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Program
NCEO/Beyster Institute Employee Ownership Conference
Minneapolis, MN :: April 20-22, 2010
| Symbol Key | |
|---|---|
| E1 = ESOP Basics | E2 = ESOPs: Beyond the Basics |
| EQ = Equity Compensation | CC = Communications and Culture |
| MT = Management (New Ideas and Insights) | |
Pre-Conference Session (Monday, April 19)
1:00-5:00
Equity Compensation Overview (a pre-conference session)
- 1:00-2:30: Overview of Equity Compensation
- Karen Needham, Independent Stock Plan Advisors LLC
- 2:30-2:45: Break
- 2:45-3:30: Setting Equity Compensation Program Objectives
- Pam Chernoff, NCEO
- 3:30-4:15: Equity Compensation in ESOP Companies
- Anthony Mathews, Beyster Institute
- 4:15-5:00: Administering Equity Compensation Programs
- Christine Zwerling, NCEO
Day One (Tuesday, April 20)
8:30-10:30
NCEO Board Meeting
Open to all members9:00-5:00
Registration Open
9:30-5:00
Exhibits Open
9:30-10:30
Morning Break
Sponsored by Katten Muchin Rosenman LLP10:30-11:45
Kick-Off Sessions
- ESOP Sustainability: The Big Picture (MT)
- Jared Kaplan, McDermott Will & Emery (Moderator); Tom E. Wosepka, Douglas Machine Inc.; Sandra Green, n-Link Corporation; Brad Swenson, Ulteig Engineering Inc.
- Effective Equity Compensation: Who Should Get How Much? (EQ)
- Dan Walter, Performensation Consulting (Moderator); John H. Brown, Business Enterprise Institute Inc.
- Employee Ownership Changes Lives: The Seldom-Told Part of the ESOP Story (CC)
- Anthony Mathews, Beyster Institute (Co-Mod); Sid Scott, Scott Consultants (Co-Mod); Karl Kussro; Mary Rae Bragg; Geraldine Stamps
- New to Employee Ownership? Get the Most from This Conference (E1)
- Martin Staubus, Beyster Institute (Moderator); Robert Massengill, SES Advisors; Rebecca Hoffman, Principal Financial Group
- Trends and Developments in ESOP Legal and Regulatory Issues (E2)
- Karen Ng, Sedgwick, Detert, Maran & Arnold (Moderator); Bert M. Carmody, Fiduciary Rsk Management; Robert Gertner, IRS; Laurence Goldberg, Sheppard, Mullin, Richter & Hampton
12:00-12:30
Boxed Luncheon
12:30-1:15
Opening General Session
"The State of Employee Ownership"Corey Rosen, NCEO and Anthony Mathews, Beyster Institute
1:15-1:30
Quick Overview of the Agenda and Navigation of Conference Floors
1:45-3:00
Concurrent Sessions #1
- Equity Compensation in Privately Held Companies (EQ)
- Barbara Baksa, NASPP (Co Moderator); Emily Cervino CEPI (Co-Moderator)
- The Secret Life and Novel Applications of Employee Stock Purchase Plans (EQ)
- James Volpe, Wells Fargo Shareowner Services (Moderator); John Hammond, Transcentive
- Management Succession: Getting it Right (MT)
- Tracy E. Woolsey, Horizon Trust & Investment Management (Moderator); Alexander L. Mounts, Krieg DeVault; Jeff Buettner, Stout Risius Ross, Inc
- Building a Culture of Ownership by Promoting Interpersonal Communication Skills (CC)
- Randolph Rowland, Teamswork LLC
- Beyond Open Book Management (CC)
- Rich Armstrong, The Great Game of Business
- ESOPs in Business Succession and Estate Planning (E1)
- James T. Griffin, Wells Fargo Investments (Moderator); Scott D. Miller, Enterprise Services Inc., Kevin Trieber, Bank of America/Merrill Lynch
- Corporate Governance in the ESOP Company (E1)
- Paul Trost, North Star Trust Company (Co-Moderator); Steven B. Greenapple, Steiker, Fischer, Edwards & Greenapple (Co-Moderator)
- Fundamentals of ESOP Repurchase Obligation (E1)
- Clifford Canavera, Canavera Financial Group (Moderator); James Ahern, ComStock Valuation Advisors; Thomas G. King, King Financial
- Innovative Planning Strategies for Mature ESOP Companies (E2)
- Mary Sullivan Josephs, Evergreen Private Capital Advisors (Moderator); David Ackerman, Morgan, Lewis & Bockius; Robert J. Gross, Prairie Capital Advisors
