University of Notre Dame
Bar & Court Admissions
Memberships & Affiliations
- Boston Bar Association
- Massachusetts Bar Association
Rick practices corporate and securities law, with an emphasis on the formation, financing and general representation of emerging growth companies and the representation of founders, executives, directors and investors involved with such companies. He also counsels public and private company clients in the full range of corporate and securities matters. Rick has particular expertise in representing biotechnology, software, consulting, and other technology-based businesses, both public and private. He also advises more traditional business enterprises, including traditional manufacturers, insurance agencies and other financial services firms.
Among the particular types of matters that Rick handles are: financings, including seed capital, angel and venture capital investments, asset-based lending transactions and unsecured loans; structuring and formation of new business ventures; research and development agreements; distribution and sales agreements; mergers and acquisitions, including stock and asset-based acquisitions; purchases and divestitures of business units; and strategic alliances.
Rick also assists clients in connection with general business matters, including the negotiation and drafting of employment agreements (both on behalf of employers and executives), executive compensation, stock option and other equity-based incentive compensation plans, non-competition and nondisclosure agreements, joint ventures, restructurings and commercial contracts.
Rick’s specific public company legal experience includes: advice in connection with SEC compliance reporting, including: advice in connection with the preparation and filing of annual and quarterly reports, proxy statements, Schedules 13D and 13G, Form 8-K current reports, oversight of Section 16 reporting (Forms 3, 4 and 5); advice in connection with executive compensation matters, including all aspects of forming and conducting meetings of compensation committees, structuring cash and equity incentive plans for executives, and structuring cash and equity compensation plans for outside directors; advice in connection with audit committee issues, including advice in connection with quarterly meetings at which financial statements are reviewed; advice in connection with Nasdaq corporate governance requirements; review of press releases (including reviews of quarterly earnings releases); drafting and advice in connection with officer and director indemnification agreements and D&O insurance; and compliance with various other SEC requirements under the Sarbanes Oxley Act, the Dodd Frank Act and other legislation impacting publicly held companies.
Prior to practicing law, Rick was employed as a Certified Public Accountant in the Small Business Division of Arthur Andersen & Co.’s Chicago office.
Representative transactions include: representing a medical device manufacturer in connection with the sale of its assets to an affiliate of Bard, Inc. for $56 Million; representing operating companies (including a public company) in connection with asset based loans from a national bank in amounts ranging from $2 Million to $25 Million; representing a publicly-held company in several private placements with accompanying registration rights, the filing of S-3 and S-8 registration statements, and ongoing securities compliance matters; representing the purchaser of a viatical life insurance servicing company; representing medical device manufacturers in $8 Million and $20 Million private placements with various venture capital firms; and serving as corporate counsel to a publicly held manufacturer of foam-based packaging, automotive and specialty products, with annual sales in excess of $100 Million.