Joseph W. Bartlett

Bar & Court Admissions

• New York, 1981
• Massachusetts, 1962
• U.S. District Court, Southern District of New York
• District of Columbia Court of Appeals

Publications

• Opening the IPO window, The Deal (November 28, 2011)
• Unconventional Comparables, VC Experts (November 8, 2011)
• IRC § 1202's Advantage, The Deal (October 28, 2011)
• Valuation And Pricing, VCExperts (September 27, 2011)
• Public or Private? A Review of the Eclipse of the Public Company in the Current Environment, The Journal of Private Equity (Summer 2011)
• VC Experts Provides Support for Entrepreneurs, Startup Companies, Shreveport Times, Quoted (September 1, 2010)
• Skype Files IPO Documents With SEC, NPR, Quoted (August 10, 2010)
• Multiple-Round Strategy, VCExperts (June 10, 2010)
• Consequences of Violating Section 29, TheDeal Magazine (May 10, 2010)
• Defensive Language When Pubco Announces Results – Bartlett's 'Get Out of Jail Free' Card, VCExperts (February 3, 2010)
• Restrictions On Transfer, VCExperts (September 16, 2009)
• Capital Markets Matter, Science Progress (August 12, 2009)
• Joseph W. Bartlett Comments on the NVCA Report on the Venture Backed Exit Market for Q2, 2009, VCExperts (July 7, 2009)
• Painless Avoidance by Limited Partners of Future Capital Commitments, VCExperts (May 26, 2009)
• Model Questionnaire for Public Company Managers to Complete When a Director is Nominated, VCExperts (May 12, 2009)
• Controversy Over Fair Value, Mark to Market Accounting: FAS 157, VCExperts (December 9, 2008)
• Golden parachutes may be sole target of Treasury curbs, Investment News, Quoted (November 2, 2008)
• Did Obscure Rule Cripple Economy?, National Real Estate Investor, Quoted (November 1, 2008)
• Books:
• "A Push for Increasing Regulation," Aspatore Special Report: The Collapse of Washington Mutual (December 2008)
• "Leveraged Buyouts," Law Journal Press (lead author) (2007)
• "Compensation Structures for Venture Backed Companies- How to Structure Compensation, Retirement, Debt & Bonus Plans for Management and Employees," Aspatore (2004)
• "Advanced Private Equity Term Sheets and Series A Documents," American Lawyer Media (co-editor) (2003)
• "Raising Capital for Dummies," Hungry Minds (co-author) (2002)
• "Equity Finance," Aspen (2002)
• "Fundamentals of Venture Capital," Madison (December 1999)
• "Equity Finance: Venture Capital, Buyouts, Restructurings and Reorganizations," Aspen (1995, Supps. 1996 2008)
• "Corporate Restructurings: Reorganizations and Buyouts," Wiley (May 1991, Supp. 1992, 1993)
• "Venture Capital: Law, Business Strategies, and Investment Planning," Wiley (1988, Supps. 1989 1994)
• "The Law Business: A Tired Monopoly" Rothman (1982)
• Articles in Legal Journals
• "Tort Reform in the Securities Sector," The Journal of Private Equity (Winter 2008)
• "Equity Flavored Executive Compensation: A Key Element of U.S. Growth," The Journal of Private Equity (Spring 2008)
• "The 21st Century Term Sheet," Venture Capital Review (Spring 2008)
• "Reopening the IPO Window," Science Progress (www.scienceprogress.org) (January 2008)
• "Supporting Venture Innovation," Science Progress (www.scienceprogress.org)
• "A New Executive Compensation Model," New York Law Journal (May 2007)
• "Can Silicon Valley Be Cloned Around The Country," 1 Entrepreneurial Business Law Journal (2006)
• "AIM Attraction," Private Equity Manager (September 2006)
• "Exploring Options: An Alternate Strategy for Distribution Stock Options May Forestall Backdating," Daily Deal (August 2006)
• "The Danger in Losing IPOs," Washington Post (August 2006)
• "If General Solicitation Compromises The Private Placement Use of Section 4(2): When Answer," The Journal of Private Equity (Summer 2006)
• "Can the Issuer ‘Cool Off’ The Effect of ‘General Solicitation’ Regulated by Opinion" (February 2006)
• "No Soliciting," The Deal (January 2006)
• "Side Impact," The Deal (August 2005)
• "The 1% solution," The Deal (May 2004)
• "Collateral Damage: The Venture Capital Outlook and Potential," Start-Up & Emerging Companies (November 2003)
• "Shadow Directors and Controlling Shareholders: Duties and Liability," Start-Up & Emerging Strategist (October 2003)

