Working at the cross-section of legal, finance and strategy
Qualifications
Highlights
Seasoned strategist and entrepreneur, with extensive legal and financial experience, combining a strong intuitive sense with analytical skills. Veteran of hundreds of transactions, both leading negotiations and coaching team members. Integrated handling of market, financial, technical, legal, tax, and organizational considerations. Experience with and understanding of science and technology. Specialties include:
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Headwaters Strategy, LLC
(1996 to present)
Clients of Headwaters Strategy are growing companies in a wide range of industries. The following are examples of recent and current relationships:
Aspen Technology, Inc.
(1981-1993)
Company Profile: AspenTech is the leading company supplying engineers in the process industries with software for the simulation of their manufacturing processes. The Company was founded in 1981, went public in October 1994, and now has annual revenues of$600 million. Over 50% of AspenTech's revenue is derived from international sales.
Joined the founding team as General Counsel. Handled all transactions which had complex commercial or international characteristics, including licenses to customers in China, Algeria, Japan, and Europe. Negotiated numerous joint development and technology licensing deals involving both universities and corporate partners. Handled all corporate legal matters, including stock offerings, financings, and employment matters. Raised AspenTech's first major round of venture capital with Advent International in 1986. Managed investor relations. Led the acquisition of Prosys Technology, Ltd., a software company in Cambridge, England. Developed the business plan for the merger of the organizations. Led a multidisciplinary effort to develop the vision and strategy for AspenTech's post-startup phase, including its IPO. Developed the plan the Company followed to build the business from $6 million to more than $200 million. Set up all of the Company's administrative systems, including financial systems, the sales forecasting system, the lines of credit, and personnel policies. Established branches and subsidiaries in The Netherlands, Japan, Hong Kong, and Belgium.
Product Knowledge Systems, Inc.
(1993-1995)
President and CEO: Consulting firm helping clients such as Dun & Bradstreet Information Services, Genentech, and Oracle train their sales people on complex products. Broadened the client base, grew revenues, expanded the team.
Bingham, Dana & Gould (Now Bingham McCutchen)
(1979-1981)
Associate in Business and Tax Departments: Handled financing transactions, including revolving credit agreements, real estate limited partnerships, and industrial revenue bonds. Corporate work included acquisitions, establishment of a subsidiary in Japan, listing of a client's debentures on the New York Stock Exchange, technology licensing, and preparation and filing of registration statements with the SEC.
Public Sector Positions
Career prior to law school focused on the fields of energy, public utilities, transportation, and the environment. Work included drafting legislation, obtaining grants for demonstration projects, and writing speeches and position papers. Wrote New England's first energy policy. 1971-1977:
Academic
Boston College Law School: J.D. 1979 Magna Cum Laude.
Member of the Order of the Coif; nomination based on academic achievement. Boston College Law Review 1978-1979.
Brown University 1972-1974: accumulated one year's credit.
Admitted to law school without a bachelor's degree. In 1978, obtained a ruling from the Massachusetts Board of Bar Examiners waiving the requirement that a candidate for the Massachusetts Bar have a bachelor's degree.
Admitted to the Bar in Massachusetts.
(1996 to present)
Clients of Headwaters Strategy are growing companies in a wide range of industries. The following are examples of recent and current relationships:
- Rhino Foods, Inc – Burlington, VT: Advised CEO and his team on growth strategy, EU sales and production contracts, long-term forecasting and bank relationships.
- Healthy Living Market – South Burlington, VT: Advised the leadership team on strategic expansion. Developed the finance plan and coached the team through expansion that more that tripled the size of the store.
- SiOnyx/Ignition Ventures – Cambridge, MA: Advised developer of black silicon-based technology on its pivotal licensing agreement at start-up with Harvard University, and served as a principal negotiator.
- OpenOrders, Inc. - Newton, MA: Consulted as CFO and strategist to provider of web-based order management and fulfillment software. Structured and negotiated interim financing. Managed investor relations. Led the successful negotiation and sale of the company to IBM.
- Champlain College – Burlington, VT: Performed the feasibility study for Champlain’s BYOBiz program, at the request of the president of the College. Identified key program elements and strategies for establishing a nationally unique entrepreneurial program.
Aspen Technology, Inc.
(1981-1993)
Company Profile: AspenTech is the leading company supplying engineers in the process industries with software for the simulation of their manufacturing processes. The Company was founded in 1981, went public in October 1994, and now has annual revenues of$600 million. Over 50% of AspenTech's revenue is derived from international sales.
