One Post Office Square
TEL: (617) 338-2979
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Howard E. Berkenblit
Partner
Howard E. Berkenblit is a partner in the Corporate Department of our Boston office and a co-leader of the firm’s Securities and Corporate Finance practice group. He specializes in counseling both public and private companies involved in equity and debt financings and ongoing corporate governance and disclosure matters, stock exchange listing standards and Sarbanes-Oxley Act compliance. He also advises Israeli and other international companies that seek to have their securities traded in the United States, as well as real estate investment trusts that engage in securities offerings and governance initiatives. In addition, Mr. Berkenblit works with clients on mergers and acquisitions, capital raising and general corporate matters. He has written articles and spoken on many topics including Sarbanes-Oxley, and a range of securities law issues impacting U.S. and foreign companies.
Representative Client Work
- $300 million public preferred equity offering in the hotel REIT industry
- $400 million public senior note offering in the office REIT industry
- $400 million public common equity offering in the senior living facility REIT industry
- 2 million convertible note PIPE by Israeli software company
- Representation of a foreign software company in the acquisition and going private transaction involving a public U.S. software company
- $150 million 144A offering and A/B exchange in the information storage and protection industry
- Served as Senior Corporate Counsel for Stream International, Inc., a provider of CRM and technical support services
- Design of governance charters, policies and procedures for senior living services company
- Switch of Nasdaq listed financial services company to listing on NYSE
- $450 million national bank holding company merger in public stock for stock transaction
- $1.6 billion acquisition of an information storage and protection services company in public stock for stock transaction
- Initial public offering of a transportation company
Bar & Court Admissions
- Massachusetts, 1995
- U.S. District Court, District of Massachusetts
Publications
- Companies may be slow to warm to Web-only disclosure, say lawyers., Corporate Finance (August 4, 2008)
- 2nd UPDATE: SEC OKs Guidance On Use Of Corporate Web Sites, Dow Jones Newswires (July 30, 2008)
- SEC: cos. may put investor info exclusively on Web, Business Week (July 30, 2008)
- Nothing to fear in XBRL, Corporate Secretary (June 2008)
- Smoothing the path, Corporate Secretary (October 2007)
- Changes To Pay Disclosure Rules May Be Imminent, Securities Law360 (June 7, 2007)
- New Sec. 16 Guidance; SEC Ponders Global Markets, Compliance Week (June 5, 2007)
- A Conversation on Guidance with... Howard E. Berkenblit, The SMA Counselor (January 14, 2004)
- The Costs and Conflicts of Internal Control Reports and Attestations, Securities Regulatory Update (August 4, 2003)
- The Sarbanes-Oxley Act's Regulation of the "Gatekeepers", Journal of Taxation of Financial Institutions (March 27, 2003)
- "Another Break for FPIs; Nasdaq Rules," Compliance Week (quoted) (January 23, 2008)
- "Proxy.com: SEC enables online investor notification," Boston Business Journal (quoted) (March 30-April 5, 2007)
- "Companies Tweak Director Communications Processes," Compliance Week (quoted) (May 24, 2005)
- "Private Companies Cannot Ignore Sarbanes-Oxley," 21 Mass. High Tech (April 28-May 4, 2003)
Teaching & Speaking Engagements
- “What are the Best Practices to Prepare for your Audit Committee Meeting?,” sponsored by Financial Executives International (FEI) (March 2008)
- “SEC Offering Reform - New Avenues for Fundraising,” sponsored by The Chinese Finance Association (TCFA) (February 2008)
- “Recent Initiatives and Developments by the SEC Division of Corporation Finance,” sponsored by the Boston Bar Association (April 2007)
- “The Sarbanes-Oxley Act: Update on Boards and Committees,” sponsored by Lorman Education Services (April 2007)
- "Ethics and Corporate Governance – Tips and Strategies," sponsored by Financial Executives International (FEI) (January 2007)
- “E-Proxy – What Companies Need to Worry About (and not worry about),” sponsored by MCLE Business and Securities Law Conference (October 2007)
- "The Rest of the Story…2005-06 SEC and SRO Developments," sponsored by MCLE Business and Securities Law Conference 2006 (October 2006)
- "The Sarbanes-Oxley Act: Evolving Best Practices," sponsored by Lorman Education Services (April, August and September 2006)
- "Mastering your External Marketing Strategies," New Partner Forum, sponsored by American Conference Institute (ACI) (June 2006)
- "The Impact of Sarbanes-Oxley on Private Companies," sponsored by the Boston CEO Club (December 2005)
- "Adapting to SOX: Governance and Compliance in Private Companies," sponsored by Financial Executives International Private Company Forum (October 2005)
- "Sarbanes-Oxley Act," sponsored by Lorman Education Services (August and September 2005)
- "Leveraging IT Standards for Regulatory Compliance Requirements," sponsored by Object Management Group (June 2005)
- "Managing Risk: Current Legal, Accounting and Disclosure Issues Impacting Israeli Companies in the US," sponsored by The Wall Street Transcript (moderator) (June 2005)
- "The Impact of Sarbanes-Oxley on Private Companies," sponsored by the Route 128 Practitioners Forum (June 2005)
- "Representing Issuers and Purchasers of Private Company Securities," sponsored by MCLE (January 2005)
- "Investing in Israel (Legal, Accounting & Financial Issues Impacting Investing in Israel)," sponsored by The Wall Street Transcript (June 2004)
- "Corporate Governance Update: Governing in the Shadow of Scandal," sponsored by the Boston Bar Association (April 2004)
- "The Sarbanes-Oxley Act of 2002: Its Impact on Clients of Commercial Records Centers," sponsored by PRISM International (March 2003)
Awards & Honors
- Madison Who's Who of Executives and Professionals (2006)
- "Rising Star," Massachusetts Super Lawyers (2006, 2007)
- Legal 500 U.S. (2008)
Professional & Civic Activities
- American and Massachusetts Bar Associations
- Co-Chair, BBA Securities Law Committee, Boston Bar Association, 2006-
- Director, Massachusetts Council on Economic Education
Education
- J.D., summa cum laude, 1995, Boston College Law School
- B.A., cum laude, University of Pennsylvania, 1992
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