Understanding ESOPs— The Ownership Transition Alternative

Oct 19, 2021 - 11:30 AM (ET) - The Boathouse Restaurant
Hosted by Central Ohio, Columbus, OH

About this Event


In this presentation you will learn about what an ESOP is, what types of companies are a good fit for an ESOP and what makes and ESOP transaction different from the alternation


Learning Objectives: 

 · Tax Efficiencies for the Company and Selling Shareholders

· Transaction Structure

· Industry Specific Considerations

· Employee impact



October 19, 2021

11:30-12:00 Network and lunch

12:00-1:00 Presentation



 Boathouse Restaurant

679 W. Spring St.

Columbus, OH 43215


 Who Should Attend:

Anyone wanting a better understanding of ESOPs as a possible succession plan for your who company. Suggested attendees are Owners, CEOs, CFOs, Controllers and/or equivalents to these roles.


Featured Speakers

About Brett Thornton:

Brett counsels public and private companies of all sizes through mergers, acquisitions, divestitures, ESOP transactions and other corporate and financing transactions, facilitating growth strategies and operational objectives for clients around the world. He advises domestic and international clients in general business matters, entity formation, acquisitions, divestitures and major projects, and debt, equity and complex financing transactions.

He has worked as lead counsel for global corporate clients in a wide range of industries, including energy and natural resources, manufacturing, distribution and logistics, services, telecommunications, and finance. His experience includes advising Fortune 100 companies and private equity groups in acquisition, divestment and financing transactions, and in major industrial and facility projects. Brett also advises on compensation issues and agreements, including incentive plans, to help companies attract and retain talent.

As emerging resource for new businesses, Brett helps entrepreneurs and emerging companies with the multitude of formation, growth and business operational issues confronting growth stage companies, such as capitalization, fundraising, third-party vendor relationships, contractual agreement review, securities law and transaction diligence. Brett connects entrepreneurs and emerging businesses with proven industry leaders to help establish their business profile, advises as companies expand, and works to ensure owners exit on their own terms.


About David Catanese:

David Catanese is a Construction & Surety Bond Advisor with Overmyer Hall Associates. Dave grew up in Northeast Ohio and graduated from Ashland University where he earned a Bachelor’s Degree in Business Administration. He also holds an Associate Fidelity and Surety Bonding (AFSB) designation from the Insurance Institute of America.

Dave has nearly 20 years of experience in the Surety industry. Prior to joining Overmyer Hall Associates in 2019, Dave was a Vice President Senior Underwriting Officer of Surety for a national insurance company. Previous roles also included serving as a home office and market-facing underwriter for a regional insurance company.

He is active in several construction-related organizations and enjoys shooting sporting clays, hunting, golfing, and spending time with his family.


About Doug Houser:

Doug is a principal and the Firmwide director of Rea & Associates’ Construction & Real Estate practice. Doug oversees the firm’s efforts in growth and relationship management for this client segment, which is the firm’s largest. Doug’s focus revolves around financial reporting considerations and guidance for the firm’s construction clients and their third party financial statement users. Doug also maintains client relationship responsibility for a number of the firm’s flagship construction industry clients.

Doug is a regular presenter at Firmwide and external industry events, and is the host of the award winning podcast – Unsuitable, which can be found on iTunes and YouTube.

Prior to Rea, Doug spent time at Deloitte as a CPA and Senior Consultant, was a private industry CFO, and spent 20 years in Corporate Banking at National City, where he built their construction services practice in Columbus.


About Dan Swanson:

Dan is a Director at Lazear Capital where he engages with clients to identify their objectives, conduct financial analysis, and ultimately structure and execute transactions that achieve those goals. Dan works closely with clients, advocating for value, arranging long-term financing, and guiding them through each stage of the transaction to ensure success.

During his 10-year institutional banking career, Dan developed a diverse array of experience and expertise, ranging from large corporate and commercial banking to capital markets, syndications, and private wealth. With a focus on structure, syndication, and risk analysis, Dan has served clients in a vast assortment of industries throughout the US. He is passionate about providing innovative solutions that tailor to his client’s unique and evolving needs.

Prior to joining Lazear Capital, Dan managed a portfolio of large corporate clients in Central Ohio and Michigan at Huntington Bank, where he also led a team of analysts serving large  corporate and upper-middle market clients throughout the US. Dan received his BSBA in Finance from The Ohio State University Fisher College of Business.



Members: $25.00
Non-members: $35.00

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