The Certificate Program for
Non-Professional ESOP Fiduciaries
Feb. 19-22, 2017
Contact us for additional discounts for multiple registrations from the same company.
Enroll early – space is limited.
Presented by the Beyster Institute at the Rady School of Management
You are invited to participate in our fourth annual Certificate Program for Non-Professional ESOP Fiduciaries!
One of the fundamental resources of the employee stock ownership plan (ESOP) movement is the large group of dedicated, well-intentioned people who agree to serve as trustees or other fiduciaries on behalf of their company’s ESOP. If you are one of those dedicated people, you have undoubtedly felt the concern that is inevitable when taking on that sort of responsibility. The Beyster Institute at UCSD has developed a special intensive program to help relieve some of that concern - the Certificate Program for Non-Professional Fiduciaries.
Course Content Includes:
- A review of the standards for appropriate fiduciary action given the potential range of decisions that will have to be made.
- Small group work to assure that students grasp the full nature and responsibilities of the role.
- In-depth exploration of the practical responsibilities that fiduciaries must deal with in their role.
- Examination of a wide range of fiduciary decision-making situations, with practical guidance from our faculty and guest experts.
Neil Brozen, CPA
Vice President and Managing Director, BTC ESOP Services
Neil has been providing ESOP Trustee Services since 2005. He has served as ongoing trustee for more than 65 ESOPs, trustee for more than 100 ESOP transactions and provided consulting services to internal trustees. He is a frequent national speaker on trustee ESOP issues and wrote the chapters, “Responding to Unsolicited Offers to Purchase ESOP Companies,” and “Fiduciary Issues for ESOP Trustees Regarding Corporate Governance and Executive Compensation In ESOP Owned Companies” for the National Center for Employee Ownership (NCEO). Neil is a board member of the NCEO, a member of the board of governors for the ESOP Association (TEA), a member of the Finance Committee of the TEA, a member of the Ohio Employee Ownership Center as well as the MN/Dakota and California Western State chapters of TEA. He has been a CPA since 1981 and has held positions with the Internal Revenue Service, an international accounting firm and several privately owned businesses.
Partner, ESOP Law Group
Mr. Goldberg focuses his practice on the design, implementation and operation of employee stock ownership plans (ESOPs) and he is nationally recognized for his extensive experience in structuring a wide variety of ESOP transactions. These ESOP transactions are often designed as part of a family ownership transition, management buyout, or investment diversification/liquidity strategy for shareholder groups. Larry has advised numerous corporations, shareholders and directors, of both closely held and publicly traded companies, on the use of ESOPs and ESOP-related strategies. He regularly serves as legal counsel to ESOP trustees, and advises investors and lenders with respect to ESOP transactions. Larry also advises clients on various types of pension and profit sharing plans, and management incentive plans implemented in connection with an ESOP transaction.
John Hoffmire, Ph.D.
Director of the Said Business School Venture Fund and Associate Fellow at Oxford University's Said Business School
Before starting at Oxford and UW-Madison, Dr. Hoffmire had a 20-year career in equity investing, venture capital, consulting and investment banking. His work has had a particular focus on employee stock ownership plans. As founder and CEO of his own investment banking firm, he helped employees buy and manage approximately $2.2 billion worth of ESOP stock. He sold his firm to American Capital, which then went public. John left American Capital as senior investment officer when the company reached $1 billion in assets. After leaving American Capital, he was vice president at Ampersand Ventures, formerly Paine Webber's private equity group. After he finished his Ph.D. at Stanford University, he was a consultant at Bain & Company. John also is chairman of Progress Through Business, an organization that he founded with others interested in economic development tools that can be used by companies to assist low-income individuals and communities.
Managing Director, Strategic Equity Group
Mr. Kramer brings to Strategic Equity Group (SEG) and its clients more than 15 years of financial advisory and investment banking experience. He has extensive expertise in structuring and negotiating transactions across a wide variety of industries, and has prepared financial opinions addressing the value of common and preferred stock, various debt securities, intangible assets of all types, the fairness of certain transactions, and the value of a wide variety of non-traditional types of assets. Prior to joining SEG, Chris was the director of financial opinions for Pacific Corporate Group, a private equity advisory firm, and spent more than five years with Marshall and Stevens, Inc., a national valuation firm. He also has held positions as a commercial loan analyst for a major southern California S & L, and various positions in the insurance, advertising, and retail industries.
Senior Consultant, Beyster Institute
Anthony Mathews is senior consultant and lecturer at the Beyster Institute at the Rady School of Management, UC San Diego promoting employee ownership and high-powered company culture. Tony came to the Beyster Institute after retiring from a 30-year career designing and installing several hundred ESOPs. He is a frequent speaker on matters related to employee ownership, has served as a founding member and director of both the ESOP Association and the National Center for Employee Ownership, and published more than 100 articles on the subject of employee ownership.
supervisory investigator, U.S. Department of Labor, Employee Benefits Security Administration
Executive Director, Beyster Institute
Martin Staubus is executive director of the Beyster Institute at the Rady School of Management, UC San Diego. He advises business leaders on the strategic use of employee ownership programs to build stronger companies and provide liquidity to owners. Trained as an attorney, Martin has more than 30 years of experience in the business world, serving in varied roles as a lawyer, consultant, government policy advisor, corporate executive and corporate director. Nationally recognized as a leading expert on the effective use of equity compensation and employee stock plans, Martin is active in speaking, writing, and teaching, with work published by Harvard Business School Press, Harvard Business Review, and others. He is a frequent speaker and workshop leader and also is an instructor at the UCSD Rady School of Management.