John Pennington Email & Phone Number

Salt Lake City, Ut, Us

Chicago, Illinois, Us

As an accomplished attorney with a focus on investment funds, I have successfully advised clients on a wide range of complex legal matters. With my extensive experience in structuring, forming, and advising private investment funds and their management companies, I am confident in my ability to provide valuable legal counsel and services.Advised clients on investment funds structuring, formation, and management company counseling.Represented clients with transaction size ranging from $100 million to over $6 billion.Provided valuable legal counsel on a variety of general corporate counseling matters, including regulatory, compliance, and operational issues.Worked with clients to ensure compliance with regulatory requirements.Demonstrated a strong commitment to client service and satisfaction.Core Competencies:Investment funds structuring and formationPrivate investment fundsGeneral corporate counselingRegulatory complianceOperational issues

As a highly skilled attorney with extensive experience in fund formations, I have drafted a variety of legal documents including PPMs, LPAs, Subscription Docs, Operating Agreements, and Management Agreements. In addition, I have a deep understanding of securities laws such as Form D, Blue Sky laws, Reg D, 506(b), 506(c), Private Funds (3(c)(1), and 3(c)(7)) and have worked with both international and domestic investors.I am also proficient in corporate and business law, real estate, and securities, and have served as lead attorney in corporate restructuring, limiting liability, and real estate transactions. Providing timely and strategic legal advice related to business risks, strategies, legal work-arounds, contract review, and marketing has been a key strength of mine.In my role, I have successfully negotiated and drafted various contracts, agreements, licenses, and policies, and have collaborated with teams of attorneys to communicate efficiently with clients, draft appropriate documentation, and provide valuable legal advice. Furthermore, I have represented large commercial businesses in federal and state securities filings, ensuring full compliance with all laws.With a strong understanding of compliance, licensing, master agreements, shareholder agreements, and entity formation and business organizational documentation, I am confident in my ability to provide exceptional legal services to any client.

Salt Lake City, Utah, Us

Successfully registered the company as an SEC Registered Investment Adviser.Drafted various compliance documents such as Form ADV (Parts 1 & 2), Policies and Procedures Manual, Code of Ethics, Business Continuity Plan, Privacy Policies, and Allocation PoliciesRevised and reviewed marketing materials, advertising materials, and DDQs to ensure compliance with regulatory requirements.Implemented employee training programs and onboarding processes to ensure that employees understood and adhered to compliance policies and procedures.Streamlined compliance processes to ensure efficient and effective compliance with regulatory requirements.

Salt Lake City, Utah, Us

Proficient in a wide range of transactional legal work, including corporate and business law, tax, real estate, mergers and acquisitions, securities, debt financing, compliance, estate planning, bankruptcy, and licensing.Demonstrated expertise in federal and state securities filings, including Blue Sky Laws, EDGAR filing and search system, and various regulatory forms such as Form ID, Form D, Form U-2, and Form 99.Assisted non-profit organizations in obtaining exempt status under I.R.C. Section 501 and provided clients with guidance on individual and corporate tax matters.Conduct thorough and efficient legal research using both Westlaw and Lexis research platforms.Represented clients in litigation proceedings in Utah State Tax Commission and several Utah District Courts. Prepared trial documents, conducted research, and organized depositions.

Salt Lake City, Utah, Us

Experienced in providing legal advice and guidance on a broad range of corporate and business law matters, including entity formation, real estate, and securities.Proficient in the process of fund formation, organization, and compliance, with extensive knowledge in drafting and revising fund documents, securities, and financial documents for submission to regulatory bodies such as the Securities Exchange Commission (SEC) and Over The Counter (OTC).Worked with clients on real estate foreclosures, collaborating with multiple bankruptcy and foreclosure attorneys, as well as foreclosure agencies in various states to provide comprehensive assistance throughout the proceedings.

[One of Utah’s largest private equity firms, with over $40 billion AUM.]In-depth knowledge of Registered Investment Advisor (RIA) rules and regulations, SEC regulations and licensing rules, investor regulations, and investor exemptions, as well as fund formation, complex business and fund structuring strategies, and fund management.Proficient in handling real estate transactions, mergers and acquisitions, purchase and sale agreements, and property management agreements.Drafted, edited, and reviewed various fund organizational documents.Designed and managed all fund structure organizational charts, comprising over 500 entities, in a clear and efficient manner that facilitated understanding by all employees.Acquired domestic and international tax law experience, including U.S., Cayman Islands, Australia, and Canada, related to fund structuring, fund formation, corporations, and limited liability companies.

Doctor Of Law (Jd), Law

Bachelor Of Arts (Ba), Asian Studies- Emphasis On Mandarin Chinese