Patricia M. Plavko
Patricia practices corporate law, focusing in the areas of securities, corporate governance, mergers and acquisitions, commercial transactions and equity-based 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
- SEC registration, listing, compliance and reporting
- 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, charters and codes of conduct and ethics, and executive compensation
- 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
- Commercial contracts
- State and SEC securities registration
- SEC and FINRA compliance and reporting
Patricia’s representative entrepreneurial, start-up and closely-held company experience includes:
- Entity selection, formation and organizational matters, including operating agreements, shareholder agreements, and buy-sell agreements
- Employment and independent contractor agreements
- Private placements, offering memorandums and subscription documents
- Blue Sky securities exemptions
- Acquisitions and dispositions
- Contracts, letters of intent, and confidentiality, non-compete and non-disclosure agreements
Patricia advises investment adviser and investment company clients with state and SEC registration and with SEC and FINRA compliance and reporting. She also has experience maintaining corporate governance for investment companies.
Patricia advises clients regarding compliance with tax code Section 409A's potential penalties on deferred and executive compensation plans. She also advises employers regarding incentive compensation, including equity-based compensation and bonus plans.
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 at the U.S. Securities and Exchange Commission and 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