NCEO: The National Center for Employee Ownership
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IN-PERSON MEETING

Challenges and Solutions for Mature ESOP Companies

Register for one, two, or all three of these back-to-back seminars.

October 20, 2010 :: Philadelphia, PA

From Our Meeting Series The ESOP Company Symposium

This traditional learning format brings you face-to-face with our expert presenters. Our seminars include a networking luncheon and optional dinner outing, and provide ample opportunity for attendees to ask questions and interact with others.

The ESOP Company Symposium is a three-day event that gives you a chance to hear from leading experts, work through specific issues in structured interactive sessions, and periodically break into small groups to exchange ideas and information. There are panels of experts, of course, but a few times each day you will break into small groups, each with one or more experts at the table, to work through issues of specific concern to you. The groups will report back to the whole session to share key insights. You can register for one, two, or three days of this event:

Program

9:00 am Welcome and Introduction
Loren Rodgers, NCEO
9:30 am Valuation Issues for Mature ESOPs
Robert Gross & David Diehl, Prairie Capital Advisors, Inc.
10:15 am Keeping a Mature Plan Relevant
Joseph Marx, Principal Financial Group
11:00 am Break
11:15 am Table Talks - Roundtable Discussion Groups
11:45 am Best Practices for Executive Compensation
Brian Hector, Morgan Lewis & Bockius LLP
12:30 pm Lunch with the Experts
1:30 pm Keeping Your ESOP Culture Alive - Or Getting One Going
Kellee Kroll, Principal Financial Group
2:15 pm Table Talks: Roundtable Discussion Groups
2:45 pm Break
3:00 pm The Nuts and Bolts: Executive Compensation, Audits, Lawsuits, Board Structure, and Trustee Transitions
Ron Gilbert, ESOP Services
4:00 pm Adjourn
4:00 pm Meet with an Expert (optional)
Sign up for a one-on-one session with the expert of your choice

Registration

NCEO members: $195.00 per person through September 27 and $230.00 thereafter. (If you are not an NCEO member but join when you register, you will receive the member price.)

Nonmembers: $265.00 per person through September 27 and $300.00 thereafter.

Number of Attendees:

Cancellation Policy

A full refund will be issued, less a $50 administrative fee, if the request is received by the close of business on September 27, 2010. Cancellations made after that date and before our guarantee date of October 13, 2010, will be eligible for credit toward another program, minus a $50 administrative fee. Those canceling on or after the guarantee date will not receive a paper credit or a refund.

Speaker Information

David M. Diehl, CFA is a director of corporate finance at Prairie Capital Advisors, Inc. For the past ten years David has advised clients on ownership transition issues, with particular emphasis on ESOP valuation, financing and structuring. He is a nationally recognized speaker on the topic of valuation. David holds an MBA from Northwestern University's J.L. Kellogg Graduate School of Management and a BS from Indiana University.

Ron Gilbert is president of ESOP Services, Inc., an international consulting company that quarterbacks ESOP transactions for private and public companies. The firm has 25 years of experience in feasibility analysis, financing, plan and transaction design, repurchase obligation analysis, communications, privatization, and ongoing applications of ESOPs. Services are provided in-house and through offices throughout the U.S. by the leading ESOP practitioners in areas of specialization that include law, valuation, and administration. ESOP Services, Inc. has numerous clients in a broad range of industries

Robert Gross is senior managing director at Prairie Capital Advisors, Inc., a recognized leader in providing financial advisory services to middle market companies. The firm designs and implements customized ownership succession strategies, including private sales, management buyouts and ESOPs. Integral to the firm's practice are its valuation capabilities, which provide a basis for succession planning, ESOPs, estate and gift tax filings, fairness opinions and a variety of other transactions. Prior to forming Prairie Capital Advisors, Inc. Bob, was a first vice president with Merrill Lynch Business Advisory Services. Since 1989, he had occupied senior positions in both the valuation and ESOP advisory groups. Bob has continuously focused on matters involving closely held companies, with a particular emphasis on the structuring and implementation of various ownership succession strategies.

Brian Hector, a partner at Morgan, Lewis, & Bockius LLP, focuses his practice on ERISA and employee benefits law including the areas of ESOPs, qualified plans, all types of executive compensation, fiduciary liability, and related securities law issues. He has served as counsel to companies and shareholders regarding the use of ESOPs in numerous transactions, including equity repurchases, ownership succession transactions, and corporate reorganizations. He has also represented lenders and trustees in ESOP transactions. Brian has also represented several clients before the IRS and the Department of Labor in connection with employee benefits matters, including in connection with ESOPs. Brian has lectured extensively regarding employee benefits and ESOPs. He speaks regularly at the annual national conferences of TEA, the NCEO, at their local and regional conferences, and numerous other seminars.

Kellee C. Kroll is a consultant for the ESOP education and communication team of Principal Financial Group. She has been assisting ESOP plan sponsors nationwide for more than nine years, with an emphasis in ESOP communication for the past six years. She specializes in designing customized communication strategies, using clear and concise language and materials. She also helps ESOP companies implement and develop ESOP advisory committees that serve to educate employees, promote an employee ownership culture, and help connect employees' everyday work to stock value. Kellee is an active member of the NCEO and TEA.

Joseph E. Marx is a consultant with the Principal Financial Group. His background includes 20 years of experience with a "Big 4" CPA and consulting firm. He specializes in assisting companies in the analysis, design, implementation, and operation of ESOPs and other pension and benefit plans. He is a member of the American Institute of Certified Public Accountants, New York State Society of Certified Public Accountants, TEA, and the NCEO. He also sits on the finance committee of TEA.

Loren Rodgers is a project director and the director of research at the NCEO, where he specializes in ESOPs, best practices for employee ownership companies, and communications. Active in the field since 1995, he works with firms at all stages of developing ownership cultures, speaks extensively, and has written dozens of articles on topics including employee motivation, corporate governance, ESOP transactions and operations, and business literacy. He will become the NCEO's Executive Director in April 2011.

Meeting Site

The meeting will be held at the Hampton Inn Center City Philadelphia, located at 1301 Race Street, Philadelphia, PA 19107. Sleeping rooms are available for our group at a special rate of $129. To make a reservation please call the hotel directly at 215-665-9100 before September 27, 2010. Please mention the National Center for Employee Ownership (NCEO) when making your reservation.

Continuing Education Credit

CPE Credit

The National Center for Employee Ownership (NCEO) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue, Nashville, TN 37219-2417.

This program is a "group-live" offering and provides 5.50 hours of CPE credit for accountants in the area of "specialized knowledge and applications." The material is basic level. No prerequisites or advanced preparation is needed. For more information regarding administrative policies such as complaint and refund, please contact the NCEO at 510-208-1300.

HRCI Recertification Credit

HRCI logoThis program has been approved for 5.50 hours of recertification credit hours toward PHR and SPHR re-certification through the Human Resource Certification Institute (HRCI). For more information about certification or re-certification, please visit the HRCI home page at www.hrci.org.
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