Patricia practices corporate law, focusing in the areas of securities (including registered and private funds), corporate governance, mergers and acquisitions and incentive compensation (including equity-based and deferred compensation). She advises clients on a broad range of transactional issues, including business combinations, securities compliance and corporate governance matters.
Prior to joining Frost Brown Todd, Patricia served as in-house counsel at a mutual fund company advising investment companies and their boards on various securities and corporate governance matters. During law school, Patricia spent time as a Law Clerk in the Enforcement Division at the U.S. Securities and Exchange Commission (SEC) and in the General Counsel’s Office at the Financial Industry Regulatory Authority (FINRA).
Mergers, acquisitions and divestitures
Registration statements, annual reports on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, proxy and other information statements and SEC comment letters
Corporate governance practices and fiduciary duties, including board committees
Executive compensation plans, including equity and cash-based award types
Investor relations and institutional governance, including shareholder meetings, communications, nominees and proxy proposals and proxy access
Section 16, Section 13, Rule 144, and insider trading compliance and reporting
State and federal securities registration, compliance and reporting
Crowdfunding offerings under Regulation A+
Variable annuity registration statements on Form N-4
Entity selection, formation and organizational matters, including operating agreements, limited partnership agreements, shareholder agreements, and buy-sell agreements
Mergers, acquisitions and dispositions
Employment and independent contractor agreements
Private placements, offering memorandums and subscription documents
Federal and Blue-Sky securities exemptions
Contracts, letters of intent, and confidentiality, non-compete and non-disclosure agreements
Equity incentive plans (including restricted stock and stock options), employee stock purchase plans, phantom equity plans, bonus plans and nonqualified deferred compensation plans
IRS tax exemption applications for nonprofit corporations
Private equity and hedge fund legal diligence review and analysis
Limited partnership agreements and operating agreements
Subscription agreements and investor questionnaires
Side letters and most favored nation elections
Co-investments and parallel funds
Purchase and sale agreements and transfer agreements
Investment management, broker dealer and other financial intermediary agreements
The Catholic University of America, Columbus School of Law, J.D., 2013, Cum Laude
Journal of Contemporary Health Law and Policy – Editor-in-Chief
University of Dayton, B.S.B.A., Economics and Finance, 2010, Magna Cum Laude
Cincinnati Bar Association
Ohio Bar Association
Ohio Women’s Bar Foundation, 2019-2020 Leadership Class
Shared Harvest Foodbank, Board of Directors 2014-Present
Cincinnati Cystic Fibrosis Foundation Finest Under Fifty – 2017
October 16, 2020 | Publications
The Securities and Exchange Commission (SEC) adopted final amendments to the definition of “accred...
January 6, 2020 | Publications
Employers are required to annually report to the IRS all Incentive Stock Option (ISO) exercises and ...
August 30, 2018 | Publications
Equity compensation (including options to purchase stock or LLC units, restricted stock or units, an...
March 21, 2017 | Blogs
Financial institutions and investment advisors have little certainty about compliance timing.