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IN-PERSON MEETING

Strategic Planning for Your ESOP

Register for one, two, or all three days of this seminar

October 24, 2013 :: Minneapolis, MN

About This Meeting

More and more companies are acquiring other companies. There are a variety of ways to structure these transactions to make sure they work for you and your employee owners. Like any ESOP transaction, they involve important legal, fiduciary, financial, valuation, and cultural issues. This seminar is strictly educational speakers focus on the issues, not selling their services. Attendees will have ample opportunity to interact with other attendees and work with experts in small group discussions.

From Our Meeting Series The ESOP Symposium: Ownership Solutions for Established ESOPs

You will be able to register for any combination of days and/or tracks for this 3-day seminar:
Advanced Issues Track:
Governance Track:

Program

9:00 AM Welcome and Introduction
Loren Rodgers, National Center for Employee Ownership
9:15 AM Elements of Strategic Planning and How They Affect Each Other in an ESOP Context
Matthew R.Schubring, Chartwell Capital Solutions
10:00 AM Structuring an Acquisition with an ESOP
James Steiker, SES Advisors, Inc.
10:45 AM Break
11:00 AM Buying Out the Owner in Stages
David R. Johanson, Jackson Lewis LLP
11:45 AM Table Talks - Roundtable Discussion Groups
12:30 PM Lunch with the Experts
1:30 PM Valuation and Financing Concerns
Steve Nelson, Chartwell Capital Solutions
2:15 PM Fiduciary Issues
Neil M. Brozen, BTC ESOP Services,Bankers Trust Company
3:00 PM Break
3:15 PM Leadership Succession
TBA
3:45 PM Involving Employees in Strategic Planning
TBA
4:15 PM Adjourn

Presenters

Neil M. Brozen

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BTC ESOP Services, Bankers Trust Company of South Dakota

Neil M. Brozen, CPA, began the ESOP trustee services business for BNC National Bank in 2005 and opened the Minneapolis office for BTC ESOP Services in 2010. He has served as directed or discretionary trustee for 35 on-going ESOPs and transactional trustee for 55 ESOPs. The transactions have included: acquiring employer stock; selling employer stock or assets; terminations/redemptions; ESOP note refinancing and other one-time engagements. Neil has worked with numerous ESOP valuation firms, law firms and record keeping firms on these ESOP clients who are located in 35 states. Neil is an active member of the NCEO, the ESOP Association (TEA), Ohio Employee Ownership Center (OEOC), the California/Western states and Minnesota/Dakota chapters of the TEA as well as a member of the board of governors for the TEA. Neil is a frequent speaker for these organizations and he recently wrote a chapter entitled "Responding to Unsolicited Offers to Purchase ESOP Companies: Issues for Plan Fiduciaries" for the NCEO Issue Brief "Responding to Acquisition Offers in ESOP Companies."

David R. Johanson

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Jackson Lewis LLP

David R. Johanson is a partner in the Los Angeles, California office of Jackson Lewis LLP. David assists clients in general corporate matters and in employee ownership, benefit, ERISA, and related business matters, with an emphasis on executive compensation, equity incentive plans, non-qualified deferred compensation, employee stock ownership plans (ESOPs), ESOP transactions, mergers and acquisitions (and related tax planning), and business succession and estate planning. David has served as outside general counsel to numerous corporate clients over the past 26 years. He also frequently appears on behalf of clients in business and employment-oriented defense litigation in state and federal courts throughout the country, before regulatory agencies (e.g., U.S. Department of Labor, California Labor Commissioner, and the U.S. Equal Employment Opportunity Commission), in tax controversies before the Internal Revenue Service and comparable state regulatory agencies, and in dispute resolutions of various kinds.

Steve Nelson

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Chartwell Capital Solutions

Steve is a managing director within Chartwell Capital Solutions' ESOP advisory practice. For more than 20 years, he has provided financial advisory services to privately held companies and is a recognized authority on business valuation and ownership transition. He has advised clients on ESOP transaction structures, valuation, mergers and acquisitions, and other general corporate matters.

Loren Rodgers

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National Center for Employee Ownership

Loren Rodgers is the executive director of the National Center for Employee Ownership (NCEO). 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 the impact of employee ownership, employee motivation, corporate governance, ESOP transactions and operations, and business literacy.

Matthew R. Schubring

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Chartwell Capital Solutions

Matthew R. Schubring, ASA, is a principal at Chartwell Capital Solutions and leads Chartwell's capital strategies practice, helping companies make informed capital allocation decisions. He has been involved in structuring complex transactions, including re-levering and restructuring ESOP companies and has extensive experience assisting business owners in the transfer of ownership to family members, management teams and third parties. His valuation opinions have withstood scrutiny by the Internal Revenue Service and the Department of Labor. Much of Matt's professional career has been dedicated to Employee Stock Ownership Plans and providing independent financial advisory services to ESOP Trustees and other corporate fiduciaries

James Steiker

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SES Advisors, Inc.

Jim Steiker is chairman and CEO of SES Advisors, Inc. and founding partner and chairman of its sister law firm, Steiker, Fischer, Edwards & Greenapple, P.C. Jim is a corporate, pension, and tax attorney and financial advisor with more than 25 years of experience in Employee Stock Ownership Plans (ESOPs) and other employee ownership matters, focusing primarily on ESOP design, transactions, and compliance in entrepreneurial companies. Jim serves on the NCEO board of directors, is a trustee of the Employee Ownership Foundation, and the chair of the Finance Committee of The ESOP Association. He is a frequent speaker and author on ESOP matters and serves as a director of eight ESOP companies.

Meeting Site

The meeting will be held at the Hilton Minneapolis, located at 1001 Marquette Avenue, Minneapolis, MN 55403. Sleeping rooms for our group are available at a special rate of $189. To make a reservation please call the hotel directly at 612-376-1000 by September 23, 2013. Please mention the National Center for Employee Ownership (NCEO) when making your reservation..

Registration

NCEO members: $195.00 for the first person and $170.00 for each additional person through September 23; $245.00 for the first person and $220.00 for each additional person thereafter. (If you are not an NCEO member but join when you register, you will receive the member price.)

Nonmembers: $265.00 for the first person and $240.00 for each additional person through September 23; $315.00 for the first person and $290.00 for each additional person thereafter.

Number of Attendees:

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 submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

This program is a "group-live" offering and provides 6.50 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 logoThe use of this seal is not an endorsement by HR Certification Institute of the quality of the program. It means that this program has met the HR Certification Institute's criteria to be pre-approved for re-certification credit.

This program has been approved for 5.00 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.

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 23, 2013. Cancellations made after that date and before our guarantee date of October 16, 2013, 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.