Jon regularly advises private and public companies, as well as officers, directors, and shareholders, on a wide range of matters related to corporate and securities law. He has significant experience in public-company mergers and acquisitions and other change-in-control and strategic transactions.
Jon also counsels investment advisors. His work for investment management clients encompasses:
- Organizing, registering, and structuring money-management firms and public and private investment companies
- Representing buyers and sellers on M&A transactions involving investment advisors and similar businesses
- Providing counsel on SEC, FINRA, and other regulatory-compliance matters, including preparing clients for inspections and defending them in enforcement actions
In addition, he routinely advises issuers, officers, and directors on insider trading and reporting, internal control over financial reporting, material-weakness and significant-deficiency disclosures, fiduciary duties, and related corporate securities matters. He has considerable experience with public and private offerings, tender offers, proxy statements, proxy contest strategies, stockholder rights plans, shareholder proposals, Section 16 reporting and compliance, Schedule 13d and 13g filings, and 10b-5-1 plans for a wide range of publicly held companies.
Jon has given presentations on Sarbanes-Oxley, internal control over financial reporting, anti-takeover matters, Regulation FD, and other securities law topics. He is a member of the Twin Cities chapter of the National Association of Stock Plan Professionals. He is an active volunteer with the Greater Twin Cities United Way, serving as co-lead on numerous investment-review panels. He is also a director of Community Mediation Services, Inc., a nonprofit organization that provides free mediation services to the Twin Cities community.
Before joining Lindquist & Vennum, Jon served as senior counsel in the Enforcement Division of the SEC’s Southeast regional office.
- “Hostile Target Rules the Air as Delaware Chancery Court Upholds Airgas Poison Pill,” Lindquist & Vennum, The Dealmaker Counsel, March 2010
- “SEC Adopts New Proxy Access Rules Related to Director Nominations by Shareholders; Rules to Become Effective on November 15, 2010,” Lindquist & Vennum, Legal Alert, October 2010
- “Is It Time To Renew Your Prescription?,” Lindquist & Vennum, The Dealmaker Counsel, 2010
- A Guide to Biotechnology Finance, contributing writer, Minnesota Department of Employment and Economic Development and Lindquist & Vennum, 2005
Honors and Awards
- Regular speaker on SEC matters
- Minnesota Rising Stars, 2001
- Twin Cities Chapter of the CFA Society, Board of Directors
- United Way, Emerging Leader
- Twin Cities United Way Review and Investment Committee
- Minneapolis Federation of Jewish Service