Alan Roth is a partner at Edwards Wildman. His practice is focused primarily in the areas of venture capital and private equity representation, including SBIC licensing, investment and compliance, fund formation, corporate acquisitions, and representation of closely-held corporations and individuals. He has been recognized by Chambers USA as a leader for his work in the area of Corporate/M&A and Private Equity. Alan has built a strong reputation in the venture capital and private equity community. He leads one of the most active SBIC practices in the country and his specialized knowledge of the SBIC program provides clients with an additional investing edge. Alan regularly counsels venture capitalists and private equity professionals on fund formation including becoming licensed as small business investment companies, encompassing both the pre-licensing and post-licensing stages of the process. He works closely with the Small Business Administration and the National Association of Small Business Investment Companies. His background in tax renders him uniquely qualified to provide private equity and venture capital funds with innovative solutions in forming their investment companies, structuring investments in portfolio companies, and assisting in ongoing reporting and compliance obligations. Alan possesses significant experience in the areas of real estate, federal and state income taxation, state and local taxation, banking, secured lending, corporate acquisitions, and representation of closely held corporations and individuals. Recent Speaking Engagements and Publications ˇ Speaker, "Business Development Companies," 2011 Financial Services Conference, Washington D.C., October 2011 ˇ Speaker, "Opportunities, Challenges and Market Trends for Emerging Managers including SBIC's," 2011 Small Business Capital Access Forum, Chicago, June 2011. ˇ Moderator, "SBIC: The Cure For The Post-Volcker Blues?," Atlantic Conferences, Symposium on Mezzanine and Middle Market Finance, New York, May 2011. ˇ Speaker, "Tackling the Legal Issues Involved in Running a Small Business," IHRSA 30th Anniversary International Convention & Trade Show, San Francisco, March 2011. ˇ Speaker, "Opportunities in Today's Markets," Alternative Assets Investment Management's Alternative Asset Summit, Las Vegas, October 2010. ˇ Moderator, "SBIC Program Now," Atlantic Conferences, Symposium on Mezzanine and Middle Market Finance, New York, April 2010. ˇ Speaker, "Raising Capital to Build Your Business in a Tough Economy," Club Industry Conference and Exposition for Health & Fitness Facility Management, Chicago, October 2009. ˇ Co-Author, "Website Spoofing: A New Threat For Financial Services Firms," Client Bulletin, October 2009. ˇ Author, "Small Is Beautiful, The Expanding SBIC Program: An Untapped Resource for Private Equity Funds," The Deal, July, 2009. ˇ Speaker, "SBICs In Today's Market: What's In It For You" Seminar, Chicago, May 2009, New York and Orange County, June 2009. ˇ Moderator, "SBICs: The Future of Mezzanine Funding," Atlantic Conferences, Symposium on Mezzanine and Middle Market Finance, New York, April 2009. ˇ Co-Author, "SBA Introduces a New Procedure to Expedite the Approval of Transfers of Limited Partnership Interests," Client Bulletin, February 2009. ˇ Speaker and Program Chair, "The SBIC Program," and "Private Equity Firms as Sellers," Private Equity and Mezzanine Finance Conference, CLE International, Chicago, June 2008. ˇ Author, "Private Equity Alert: Tax Change For Private Equity Funds Introduced in U.S. Senate," Client Bulletin, June 2007. ˇ Author, " Private Equity Alert: Second Shoe Drops on Private Equity," Client Bulletin, June 2007. ˇ Author, "Private Equity Alert: SBIC Licensees Required to Recertify Institutional Investor Status," Client Bulletin, June 2007. ˇ Author, "Private Equity Alert: Proposed Changes in the Tax Treatment of Carried Interest," Client Bulletin, April 2007. ˇ Co-Author, "Private Equity Alert: Private Equity Industry Guidelines Group (PEIGG) Revised Valuation Guidelines," Client Bulletin, April 2007. ˇ Co-Author, "Private Equity Alert: Comment Period Closes On SEC Proposed Revisions to Accredited Investor Standard," Client Bulletin, March 2007. News & Publications December 14, 2011, Client Advisory - SBA Releases Proposed Rules to Govern New Early Stage Investment Program December 12, 2011, Chicago Partner Alan Roth Featured in Law360 Q&A October 2011, Client Advisory - SBA Further Revises Form 468 Reporting Obligations in Response to Industry Concerns September 29, 2011, New Record Low Interest Rate for Latest Pooling of SBIC Debentures Announced June 2011, SEC Adopts Final Rules Implementing the Dodd-Frank Act May 17, 2011, Institutional Investor Status Recertification January 12, 2011, SBA Policy Change Regarding Buyouts of SBICs with Outstanding Participating Securities Leverage Memberships ˇ Small Business Investor Alliance ˇ Illinois State Bar Association ˇ American Bar Association - Venture Capital Subcommittee ˇ Chicago Bar Association |