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Howard E. Berkenblit is a partner in the Corporate Department of our Boston office and is a co-leader of the firm s Securities and Corporate Finance practice group. At Sullivan & Worcester, he specializes in counseling both public and private companies involved in equity and debt financings and ongoing corporate governance and disclosure matters, stock exchange listing standards and Sarbanes-Oxley Act compliance. As part of his practice, he advises Israeli and other international companies that seek to have their securities traded in the U.S. Mr. Berkenblit also works with clients on mergers and acquisitions ranging in size and structure and guides start-up entities to help establish and grow their businesses and on general corporate matters. He has written articles and spoken on many topics including Sarbanes-Oxley, and a range of securities law issues impacting U.S. and foreign companies. Representative Client Work Representation of foreign software company in acquisition and going private transaction involving public US software company $150 million 144A offering and A/B exchange in the information storage and protection industry $86 million public preferred equity offering in the hotel REIT industry $400 million public senior note offering in the office REIT industry $2 million convertible note PIPE by Israeli software company Served as Senior Corporate Counsel for Stream International, Inc., a provider of customer relationship management and technical support services Design of governance charters, policies and procedures for senior living services company Switch of Nasdaq listed financial services company to listing on NYSE $450 million national bank holding company merger in public stock for stock transaction $1.6 billion acquisition of information storage and protection services company in public stock for stock transaction Initial public offering of transportation company Bar & Court Admissions Massachusetts, 1995 U.S. District Court, District of Massachusetts Publications Smoothing the path, Corporate Secretary (October 2007) Changes To Pay Disclosure Rules May Be Imminent, Securities Law360 (June 7, 2007) New Sec. 16 Guidance; SEC Ponders Global Markets, Compliance Week (June 5, 2007) A Conversation on Guidance with... Howard E. Berkenblit, The SMA Counselor (January 14, 2004) The Costs and Conflicts of Internal Control Reports and Attestations, Securities Regulatory Update (August 4, 2003) The Sarbanes-Oxley Act's Regulation of the "Gatekeepers", Journal of Taxation of Financial Institutions (March 27, 2003) "Another Break for FPIs; Nasdaq Rules," Compliance Week (quoted) (January 23, 2008) "Proxy.com: SEC enables online investor notification," Boston Business Journal (quoted) (March 30-April 5, 2007) "Companies Tweak Director Communications Processes," Compliance Week (quoted) (May 24, 2005) "Private Companies Cannot Ignore Sarbanes-Oxley," 21 Mass. High Tech (April 28-May 4, 2003) Teaching & Speaking Engagements "Ethics and Corporate Governance Tips and Strategies," Financial Executives International (FEI) (January 2007) "The Rest of the Story 2005-06 SEC and SRO Developments," MCLE Business and Securities Law Conference 2006 (October 2006) "The Sarbanes-Oxley Act: Evolving Best Practices," sponsored by Lorman Education Services (April, August and September 2006) "Mastering your External Marketing Strategies," New Partner Forum, sponsored by American Conference Institute (ACI) (June 2006) "The Impact of Sarbanes-Oxley on Private Companies," Boston CEO Club (December 2005) "Adapting to SOX: Governance and Compliance in Private Companies," sponsored by Financial Executives International Private Company Forum (October 2005) "Sarbanes-Oxley Act," sponsored by Lorman Education Services (August and September 2005) "Leveraging IT Standards for Regulatory Compliance Requirements," sponsored by Object Management Group (June 2005) "Managing Risk: Current Legal, Accounting and Disclosure Issues Impacting Israeli Companies in the US," sponsored by The Wall Street Transcript (moderator) (June 2005) "The Impact of Sarbanes-Oxley on Private Companies," sponsored by the Route 128 Practitioners Forum (June 2005) "Representing Issuers and Purchasers of Private Company Securities," sponsored by MCLE (January 2005) "Investing in Israel (Legal, Accounting & Financial Issues Impacting Investing in Israel)," sponsored by The Wall Street Transcript (June 2004) "Corporate Governance Update: Governing in the Shadow of Scandal," sponsored by the Boston Bar Association (April 2004) "The Sarbanes-Oxley Act of 2002: Its Impact on Clients of Commercial Records Centers," sponsored by PRISM International (March 2003) Awards & Honors Madison Who's Who of Executives and Professionals (2006) "Rising Star," Massachusetts Super Lawyers (2006, 2007) Professional & Civic Activities American and Massachusetts Bar Associations Co-Chair, BBA Securities Law Committee, Boston Bar Association, 2006- Director, Massachusetts Council on Economic Education Education J.D., summa cum laude, 1995, Boston College Law School B.A., cum laude, University of Pennsylvania, 1992 |
