Gregory Hartmann Email & Phone Number

New York, Ny, Us

Coverage included providing advice on investments, investment funds, contracts (including NDAs), and compliance matters. Worked with a major U.S. bank as part of its Alternative Assets legal team, advising on private equity funds, feeder funds, funds of funds, fund distribution matters, product development, and related initiatives. In other engagements, I advised another major U.S. bank on direct corporate investing in venture capital companies, and in making limited partner commitments to private investment funds, plus, I covered joint marketing agreements, airport lounge contracts, and other strategic initiatives.

New York, Ny, Us

Corporate and securities attorney advising clients on asset management matters and commercial transactions. Coverage included: hedge funds, venture capital funds, private equity funds, angel and other direct investments, broker-dealer and investment adviser (RIA) regulatory issues, as well as financings and other commercial transactions.

New York, Ny, Us

Corporate and securities attorney advising clients on asset management matters and commercial transactions. Asset management coverage included: hedge fund and private equity fund formation, investment management agreements, subscription documents, side letters, and registered investment adviser (RIA) and broker-dealer compliance advice. Represented numerous clients making angel investments and other early-stage private investments. Drafted and negotiated seeding arrangements and separately managed account agreements. Significant work drafting complex LLC operating agreements as well as limited partnership agreements. My corporate practice included: mergers & acquisitions, joint ventures, secured lending, employment agreements, and commercial contracts drafting and negotiation.

Newark, New Jersey, Us

LEAD TRANSACTION COUNSEL: Supported Prudential Retirement on pension risk transfers in excess of $25 billion. Structured, negotiated, and documented PRT transactions. Advised asset management, product development, marketing, finance, risk, actuarial, and compliance teams. Work included: preparation of term sheets, definitive purchase agreements, group annuity contracts, separate account documentation (including plan of operations and investment constraints), asset transfer documentation for premium paid in-kind, NDAs, and various service agreements. Significant work also performed in respect of securing approvals for transactions, including preparation of materials for, and briefing of, various senior Prudential committees.

New York, Us

HEAD OF ASSET MANAGEMENT- LEGAL in New York for AIG Investments. Legal counsel for over $50 billion of AUM. Advised on fixed income, equities, and alternative investments, as well as sales, compliance, client relations, marketing, and product development. Coverage included:- Funds: Developed new fund products such as hedge funds, private equity-style investment funds, and a bank collective trust product. Represented the firm in respect of its proprietary mutual funds, and also where it acted as sub-adviser to other mutual fund sponsors. - Contracts (managed accounts and other matters): Negotiated and drafted managed account agreements and investment guidelines, investment management advisory and sub-advisory agreements, private placement distribution agreements, confidentiality agreements, inter-company agreements, and compensation plans and agreements. - Regulatory: Advised on Investment Advisers Act, Investment Company Act, and broker-dealer matters. Also worked closely with regional counsels in London, Dublin, Tokyo, and Singapore to support the firm's international advisory and sub-advisory mandates, as well as securities distribution in non-U.S. jurisdictions. Covered ERISA matters arising in respect of AIG/PineBridge acting as investment adviser to various retirement plans.- Compliance: Partnered with the firm's Compliance department in (i) preparing Form ADV updates, (ii) drafting, reviewing, and updating various compliance policies and procedures, and (iii) evaluating and resolving specific compliance issues arising day-to-day.

GENERAL COUNSEL for this $6 billion AUM hedge fund and private equity manager focused on investing globally in high yield instruments, bank loans, and other distressed assets. - Funds: Developed and launched new private equity funds. Also handled hedge fund and private equity fund transactional matters, including: confidentiality agreements, bid letters, term sheets, cross-border financing structures, entities, and agreements, etc.- Compliance: Prepared the management company to register with the SEC as an investment adviser. Drafted the company’s first Form ADV, and drafted and implemented a Code of Ethics. Directly involved in numerous compliance matters, including: trade allocation issues, restricted list and watch list matters, marketing-related issues, and the use of placement agents.- International Investing: Spearheaded the opening of offices in Tokyo and Frankfurt, which involved advising on non-U.S. sales, marketing, and portfolio management licensing issues.- Marketing and Investor Relations: Advised on marketing and investor relations issues, including: RFP responses, investor due diligence questionnaires, and in-person due diligence meetings.

San Francisco, California, Us

GENERAL COUNSEL and SENIOR MANAGING DIRECTOR for this investment bank and venture capital firm founded by William Hambrecht (co-founder of Hambrecht & Quist). Member of Executive Committee. Advised the firm’s asset management, corporate finance, research, and brokerage professionals on a variety of business initiatives, including: - Traditional private placements, PIPE transactions, fund formation, and venture capital investments.- M&A advisory engagements, joint ventures, and public offerings. - Bridge loans, "down rounds", and other financings for distressed companies in the firm's investment portfolio, including venture capital investments.- Compliance matters (investment adviser and broker-dealer).- Employment agreements, offer letters, and compensation plans.

Newark, Nj, Us

ASSISTANT GENERAL COUNSEL to the Mutual Funds and Annuities Group.Primary in-house attorney for a joint venture project focused on the creation, management, and sale of retail mutual funds in Japan. Drafted and negotiated a letter of intent, and then a definitive joint venture agreement. Prepared a licensing application for the company, and responded to comments from the Financial Services Agency (Japan) thereon. Supported the development of two funds for the Japanese market. Also worked on the development and launch of a fixed annuity product. Handled strategic M&A projects.

SENIOR CORPORATE ASSOCIATE handling corporate, securities, and commercial law matters, including: complex M&A deals, private placements, public offerings, investment advisory matters, and secured lending.

J.D.

M.A.

B.A.