Gregory W. Gribben

Areas of Practice:

Corporate Governance
Business Counseling
Investment Management
Mergers, Acquisitions, Divestitures
Private Equity & Venture Capital
Public Companies / Securities
Special Investigations
Securities & Shareholder Litigation
Financial Institution Regulatory Matters

Education:

Albany Law School, J.D.
State University of New York at Oswego, B.A., Cum Laude

Phone:

Rochester: 585-987-2875 Phoenix: 602-368-2541

Fax:

585-987-2975

Email:

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Status:

At a Glance:

Mr. Gribben is a Partner in the firm's Business & Finance Department. His practice is focused in the areas of corporate finance, securities law, venture capital and investment management. This practice includes the area of corporate finance, with the representation of issuers in public and private offerings of securities and venture capital transactions and financial institution regulatory matters. He represents public companies in connection with securities law reporting and compliance issues. This representation includes Securities and Exchange Commission periodic reporting requirements and compliance with stock exchange requirements. Mr. Gribben represents investment advisors in connection with state and federal registration and regulatory compliance, and private fund sponsors and investors. In addition, he has represented both corporate buyers and sellers in asset, stock and merger transactions, and counseled businesses with corporate governance and compliance issues.

Representative Matters:

• Represented footwear and apparel manufacturer in its $32.0 million secondary offering and concurrent debt financing used to fund its $40.0 million acquisition of a government military boot manufacturer;
• Represented controlling stockholder of a NYSE traded company in connection with a $29.0 million resale of shares to institutional investors;
• Represented industrial holding company in its $60.0 million acquisition and subsequent sale of a controlling interest in a publicly-traded manufacturer of automotive air bag materials;
• Represented alternative energy company in a $83.0 million multi-level debt and equity financing;
• Represented health services company in a reverse acquisition public offering and concurrent $7.0 million private placement;
• Represented OTC Bulletin Board traded automotive technology company in $6.5 million private placement to investor group;
• Represented national bank holding company in $7.0 million preferred equity investment under Small Business Lending Fund program with the U.S. Treasury Department;
• Represented bank holding company in a $5.0 million underwritten Regulation multi-state, rights offering and community offering;
• Represented federal savings bank in state charter conversion;
• Represented savings and loan holding company in "going dark" transition and SEC deregistration;
• Represented wireless technology developer in venture stage capital raising transactions totaling over $7.5 million;
• Represented client in six roll-up acquisitions of footwear and apparel manufacturers and distributors, with the aggregate purchase price for these acquisitions totaling more than $97 million;
• Represented auto parts distributor in a cash-out merger and going private transaction.

Community Involvement:

Mr. Gribben is Chair of the Finance Council and a Trustee of the Church of the Resurrection and a board member for CDS Monarch, Inc.

Bar Admissions:

Mr. Gribben is admitted to practice in the States of New York and Arizona, the United States Supreme Court and the United States District Courts for the Northern and Western Districts of New York.

Professional Affiliations:

Mr. Gribben is a member of the Monroe County Bar Association and the New York State Bar Association Business Law Sections, and the State Bar of Arizona Business Law Section.

Other:

Publications 

• The Challenge to Outside Directors to Monitor and Supervise Corporate Performance
• New SEC Rules on Executive Compensation

• SEC Requires Investment Advisors To Have A Code Of Ethics

Speaking Opportunities

• Panelist for the Northern Arizona Center for Entrepreneurship and Technology's seminar "The Power of Angel Investing" on Wednesday February 9, 2011.