPEs Conference, New York, November 2011

“PIPEs,” FRA 11th Annual Valuation of Hard-to-Value Securities and Portfolios Conference, New York, June 2011

“Alternative Public Offerings: An Emerging IPO Option,” Strafford Webinar, New York, June 2011

“How to Comply with Rule 105: A Workshop for Hedge Fund Managers,” SRZ Investment Management Hot Topics, New York, May 2011

“Current Issues in Distressed Investing,” SRZ 20th Annual Private Investment Funds Seminar, New York, January 2011

Moderator, “The Debate over Unregistered vs. Registered Securities,” DealFlow Media PIPEs Conference, Las Vegas, November 2010

“Trends in PIPE Transactions,” The International PIPEs Conference, Shanghai, May 2010

“Effectively Valuing PIPEs,” FRA 10th Annual Valuation of Hard-to-Value Securities and Portfolios Conference, New York, March 2010

“Distressed Investing: Deal Structuring,” SRZ 19th Annual Private Investment Funds Seminar, New York, January 2010

“Trends in Structure and Pricing: What are the Options for Issuers?,” DealFlow Media PIPEs Conference, Las Vegas, December 2009

“Compliance Issues Relating to Reg SHO, Rule 105, Rule 144A, Rule 144, Regulation S and Private Placements,” Trading Compliance Seminar, Greenwich, Conn., October 2009

“Compliance Issues Relating to Sections 13 and 16, Reg SHO, Rule 105 and Insider Trading,” Trading Compliance Seminar, Greenwich, Conn., May 2009

“Legal & Regulatory Update: MOFCOM, SAFE and Circular 142,” DealFlow Media International PIPEs Conference, Shanghai, March 2009

“Disclosure and Reporting Under Section 13 and 16: Groups and Swaps Post-CSX,” SRZ 18th Annual Private Investment Funds Seminar, New York, January 2009

FRA 9th Annual on Valuation of Hard-to-Value Securities and Portfolios Conference, New York, November 2008

“Accounting and Valuation Issues: Examining the New Rules on Determining Fair Value of Securities,” and Moderator, “PIPEs Legal Roundtable,” DealFlow Media PIPEs Conference, New York, November 2008

“Alternative Financing: Using Private Investments in Public Equity (PIPEs),” SRZ Think Big! Small- and Mid-Cap Public Company Forum, New York, July 2008

“Understanding PIPE Valuations,” FRA Valuation of Hard to Value Securities & Portfolios Conference, The Harmonie Club, New York, June 2008

“The Proxy Process & The Special Meeting Under Pressure,” DealFlow Media SPACs Conference, New York Hilton, New York, June 2008

“Financing Alternatives: PIPEs” at The 10th China Venture Capital and Private Equity Forum, Shenzhen Wuhzou National Guest House, Shenzhen, China, April 2008

“Update on the PIPE Market: New Rules & Recent Pricing Trends,” DealFlow Media International PIPEs Conference, Hong Kong, April 2008

“Current Issues in Private Placements and Hedge Fund Investing: A Case Study,” Yale University, New Haven, Conn., March 2008

Chair, 7th Annual Industry Summit on PIPEs, New York, January 2008

“Addressing Conflicts of Interest,” SRZ 17th Annual Private Investment Funds Seminar, New York, January 2008

“Will the SEC’s New Rules Ease Investment in Public Companies?,” DealFlow Media PIPEs Legal Update Webinar, December 2007

FRA 8th Annual Valuation of Hard-to-Value Securities and Portfolios Conference, New York, November 2007

“Capital Access Forum (PIPEs),” Belmont Partners, Washington, D.C., November 2007

5th Annual PIPEs Conference, New York, October 2007

Chair, 3rd PIPEs Summit, New York, July 2007

Hedge Fund Trading Forum, New York, July 2007

FRA 6th Annual Valuation of Hard-to-Value Securities and Portfolios Conference, New York, June 2007

Chair, “Navigating PIPEs, Laws and Regulations,” FRA Conference, New York, May 2007

The PIPEs Conference Europe, London, May 2007

Private Investment in Public Equity (PIPEs), Atlanta, March 2007

Chair, 6th Annual Industry Summit on PIPEs, New York, January 2007

Chair, Second PIPEs Summit, Coconut Grove, Fla., January 2007

The PIPEs Conference, New York, November 2006

FRA 5th Annual Valuation of Hard-to-Value Securities and Portfolios Conference, New York, November 2006

5th Annual Hedge Fund Seminar, London, October 2006

PIPEs Summit, New York, July 2006

The PIPEs Conference Europe, London, June 2006

Chair, The 5th Annual Industry Summit on PIPEs, New York, January 2006

“Regulatory and Investment Issues in PIPEs Transactions,” 15th Annual Private Investment Funds Seminar, New York, January 2006

Wall Street Reporter Webinar on PIPEs, February 2006

DealFlow Media PIPEs Conference, New York, October 2005

Chair, FRA 4th Annual Industry Summit on PIPEs, New York, February 2005

Television Appearance, CNBC-Street Signs With Ron Insana, January 2005, Regulation SHO

“Small & Micro Cap Public Company Symposium,” Strategic Research Institute, Bermuda, October 2004

DealFlow Media PIPEs Conference, New York, October 2004

FRA 3rd Industry Forum on PIPEs, New York, September 2004

DealFlow Media PIPEs Conference, New York, October 2003

“PIPEs Roundtable,” Wall Street Reporter, New York, June 2003

“Overview of Restructurings,” New York City Bar Association, New York, June 2003

“Insider Trading Pitfalls,” New York, February 2003

“Legal Regulatory and SEC Guidelines in Structuring PIPEs,” FRA Conference, New York, November 2002

FRA Issuers’ and Investors’ Forum on PIPEs, New York, November 2002

“Chinese Walls and Related Strategies,” New York, October 2002

“Issues in Corporate Resolutions,” New York, September 2002

“Registered Direct Offerings,” Minneapolis, August 2002

“PIPEs and Alternate Equity Strategies Seminar,” The Institute for International Research, New York, July 2002

“Drafting Warrants,” New York, June 2002

FRA PIPEs and Alternative Equity Financing Structures Forum, New York, March 2002

“From PIPEs To Equity Lines, Conference on The Private Equity Market For Public Companies,” New York, October 2001

“Insider Trading Concerns,” Conference on Securities Issues, New Jersey, Fall 2000

“Issues in Shareholders Agreements and Registration Rights Agreements,” New York, March 2000

Memberships

  • American Bar Association
  • Yale Law School Center for the Study of Corporate Law
    • Board of Advisors

Distinctions

  • Biltmore Who's Who Registry of Executives and Professionals
  • Chambers USA
  • The DealFlow Power 20
  • The Legal 500 US — Leading Lawyer
  • New York Super Lawyers
  • New York Super Lawyers — New York Metro Top 100
  • Super Lawyers Business Edition

Prior Experience

  • Davis Polk & Wardwell