- It Takes a Village: Making Sure ESOP Advisors Work Together (E2)
- Nancy Dittmer, RSM McGladrey Retirement Resources (Moderator); Richard Joseph, Alerus Financial; Christopher Staloch, Chartwell Capital Solutions
3:00-3:30
Afternoon Break
Sponsored by Crowe Horwath LLP3:30-4:45
Concurrent Sessions #2
- Equity Compensation Plans for ESOP Companies: Why and When? (EQ)
- Karen Needham, Independent Stock Plan Advisors (Moderator); Kimberly Kovacs, OptionEase
- Equity Incentives for LLCs (EQ)
- Daniel N. Janich, Greensfelder, Hemker & Galen(Moderator); Andrew M. Spingler, The Focal Point
- Successful Strategies for ESOPs and Family Businesses (MT)
- Jack Veale, PTCFO (Moderator); Robert Taylor, Falcon Industries
- Creating Incentive Plans that Support Your ESOP (CC)
- Alex Freytag, Ownership Thinking
- ESOP Committees: Tools and Strategies for Success (CC)
- Loren Rodgers, NCEO (Moderator); Sherri McDermott, Sentry Equipment Corporation; Nicholas P. Banovetz, Padilla Speer Beardsley
- Two ESOP Company Case Studies (CC)
- Hilary Hughes, Columbia Financial Advisors (Moderator); Glenn Elo, LifeTouch; Steve Anderson, Meier Enterprises
- Determining the Feasibility of an ESOP (E1)
- Andrew Ward, Stout Risius Ross (Moderator); Allison Wilkerson, Morgan Lewis & Bockius; Dore Antonello, Construction Midwest, Inc.; Bucky Wright,Comstock Valuation Advisors
- ESOP Plan Design (E1)
- Lynn DuBois, Sheppard, Mullin, Richter & Hampton (Moderator); Paige Ryan, ESOP Services,Inc.; Michael Coffey, Corporate Capital Resources Inc
- Should the ESOP Repurchase Obligation be Reflected in Stock Value? (E2)
- Judith Kornfeld, ESOP Economics (Moderator); Nick Adamy, Adamy Valuation Advisors; Doug Ruch, Fleetwood Group; Stephen D. Smith, Kreig DeVault
- New ESOP Trustee Challenges in Light of Developing Indemnification Case Law: Impact of Decisions in Couturier and K-M Holdings (E2)
- Jude Anne Carluccio, Barnes & Thornburg (Moderator); Sharon Hearn, Kreig DeVault; Kimberly Serbin, First Bankers Trust Services
5:00-7:00
Opening Cocktail Reception
Sponsored by over 75 companies and firmsSpecial thanks to beverage sponsor McDermott, Will & Emery
Day Two (Wednesday, April 21)
8:00-5:00
Registration and Exhibits Open
8:00-9:00
Buffet Continental Breakfast
8:00-9:00
Breakfast Discussion Roundtables
9:00-10:15
General Session: Innovations in Employee Ownership Awards
10:30-11:45
Concurrent Sessions #3
- Equity Compensation Communication Challenges: Don't Do That, Do This (EQ)
- Pam Chernoff, NCEO (Moderator); Dan Walter, Performensation Consulting; Karen Needham, Independent Stock Plan Advisors; Christine Zwerling, NCEO
- Using Employee Ownership to Foster Innovation (MT)
- Martin Staubus, Beyster Institute (Moderator); Malcolm De Leo, Daymon Worldwide; Robert Porter Lynch, Warren Company
- An Ownership Tale (CC)
- Corey Rosen, NCEO
- Strategies to Develop Appreciation for the ESOP: Account Projections, ESOP Statements and More (CC)
- Cindy Prodoehl, Principal Financial Group (Moderator); Natalya Steinke, MW Builders Inc./MMC Corporation
- ESOP Financing: What Every Borrower Should Know (E1)
- Elizabeth Perdue, Morgan, Lewis & Bockius (Moderator); Kim Abello, JP Morgan Chase; Kenneth E. Serwinski, Prairie Capital Advisors
- S Corporation ESOP Basics (E1)
- Susan Lenczewski, Gray Plant Mooty Mooty & Bennett (Moderator); John E. Johnson, Office of John E. Johnson
- Working Session: Setting Up an ESOP (E1)
- Cecilia Loftus, ESOP Economics (Moderator); Howard J. Rubin, Barnes & Thornburg; Marc Baluda, Morgan, Lewis & Bockius; Keith Mericka, UBS Financial Services; Michael Holzman, Morgan, Lewis & Bockis, Matt Schubring, Chartwell Capital Solutions
- Challenging Issues in ESOP Corporate Governance (E2)
- Gregory K. Brown, Katten Muchin Rosenman (Moderator); David R. Johanson, Johanson Berenson