- General Counsel (1981-1987)
- Vice President, Finance and Chief Financial Officer (1986-1988)
- Vice President, Strategic Development (1988-1992)
- Vice President, Process Information Management (1992-1993)
Joined the founding team as General Counsel. Handled all transactions which had complex commercial or international characteristics, including licenses to customers in China, Algeria, Japan, and Europe. Negotiated numerous joint development and technology licensing deals involving both universities and corporate partners. Handled all corporate legal matters, including stock offerings, financings, and employment matters. Raised AspenTech's first major round of venture capital with Advent International in 1986. Managed investor relations. Led the acquisition of Prosys Technology, Ltd., a software company in Cambridge, England. Developed the business plan for the merger of the organizations. Led a multidisciplinary effort to develop the vision and strategy for AspenTech's post-startup phase, including its IPO. Developed the plan the Company followed to build the business from $6 million to more than $200 million. Set up all of the Company's administrative systems, including financial systems, the sales forecasting system, the lines of credit, and personnel policies. Established branches and subsidiaries in The Netherlands, Japan, Hong Kong, and Belgium.
Product Knowledge Systems, Inc.
(1993-1995)
President and CEO: Consulting firm helping clients such as Dun & Bradstreet Information Services, Genentech, and Oracle train their sales people on complex products. Broadened the client base, grew revenues, expanded the team.
Bingham, Dana & Gould (Now Bingham McCutchen)
(1979-1981)
Associate in Business and Tax Departments: Handled financing transactions, including revolving credit agreements, real estate limited partnerships, and industrial revenue bonds. Corporate work included acquisitions, establishment of a subsidiary in Japan, listing of a client's debentures on the New York Stock Exchange, technology licensing, and preparation and filing of registration statements with the SEC.
Public Sector Positions
Career prior to law school focused on the fields of energy, public utilities, transportation, and the environment. Work included drafting legislation, obtaining grants for demonstration projects, and writing speeches and position papers. Wrote New England's first energy policy. 1971-1977:
- Massachusetts Office of the Attorney General - Legal Intern
- Rhode Island Division of Public Utilities - Coordinator for Special Projects
- New England Regional Commission - Staff Assistant
- Rhode Island Governor's Office - Policy Aide
- Urban Systems Laboratory, MIT - Research Assistant
- Geo-Transport Foundation - Assistant to the Executive Director
Academic
Boston College Law School: J.D. 1979 Magna Cum Laude.
Member of the Order of the Coif; nomination based on academic achievement. Boston College Law Review 1978-1979.
Brown University 1972-1974: accumulated one year's credit.
Admitted to law school without a bachelor's degree. In 1978, obtained a ruling from the Massachusetts Board of Bar Examiners waiving the requirement that a candidate for the Massachusetts Bar have a bachelor's degree.
Admitted to the Bar in Massachusetts.
Non-Profit Work - Examples
Patient Choices Vermont: President. Patient Choices Vermont (PCV) is the organization that led the initiative to adopt a medical aid in dying law in Vermont. With the enactment of Act 39 on May 20, 2013, Vermont became the first state in the country to adopt a medical aid in dying statute through legislative action. Today, Patient Choices Vermont is dedicated to continued advocacy work, educating Vermonters and the state's health care providers about end-of-life choices and ensuring that all Vermonters have access to the rights established by the law. Please see www.patientchoices.org.
Jericho Underhill Land Trust (JULT): Previous Board Member. Leadership role in project development and fundraising, resulting in the preservation of hundreds of acres of natural landscape for wildlife habitat, recreation, and education. This has been extremely rewarding work, knowing that we have preserved special land for future generations, with the generous support and volunteer effort of hundreds of people in our community.
Lake Champlain Community Sailing Center: Former Board Member of the Sailing Center, which provides sailing and environmental education programs for hundreds of children each year. Developed the organization's quantitative model and trained key staff members in modeling techniques. The model has been instrumental in program development, pricing and donor relations.
Patient Choices Vermont: President. Patient Choices Vermont (PCV) is the organization that led the initiative to adopt a medical aid in dying law in Vermont. With the enactment of Act 39 on May 20, 2013, Vermont became the first state in the country to adopt a medical aid in dying statute through legislative action. Today, Patient Choices Vermont is dedicated to continued advocacy work, educating Vermonters and the state's health care providers about end-of-life choices and ensuring that all Vermonters have access to the rights established by the law. Please see www.patientchoices.org.
Jericho Underhill Land Trust (JULT): Previous Board Member. Leadership role in project development and fundraising, resulting in the preservation of hundreds of acres of natural landscape for wildlife habitat, recreation, and education. This has been extremely rewarding work, knowing that we have preserved special land for future generations, with the generous support and volunteer effort of hundreds of people in our community.
Lake Champlain Community Sailing Center: Former Board Member of the Sailing Center, which provides sailing and environmental education programs for hundreds of children each year. Developed the organization's quantitative model and trained key staff members in modeling techniques. The model has been instrumental in program development, pricing and donor relations.