Patricia M. Plavko

Senior Associate
West Chester
T 513.870.8297
F 513.870.0999
9277 Centre Pointe Drive
Suite 300
West Chester, Ohio 45069-4866

Patricia practices corporate law, focusing in the areas of securities (including registered and private funds), corporate governance, mergers and acquisitions, commercial transactions and incentive compensation (including equity-based and deferred compensation).  She advises clients on a broad range of transactional issues, including business combinations, securities compliance and corporate governance matters.

Patricia’s representative public company experience includes:

  • Transactional and financing matters, including registered and unregistered offerings
  • Mergers, acquisitions and divestitures
  • Annual reports on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, proxy and other information statements and SEC comment letters
  • Corporate governance practices and fiduciary duties, including board committees
  • Executive compensation plans, including equity and cash-based award types
  • Investor relations and institutional governance, including shareholder meetings, communications, nominees and proxy proposals and proxy access
  • Regulation FD, Section 16, Rule 144, and insider trading compliance and reporting
  • State and federal securities registration, compliance and reporting

Patricia’s representative entrepreneurial, start-up, closely held company and private fund experience includes:

  • Entity selection, formation and organizational matters, including operating agreements, limited partnership agreements, shareholder agreements, and buy-sell agreements
  • Acquisitions and dispositions
  • Employment and independent contractor agreements
  • Private placements, offering memorandums and subscription documents
  • Federal and Blue Sky securities exemptions
  • Contracts, letters of intent, and confidentiality, non-compete and non-disclosure agreements
  • Equity incentive plans (including restricted stock and stock options), employee stock purchase plans, phantom equity plans, bonus plans and nonqualified deferred compensation plans

Patricia’s representative institutional investor and fund-of-fund experience includes:

  • Private equity and hedge fund legal diligence review and analysis
  • Limited partnership agreements and operating agreements
  • Subscription agreements and investor questionnaires
  • Side letters
  • Most favored nation elections
  • Co-investments
  • Purchase and sale agreements and transfer agreements

Prior to joining Frost Brown Todd, Patricia served as in-house counsel at a mutual fund company advising investment companies and their boards on various securities and corporate governance matters.  During law school, Patricia spent time as a Law Clerk in the Enforcement Division at the U.S. Securities and Exchange Commission (SEC) and in the General Counsel’s Office at the Financial Industry Regulatory Authority (FINRA).

Memberships & Affiliations

  • Cincinnati Bar Association
  • Ohio Bar Association

Civic & Charitable Organizations

  • Shared Harvest Foodbank, Board of Directors 2014-Present
  • Cincinnati Cystic Fibrosis Foundation Finest Under Fifty – 2017

Other Contact Info

Assistant

Lisa Kunz
Email
T 513.870.8208
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