Kenneth R. Appleby


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Practice Areas

  • Tax
  • Corporate & Securities
  • Private Equity
  • Mergers & Acquisitions
  • Investment Funds
  • Health Care
  • Venture Capital & Emerging Companies
  • International
  • Technology, Communications & Media
  • Retail & Consumer Products
  • Real Estate
Contact InfoTelephone: 617.348.3084
Fax: 617-542-2241
Internet: Each Attorney's Internet Address takes the following form: first initial, last name (e.g.,
University Syracuse University, B.S.
Law SchoolAmerican University, J.D., cum laude
Admitted1985, Maryland; 1988, District of Columbia; 1990, Vermont; 2001, Massachusetts

Kenneth is the Section Head for the Tax Practice. He has over 25 years' experience providing clients with tax efficient advice and solutions covering a diverse range of domestic and international transactions.

He has counseled clients in over 200 domestic and international merger and acquisition transactions; advised US and foreign private equity firms and real estate fund sponsors in both fund formation and portfolio investments; created tax-optimized structures for the creation, holding, and disposition of intellectual property; designed and implemented tax-efficient structures for real estate development joint ventures and a wide range of corporate transactions; and advised with respect to like-kind exchanges and syndicated tenants-in-common offerings. He designs and implements equity and deferred compensation plans and routinely provides clients with multi-state tax planning advice. Kenneth has significant industry experience not only in private equity and venture capital, but also in health care, as he is experienced in advising non-profit health care providers.

Kenneth has authored numerous articles on federal income tax issues and is a regular speaker at the national level on various topics relating to tax law. He is also the co-author of Taxation of Intellectual Property and Technology, a leading two volume treatise published by LexisNexis.

In addition to handling income tax-related matters, Kenneth also has a specialty advising the founders of privately held businesses on various estate planning opportunities in advance of an acquisition as well as advising closely held businesses on succession planning.

• Sixty-Two Mintz Levin Attorneys Included in The Best Lawyers in America, 2015 Edition, ( 08.18.2014 )
• Mintz Levin Bolsters Tax Capabilities with Veteran Practitioner Kenneth Appleby, ( 04.01.2014 )

Speaking Engagements
• Panelist, Maximize Your M&A Value: Session II Negotiating a Successful Transaction, Mintz Levin, Boston, MA (12.18.2014)
• Panelist, Maximize Your M&A Value and Learn from Experts How to Structure a Successful Transaction, Boston, MA (10.22.2014)
• Speaker, Tax Implications in M&A, Maximize Your M&A Value and Learn from Experts How to Structure a Successful Transaction, San Diego, CA (09.16.2014)
• Panelist, Winter New England Regional Conference & Annual Meeting, The New England Alliance of the American College of Health Care Administrators (ACHCA) (01.13.2010)
• Speaker, Are You Prepared for the New 990?, Healthcare Financial Management Association (HFMA), New Hampshire/Vermont Chapter (08.13.2009)

Reported CasesRepresentative Matters: Provided tax advice to Waban Software, Inc., a privately held software company, with respect to its sale to Phase Forward, Inc.; Provided tax advice to Stella Jones, Inc., a public Canadian wood products company, in its acquisition of McFarland Cascade, Inc. for $250M.; Provided tax advice to Syntroluem Corporation, a public company, in its acquisition by Renewable Energy Group, Inc.; Provided tax advice to a Texas based home furnishings online retailer in its acquisition by a public company for $190M.; Provided tax advice to a Canadian based operator of senior living facilities in its acquisition of a 76% interest in a US operator of 290 senior living facilities.; Provided tax advice to one of the largest private companies in the US in its spin-off of a proprietary technology business.; Provided tax advice to a foreign public pharmaceutical company with regard to the formation of a strategic investment fund and the structuring of its investments in the US.; Represented real estate fund sponsors in NY, NJ, and MI with respect to the formation of multiple real estate opportunity funds.; Represented state and local pension plans with respect to their investments in US and foreign alternative investment vehicles.; Provided tax advice to the owners of over thirty companies operating under an affiliation agreement with respect to a roll-up and ultimate sale.; Provided tax advice to The Tile Shop in its SPAC merger and $125M public offering.; Provided tax advice to Carbonite in its $62.5M public offering.; Provided tax advice to a foreign private equity fund with respect to its investment in a US portfolio company and subsequent restructuring to permit a public offering on a foreign exchange.; Have represented a number of companies in litigation with the IRS with respect to R&D tax credit challenges.; Provided tax advice to an offshore company with respect to a restructuring of its worldwide operations and the formation of an offshore IP holding company.; Represented privately held Hydroid LLC, a supplier of automated underwater vehicles, in the sale of the company to Kongsberg Maritime AS.; Acquisition of International Offshore Services, Inc. for Platinum Equity LLC.

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Office Information

Kenneth R. Appleby

BostonMA 02111


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