Tom is a member of the firm’s Corporate Department where he brings a rare combination of general counsel in-house experience along with international law firm training to provide responsive, business minded securities and corporate law advice to start ups, emerging growth companies, late stage private companies and smaller reporting companies. Tom has a particular focus on companies with innovative technologies in education, agriculture, medical device, renewable energy and sustainability. He advises on angel, venture capital, equity and debt financings, joint ventures, licensing, mergers, acquisitions, and corporate reorganizations, and leads the firm’s smaller reporting company practice.
Leveraging his experience as an in-house general counsel, Tom’s practice extends to acting as outside general counsel to private and public companies, advising board and C-level management on corporate governance, executive compensation, fiduciary duties, securities compliance, and merger and acquisition strategies.
Prior to joining Posternak, he served as acting general counsel for a publicly traded consumer lending company, advising management and the board on corporate governance issues, securities compliance matters, and various strategic business initiatives.
Education
- The Johns Hopkins University, BA, 1990
- Fordham University, MA, 1996
- University of Maryland School of Law, JD, 1999, order of the coif
Admissions
- Massachusetts
- Maryland
Memberships
- American Bar Association
- Represented venture capital firms in equity investments in disruptive technologies and products, including edtech, consumer brands, and software.
- Represented agtech firm in equity and debt financing.
- Represented venture capital firm in equity investment in company with mobile application for independent service professionals.
- Represented wireless communication company in equity and debt financing, and cross border transactions.
- Represented energy storage company in debt financing and sale to strategic buyer.
- Represented solar power developer in corporate and financing transactions.
- Represented medical device company in equity and debt financing.
- Represented venture capital firm in private tender offer for shares of environmentally friendly household products company.
- Represented dental manufacturer in acquisition of dental laboratories.
- Represented marketing software company in sale to private equity firm.
- Represented defense contractor in sale to private equity firm.
- Represented publicly held dental laboratory in $125M sale to private equity company.
- Represented publicly held party goods store in $35M sale to strategic buyer.
- Represented publicly held consumer lending company in $187M sale to strategic buyer.
- Represented public companies in connection with SEC compliance matters, including periodic reporting, executive compensation, disclosure obligations, and listing standards.
- Represented board members, executives and other selling stockholders in Section 16 compliance (Forms 3, 4 and 5) and Section 13d compliance (Forms 13D and 13G) in connection with their acquisition and sale of company stock.
