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IN-PERSON MEETING

Is an ESOP Right for You?

October 16, 2013 :: Clayton (St. Louis), MO

About This Meeting

This one-day meeting brings together leading experts from around the country to provide a practical, step by step guide to determine if an ESOP will work for you, if it does, how to set it up to make it work. This seminar will discuss;

From Our Meeting Series ESOPs: Feasibility & Best Practices for S Corporation ESOPs

Register for one or both days of these back-to-back seminars:

Is an ESOP Right for You? (Clayton (St. Louis), MO; Oct 16, 2013)
Best Practices for S Corporation ESOPs (Clayton (St. Louis), MO; Oct 17, 2013)

Program

9:00 AM Welcome and Introduction
Loren Rodgers, NCEO
9:30 AM ESOP Transaction Structures
James Steiker, SES Advisors, Inc.
10:15 AM Assessing ESOP Feasibility
Owen Schmidt, Principal Financial Group
11:00 AM Break
11:15 AM Table Talks - Roundtable Discussion Groups
12:00 PM Lunch
1:00 PM Designing an ESOP
Bryan Golden, Private Capital Corporation
1:45 PM Determining Stock Value
David Burdette, Prairie Capital Advisors, Inc.
2:30 PM Financing an ESOP
Will Bloom, Chartwell Capital Solutions
3:15 PM Break
3:30 PM Legal & Fiduciary Issues
Jamie Kwiatek, Polsinelli Shugart
4:15 PM An ESOP Company Perspective
TBA
4:45 PM Table Talks - Roundtable Discussion Groups
5:00 PM Adjourn

Presenters

Will Bloom

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Chartwell Capital Solutions

Will is an investment banker for Chartwell Capital Solutions' corporate finance practice. Will has experience working on mergers and acquisitions, as well as capital markets transactions within a multitude of industries. Will has executed high-profile ESOP buyouts, terminations, financings, and restructurings. Prior to Chartwell, Will was an investment banker with Bank of America Merrill Lynch, where he executed sell-side, buy-side, capital markets, and ESOP transactions for middle-market clients between $200 million and $1 billion in enterprise value.

David P. Burdette

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Prairie Capital Advisors, Inc.

David P. Burdette, vice president operates out of our Prairie Capital Advisors' Atlanta, Georgia office. He performs valuations of businesses, business interests, and tangible and intangible assets for employee stock ownership plans (ESOPs), gift and estate planning, strategic planning, mergers and acquisitions, financial accounting, and tax reporting purposes. David specializes in ESOP analysis, including ESOP formation and adequate consideration analyses, feasibility studies, transaction financing and restructuring, fairness and solvency opinions, post-transaction cash flow analyses, and annual valuations. David has valued the following types of business entities and securities: closely held corporation business enterprises, closely held corporation fractional ownership interest, public corporation subsidiaries/divisions, complex capital structures (various classes of common/preferred stock, options, warrants, grants, rights), general and limited partnership interests, joint ventures, proprietorships, professional service corporations, professional practices, LLPs and LLCs.

Bryan J. Golden

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Private Capital Corporation

Bryan Golden is managing director of Private Capital Corporation, one of the oldest broadened ownership consulting firms in America. Dickson C. Buxton, founder of Private Capital, co-founded the ESOP Association. Bryan specializes in design/implementation of the company's Comprehensive Perpetuation PlanningTM process, created to assist owners of private firms plan for liquidity, broadened ownership in the firm, and to establish effective, tax-favored ownership and management succession plans. Tools used include the ESOP and PCC's proprietary Management Stock Ownership Plan (MSOPTM), among others. Bryan has extensive public and private corporate management experience, and founded his own manufacturing company. He was also a founder of an early ESOP company formed through a leveraged $95 million buyout of a division of a well-known multi-billion dollar industrial firm. Bryan is a frequent speaker at NCEO and ESOP Association events.

Jamie Zveitel Kwiatek

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Polsinelli, Shughart PC

Jamie Zveitel Kwiatek is an attorney with Polsinelli, Shughart PC. With more than 30 years of experience, Jamie Zveitel Kwiatek focuses her practice on employee benefits law, ERISA, and executive compensation. She also advises on matters pertaining to plan operation and fiduciary obligations. Jamie also has significant experience with ESOPs and is a member of the NCEO and the Best Lawyers in America in Employee Benefits.

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.

Owen Schmidt

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Principal Financial Group

Owen A. Schmidt is a director of consulting for the ESOP practice within the retirement and investor services division of The Principal Financial Group. He is a graduate of the State University of New York with a Bachelor of Arts degree in economics. He has more than 20 years of experience and his areas of expertise include the feasibility, design, installation, and administration of qualified and non-qualified Plans, including ESOPs, 401(k) plans, defined benefit plans, and defined contribution plans. Owen is a member of the National Center for Employee Ownership and The ESOP Association.

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 Crown Plaza,located at 7750 Carondelet Avenue, Clayton, MO. Sleeping rooms rates for our group are available at a special rate of $129. Please call the hotel directly at 314-726-5400 by September 24, 2013. Please mention the National Center for Employee Ownership (NCEO) when making your reservation. Or, you may make your reservation online at www.cpclayton.com and entering group code EOZ.

Registration

NCEO members: $195.00 for the first person and $170.00 for each additional person through September 24; $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 24; $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 7.50 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.

IRS Credit

The National Center for Employee Ownership (NCEO) is registered with the IRS as an approved provider of continuing education credit. This program provides 3.00 hours of IRS credit for Enrolled Retirement Plan Agents. Programs listed in other areas of our Web site are not approved for continuing education credit for Enrolled Retirement Plan Agents. Attendees must provide a PTIN with their registration in order to obtain IRS CE credit. Continuting education credit is not mandatory for tax return preparers.

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 5.50 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.

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 24, 2013. Cancellations made after that date and before our guarantee date of October 10, 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.