- Employee Stock Ownership Plan (ESOP) Formation and ValuationProvide financial advisory and valuation services to the ESOP Trustee including the design of a Non-Voting Convertible Preferred Stock instrument for the ESOP and two subordinated debt securities to effectuate a Stock Redemption and Leveraged ESOP Transaction.
- Provide financial advisory and valuation services to the key management group in the purchase of a General Contractor/Facilities Maintenance Company in a corporate divestiture/spin-off transaction using a non-leveraged ESOP.
- Provide financial advisory and valuation services to the founder of a valve actuation/packaging concern to effectuate a two-stage exit strategy using a leveraged ESOP and the creation and design of a Voting Convertible Preferred Stock instrument with a ‘super dividend‵ feature to supplement ESOP contribution levels to service ESOP debt financing provided by the founder.
- Provide financial advisory and valuation services to the executive management team of a filtration distributor to purchase a ‟control block‶ held by a dissident shareholder using a leveraged ESOP.
- Provide financial advisory and valuation services to the founders of an engineered products company to form a leveraged ESOP to purchae100.0% of the voting common stock that provided a tax free 1042 election to sellers.Provide financial advisory and valuation services for the formation of a leveraged ESOP that involved the utilization of an Internal Revenue Code (IRC) 1042 ‟tax-free‶ rollover transaction by the founding shareholder(s) to capitalize a new domestic operating company.
- Provide financial advisory and valuation services for the formation of a leveraged ESOP to fund several significant bank acquisition transactions.
- Serving as financial advisor to the Trustees of over 500 closely held community banks in the establishment of both leveraged and unleveraged Employee Stock Ownership Plans (ESOPs) to facilitate founding shareholders‵ exit strategies while providing a management and ownership succession plan as well as an employee motivation/incentive program.