- The Responsibility of the Board of Directors in Addressing ESOP Repurchase Obligation (E2)
- Kim Blaugher, Principal Financial Group (Co-Moderator); Philip J. Carstens, K&L Gates (Co-Moderator); Marty Bassett, Walman Optical Company
- Accounting for ESOPs (E2)
- Rebecca Miller, McGladrey and Pullen
12:00-1:15
Luncheon with Choice of Roundtable Discussions
Sponsored by Principal Financial Group and Wells Fargo Shareowner Services1:30-2:45
Concurrent Sessions #4
- Employment Agreements, Offer Letters & Section 409A:Best Practices (EQ)
- Elizabeth Goldstein, Elizabeth Goldstein PC; Alison Wright, Howard Rice (Co-Moderators)
- Building a Board to Grow Your ESOP Success (MT)
- Alexander Moss, Praxis Consulting Group (Moderator); Veda Clark, Litecontrol, Inc., Thomas H. Mug, Gallop Johnson & Neuman
- Innovations Award Winners Presentations (CC)
- Loren Rodgers, NCEO (Moderator) speakers TBA
- Measurable Results: Evaluating Your ESOP Communication Efforts (CC)
- Kellee Kroll, Principal Financial Group (Moderator); Kathy Clark, FBG Service Corporation
- Basic ESOP Administration (E1)
- Steve Storkan, Employee Benefits Group(Moderator); Karen Miracle, Swerdlin & Company
- Determining ESOP Value: How ESOP Trustees and Appraisers Work Together (E1)
- Pamela Steverango, Chartwell Capital Solutions; Neil M. Brozen, BNC National Bank (Co-Moderators)
- Working Session: Mature ESOP Companies (E1 & E2)
- Kevin Long, Chang, Ruthenberg & Long (Moderator); Geoffrey PeConga, Principal Financial Group; Robert Bye, Northwestern Mutual Financial Network; Marilyn Marchetti, GreatBanc Trust Company; Lori Stuart, Crowe Horwath; James Myott, Boulay, Heutmaker, Zibell & Company
- Political Challenges for S Corporation ESOPs (E2 and E1)
- Mark Lewis, Woodfold Manufacturing (Moderator); Robert F. Schatz, Schatz Law Offices; Chuck Bachman, Menke & Associates
- Internal Loans and Delayed Distributions in an ESOP (E2)
- Deborah P. Baker, JP Morgan Chase (Moderator); Merri Ash, First Bankers Trust Company; Tina Di Croce, ESOP Economics; Brian Hector, Morgan, Lewis & Bockius
- ESOPs: How to Survive IRS & DOL Reviews & Audits (E2)
- Theodore M. Becker, Morgan, Lewis & Bockius (Moderator); W. William Gust, Gentry Locke Rakes & Moore; Dolores Lawrence, Blue Ridge ESOP Associates
2:45-3:15
Afternoon Break
Sponsored by PTCFO3:15-4:30
Concurrent Sessions #5
- Accounting for Equity Compensation Companies (EQ)
- Kimberly Kovacs, OptionEase
- Top Success Factors for Creating an Ownership Culture Through Leadership Development (MT/CC)
- Ted Freeman, Praxis Consulting Group (Moderator); Carolyn Stanworth, BL Companies
- How to Set Up Effective Teams & Participation in an Employee-Owned Company (CC)
- Paul Horn, WorkPlace Consultants (Moderator); Lori Meader, Arvig Communications Systems
- Who Should be a Trustee in an ESOP? Internal vs. External Trustees (E1)
- Nels Carlson, Alerus Financial (Moderator); Kathleen Scheidt, Katten Muchin Rosenman
- Valuation of Stock for Sale to an ESOP (E1)
- Mike Hartman, Willamette Management Associates (Moderator); Craig d. Olinger, Enterprise Services; Larry Gwaltney III, Moore & Van Allen
- ESOP Terminations, Partial Plan Terminations and Severe Drops in Stock Value (E2)
- Barbara Clough, Blue Ridge ESOP Associates; Matt Goedert, Sedgwick Detert Moran & Arnold (Co-Moderators)
- Issues and Opportunities in ESOP Diversification (E2)
- Louis Joseph, Morgan, Lewis & Bockius (Moderator); Steve Martin, Reliance Trust Company; Matthew Keene, Principal Financial Group
- When ESOPs go Wrong, or What NOT to do with an ESOP (E2)
- Lynn Archer, Barnes Thornburg (Moderator); Scot Storjohann, Bankers Trust Company; Clyde Rhodes, MacArthur Company
- Coordinating Your ESOP With Other Plans (E2)
- Joseph Marx, Principal Financial Group(Moderator); Aaron Juckett, ESOP Insourcing Inc.
