Tom Bockhorst Email & Phone Number

Greater Boston

Advise small businesses and individuals on negotiating and implementing business agreements and transactions as well on employment law matters.

Boston, Massachusetts, United States

Advised clients on business formation, governance, compliance, asset and securities purchase and sale transactions, and negotiating business agreements. Represented clients in business, employment, and securities litigation in federal and state trial and appellate courts. - Assisted in negotiating and drafting of full range of business contracts, including, asset purchase and securities purchase agreements, executive employment agreements, vendor contracts, outside sales rep agreements, distributorship relationships, and trademark and work for hire issues.- Advised on governance, including new and amended bylaws, framing and recording Board actions, buyback of minority shareholder interests, and drafting and negotiation of shareholder agreements.

New York, Ny

Managed legal affairs for registered investment adviser (RIA) consulting firm that advises charitable foundations and endowments on strategic asset allocations and investment manager selection. • Advised on client agreements, data license agreements, commercial leases, financing agreements, and employment issues. Managed outside counsel. • Helped lead cross-functional business team implementing new discretionary management (OCIO) offering. Helped design and implement procedures and controls on custody of client funds, new Form ADV disclosures, and new client agreements.• Served as Interim Chief Compliance Officer. Developed and implemented updated Compliance Manual, trained all employees, and oversaw compliance efforts, including review of advertising for compliance, employee Code of Ethics reporting, and compliance testing of key risk areas. • Advised on expansion of firm ownership, including developing new LLC operating agreement and driving business valuation and financial modeling.• Upgraded risk management program with improved D&O, E&O, fiduciary, and EPLI policies and new coverages for cybersecurity and fidelity/crime risks.• Reviewed hedge fund, private equity, and venture capital offering documents and negotiated side letter terms and advised clients on private fund reporting issues.

Litigation co-counsel in successful Lanham Act defense. Extensive pretrial fact and expert witness depositions; other discovery; pretrial motions; strategy development; and seven day jury trial.

Concord, Ma

Led five member Treasury organization. Responsible for all cash and risk management functions, pension investments, and capital structure strategy.• Led increased cash flow focus with scorecards, analysis, and sustained outreach to operating units. Drove $50 million (30%) debt reduction and $16 million (23%) inventory reduction.• Negotiated material amendment to company’s debt covenants and succeeded in retaining investment grade rating amidst business downturn.• Led revisions to charter of Board's Pension Committee to address fiduciary duty risks.• Helped lead program to hedge $15-$20 million energy spend, including negotiating four new ISDA counterparty relationships.

Concord, Ma

Provided legal support across full scope of company’s operations, including customer and vendor contracts, advertising and consumer promotions, employment and labor issues, trademarks, copyrights, design patents, advertising and consumer promotions, employment and labor, and litigation. • Negotiated new trademark license delivering $2.5 million annual royalty profit.• Partnered with Sales to consolidate distribution network from 25 distributors to one. • With International team, negotiated new partnerships to build UK and China businesses and led development, clearance, and registration of new China trademarks.

A.B., Economics

M.S., Accounting

J.D.