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IN-PERSON MEETING

ESOP Nuts and Bolts: What You Need to Know About Employee Stock Ownership Plans

Hosted by employee owned Axia Home Loans

July 11, 2019 :: Bellevue, WA

From Our Meeting Series ESOP Nuts and Bolts

To maintain the integrity of this meeting, registration is restricted to companies that either have an ESOP or are considering one (see below under "Registration").

About This Meeting

This meeting covers the essentials of how an employee stock ownership plan (ESOP) works. Held at a leading ESOP company, it also provides an opportunity to learn about employee ownership from employee-owned companies. The session is aimed at people thinking about an ESOP, but may also be useful as a review for people in ESOP companies who want to know more about how the plans work.

Program

8:30 AM
Check-in and Refreshments
9:00 AM
Welcome and Introduction
Ramona Rodriguez-Brooks, NCEO
9:25 AM
An ESOP Company Perspective
Quinn Brown, AXIA Home Loans
9:45 AM
What Is An ESOP and What Can You Use It For?
Olivia Pieschel, Chartwell
10:30 AM
Break
10:45 AM
What's Your Company Worth? ESOP Valuation
Nic Staloch, Columbia Financial Advisors
11:30 AM
ESOP Feasibility
Mitchell Miller, The Beyster Institue, UC California, San Diego
12:15 PM
Lunch
1:15 PM
ESOP Plan Designs That Work
Jason Bolt, Willamette Management Associates
2:00 PM
How to Finance an ESOP
Bryan Golden, Private Capital Corporation
2:45 PM
Who Runs This Thing? ESOP Fiduciary Issues
Lynn Archer, GreatBanc Trust Company
3:30 PM
Break
3:45 PM
Small Group Discussions
4:30 PM
Adjourn

Presenters

Lynn A. Archer

presenter photologo

GreatBanc Trust Company

Lynn Archer serves as senior vice president and business development officer in the employee stock ownership plans (ESOP) Client Services group, focusing on managing client relationships and ESOP transactions. Lynn joined GreatBanc in 2018. Prior to joining GreatBanc, she was Of Counsel for the ESOP group at Lathrop Gage LLP. Lynn also served as director-ESOP consulting for the Principal Financial Group, and as partner for Barnes & Thornburg LLP. Beginning her career in ESOP services in 2002, Lynn is skilled in drafting transaction documents and addressing risk management and other fiduciary processes. Lynn earned a bachelor of arts in religion from Carleton College. She earned a juris doctor from Lewis & Clark Law School, where she also earned a tax certificate and participated in Tax Moot Court.

Quinn Brown

presenter photologo

Axia Homes Loans

Quinn Brown has been in the banking and financial sector for more than 30 years. As chief financial officer of Axia Homes Loans she oversees all financial processes and reporting. Quinn has successfully completed the acquisition and integration of two companies and played a central role in transitioning Axia Home Loans from an LLC to become employee owned.

Bryan J. Golden

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Private Capital Corporation

Bryan is managing director of Private Capital Corporation, one of the oldest ESOP consulting firms. Bryan specializes in comprehensive perpetuation planning, assisting clients plan for liquidity, broadened ownership, and tax-favored succession plans, using ESOPs and PCC's proprietary Management Stock Ownership Plan, among others. He has extensive corporate management experience and founded his own manufacturing company. He also cofounded an ESOP company with a leveraged $95 million buyout of a division of a multi-billion dollar industrial firm. Bryan is a frequent speaker at ESOP Association and NCEO events.

Mitchell Miller

presenter photologo

The Beyster Institute

Mitchell began his career in commercial litigation and has litigated issues including contract disputes, minority shareholder rights, and professional fiduciary liability. He joined the Beyster Institute as a consultant in 2017. Mitchell has substantial experience advising clients on innovative uses of equity, including ESOPs, and other forms of broad-based employee ownership. Mitchell received his bachelor's degree from the University College Maastricht in the Netherlands, and his JD from the California Western School of Law in San Diego.

Olivia Pieschel

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Chartwell

Olivia provides financial advisory and valuation services to privately-held middle market companies. She has substantial experience with Employee Stock Ownership Plans (ESOPs) and providing independent financial advisory services to ESOP Trustees and other corporate fiduciaries. She also has experience with general corporate planning, fairness opinions, shareholder liquidity alternatives, executive compensation, and financial reporting. Throughout her career, Olivia has worked with a diverse demographic of companies. In particular, she has significant experience valuing companies in the architecture and engineering (AE) market.

Ramona Rodriguez-Brooks

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NCEO

Ramona works for the NCEO in Oakland, CA. As outreach and membership coordinator, Ramona focuses on spreading the word about the benefits of employee ownership to companies, community groups, business leaders, and the public. She also works to ensure that the NCEO's membership is supported and growing. She brings to her job diverse professional experiences from managing education and outreach programs at a small theater company, to line cooking at a large film studio, to running all technical aspects of live performances.

Dominique (Nic) Staloch

presenter photologo

Columbia Financial Advisors, Inc.

Nic Staloch has performed hundreds of business valuations and financial advisory services for shareholders, board of directors, trustees, attorneys, accountants, and other advisors. He has advised clients on ESOPs, ownership transition, mergers and acquisitions, and other corporate financial needs in several industries. His valuation and advisory experience includes buy-side and sell-side ESOP transactions, annual ESOP updates, ESOP feasibility, estate and gift tax valuations, and appraisal engagements for a variety of other purposes.

Meeting Site

The meeting will be held at Axia Homes Loans, located at 1120 112 Avenue NE, Suite 600, Bellevue, WA 98004. The NCEO does not have a sleeping room block for this meeting. We recommend using an online travel site for reservations if needed.

Registration

All meeting registrations must be prepaid.

NCEO members: $75.00 per person. (Not a member yet? Join during checkout for only $90. Membership is a great way to learn more about employee ownership.)

Nonmembers: $75.00 per person.

Number of Attendees:

General Registration Information

To maintain the integrity of this meeting, registration is restricted to companies that either have an ESOP or are considering one.

Cancellation Policy

A full refund will be issued, less a $20.00 administrative fee, if the request is received by the close of business on June 11, 2019. Cancellations made after that date and before our guarantee date of June 27, 2019, will be eligible for credit toward another program, minus a $20.00 administrative fee. Those cancelling on or after the guarantee date will not receive a paper credit or a refund.