4:40-6:00
One-on-One Expert Mini-Consultation Sessions
Sign up at the conference (in advance) for a 20-minute private session.5:45-7:45
Off-site Cocktail Reception
Hosted by Barnes & Thornburg, LLP, Chartwell Capital Solutions, HLB Tautges Redpath, Ltd.Day Three (Thursday April 22)
8:00-12 Noon
Registration and Exhibits Open
8:00-9:00
Buffet Continental Breakfast
8:00-9:00
Breakfast Table Talk Sessions
9:00-10:30
Keynote Address
David Erdal, director, Baxi Partnership Ltd (United Kingdom) presents "The Employee-Owned Corporation: Humanity Working" (see bio [opens in new window])Sponsored by Chang, Ruthenberg & Long
10:45-12 noon
Concurrent Sessions #6
- Restricted Stock/RSUs & Performance Shares: What's Important to Know About Trends, Design, Administration, Tax, Accounting & Employee Communication (EQ)
- Christine Zwerling, NCEO (Moderator); Jule Torre, Applied Materials
- Leadership Transitions that Provide Cultural Continuity in Employee-Owned Companies (MT/ CC)
- Virginia Vanderslice, Praxis Consulting Group (Moderator); Roseline Marston, AD Marble & Co.
- ESOP Communications in Uncertain Times (CC)
- Victor Aspengren, McGladrey & Pullen (Moderator); Steve Tufte, Innovance
- HR policies that Support Employee Ownership (CC)
- Dan Marcue, Woodward Communications (Moderator); Mike Sessions, Pizzagalli Construction Company; Jason Sharpe, Namaste Solar
- Working Session: ESOP Governance (E1 and E2)
- Marc Schechter, Butterfield, Schechter (Moderator); Stephen R. Eide, Gray, Plant, Mooty, Mooty & Bennett; Gary Greenwald, Keller Rohrback; Tabitha Croscut, Steiker, Fischer, Edwards & Greenapple; Scott Adamson, Morgan Lewis Bockius; Robert Brown, Boylan Brown
- The Importance of Integrating Strategic Planning, Repurchase Obligation, & Valuation (E1)
- Paul Halverson, Chartwell Capital Solutions (Moderator); Greg Fresh, Evergreen Advisory; Joe Grabowski, Wenck Associates
- After the Fall: The Recent Economic Crisis & ESOPs (E2)
- John Miscione, Duff & Phelps (Moderator); Kreg Jackson, Houlihan Lokey; James Steiker, SES Advisors
- Feasibility for Second-Stage ESOPs (E2)
- Pete Prodoehl, Principal Financial Group (Moderator); Bryan J. Golden, Private Capital corporation; Nathan Perkins, Bank of America/Merrill Lynch
- ESOPs in Mergers & Acquisitions (E2)
- William W. Merten, McDermott Will & Emery(Moderator); Vaughn Gordy, GreatBanc Trust Company
12:00 Noon
Conference Adjourns
Continuing Education Credit
Certified Equity Professional Institute (CEPI)
Including the pre-conference session, this conference offers up to 16 hours (4 hours for the pre-conference session and 12 for the main conference) of continuing education credit through the Certified Equity Professional Institute at Santa Clara University.CPE Credits for Accountants
This program is a "Group-Live" offering and provides 15 hours of CPE credit for the main conference and 4 hours for the pre-conference in the area of specialized knowledge and applications. The material is basic level. No prerequisites or advance preparation are required.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 North, Suite 700, Nashville, TN 37219-2417 or by visiting the web site: www.nasba.org
For more information regarding administrative policies such as complaint and refund, please contact the NCEO offices at 510-208-1300.
HRCI Recertification Credit
This program has been approved for 15 re-certification 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.