Client Advisories

• What General Partners and Advisers Should Know about Campaign Contributions and Gifts to or on behalf of Government Pension Plans and other Entities
• The State of New York Insurance Department Will No Longer Approve Director & Officer Liability Policies Lacking "Duty to Defend" Provisions

Teaching & Speaking Engagements

• Moderator, "Corporation vs. Limited Liability Company: Issues to Consider," Thomson Reuters Webcast (November 2011)
• "U.S. Venture Capital Policies and Practices," U.S. Department of Commerce's Best Practices Workshop (October 14, 2011)
• "Regrouping From the Economic Meltdown: New Roles for Government Financial Institutions - CFTC, SEC & FDIC," The George Washington University Law School (January 14, 2011)
• "Annual Entrepreneurial Partnerships Innovation Conference," Institute for International Research (October 27-29, 2010)
• "The Private Investment Funds Tax Master Class," Financial Research Associates, LLC (May 17-19, 2010)
• Guest Lecturer, Harvard Law School (April 2010)
• "Valuation of Hard-to-Value Securities and Portfolios 2009: Mitigating Operational Risk Associated with the Valuation Process," Financial Research Associates, LLC (March 22-23, 2010)

Professional & Civic Activities

• Advisory Board Member, Science Progress (A Project of the Center for American Progress)
• Chair, Legal Committee, Montefiore Medical Center
• Chair, Compliance Committee, Montefiore Medical Center
• Co-Chair, Children's Hospital at Montefiore Medical Center
• Courtesy Professor, Johnson School of Business, Cornell University
• Faculty Member: Johnson School of Business, Cornell
• Frequent Counsel to Special Committees of Independent Directors, Fab Industries, Inc. and Court-appointed Trustee in Bankruptcy (Charles Brennick)
• Counsel to the Trustees, DBL (Drexel Burnham Lambert) Liquidating Trust
• Former President of Boston Bar Association, former Chair of Grievance Committee
• Former General Counsel of U.S. Department of Commerce
• Former Chief of the Department of Commerce Foreign Direct Investment Controls
• Former General Counsel Massachusetts Commissioner of Administration; Special (Outside) Redevelopment Authority
• Former non-executive Chairman of the Board, National Realty Investors (Public REIT)
• Former Board and Trust Committee, Shawmut Bank N.A.
• Former adjunct faculty member of NYU Law School and acting professor, Stanford
• Founder & Chairman, VC Experts, Inc. Editor-in-Chief, The Encyclopedia of Private Equity (www.vcexperts.com)
• Member, Council on Foreign Relations
• Board of Trustees and Member of the Executive Committee of Montefiore Medical Center
• Life Fellow, American Bar Foundation
• Member, Policy Committee, Community Development Venture Capital Alliance
• American Law Institute
• Federal Government - Law Clerk, Chief Justice Earl Warren, United States Supreme Court, 1960 term; Undersecretary (promoted from General Counsel), United States Department of Commerce, Director, Office of Foreign Direct Investment, 1968-1969; Chairman, Health, Education & Welfare Task Force on Universal Social Security Coverage, 1979

Education

• L.L.B., Stanford Law School, 1960
• A.B., Harvard College, 1955