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The ESOP Podcast Episode 32 – Anatomy of a LIVE ESOP Transaction at NCEO18

The ESOP Podcast Episode 32 – Anatomy of a LIVE ESOP Transaction at NCEO18 

We kick off this episode of The ESOP Podcast with a conversation with Peter Alifaris of Pendo Advisors, LLC. He shares our goals in stepping through the “Anatomy of a LIVE ESOP Transaction” in today’s presentation; listeners will come away with a real understanding of the process that goes into negotiating an ESOP transaction.

Peter Alifaris , Rich Heeter, and Ed Renenger

Peter Alifaris , Rich Heeter, and Ed Renenger speaking with an audience member after presenting “Anatomy of a LIVE ESOP Transaction” at the Multi-state ESOP Conference in Scranton, PA on September 17, 2017.

We then share Peter Alifaris (Managing Director / ESOP Advisory Practice Leader at Pendo Advisors), Ed Renenger Renenger (co-chair of Stevens & Lee’s Employee Benefits and Executive Compensation Group), and Rich Heeter, (Principal and Managing Director at Captial Trustees) presenting “Anatomy of a LIVE ESOP Transaction” at the National Center for Employee Ownership (NCEO) 2018 Annual Conference, #NCEO18, in Atlanta, Georgia on Wednesday, April 18th, 2018 from 9:00 – 10:15 AM.

Click below to download the accompanying “Anatomy of a LIVE ESOP Transaction at NCEO18” slide show presentation:

Anatomy of a LIVE ESOP Transaction

DISCLAIMER: The opinions expressed in this presentation and the presentation materials are not intended to be used as legal advice. Please consult with counsel as necessary.


More about Peter Aliferis and Pendo Advisors, LLC

Peter Aliferis presenting "Anatomy of a LIVE ESOP Transaction" at the Multi-state ESOP Conference in Scranton, PA on September 17, 2017

Peter Aliferis presenting “Anatomy of a LIVE ESOP Transaction” at the Multi-state ESOP Conference in Scranton, PA on September 17, 2017.

Pendo Advisors, LLC

“Peter is a finance professional with experience in fairness and solvency opinions, ESOP advisory services, valuations for estate planning and financial reporting purposes, leveraged buyouts, management buyout transactions, and private placements. Peter holds an MBA with concentrations in finance, economics, and accounting from DePaul University’s Kellstadt Graduate School of Business. Peter also holds a BSc in finance from DePaul University.”

[Source: NCEO18 Session biographies]

“Pendo Advisors, LLC (“Pendo”) which takes the name from the latin word “value” is a boutique investment banking services firm focused on providing institutional quality business valuation advisory and corporate finance solutions.

Our professionals offer a unique combination of experience to clients in the lower and middle markets by leveraging capital markets, business valuation, and transaction experience from $5.0 million in transaction size to Fortune 500 and $1.0 billion dollar private equity deals.

Pendo’s professionals are focused on providing business valuation services, transaction opinions, and corporate finance solutions to:

  • private and family-owned businesses;
  • public company boards;
  • ESOP (employee stock ownership plans) and ERISA
    fiduciaries;  and
  • asset managers including private equity/venture capital firms, business development companies (BDCs), hedge funds, SBICs, pension funds, and family offices.”

[Source: Pendo Advisors, LLC – About Pendo]

More about Edward C. Renenger and Stevens & Lee P.C.

Ed Renenger and Rich Heeter

Ed Renenger and Rich Heeter presenting “Anatomy of a LIVE ESOP Transaction” at the Multi-state ESOP Conference in Scranton, PA on September 17, 2017.

Stevens Lee Griffin Logo

“Ed is co-chair of Stevens & Lee‘s Employee Benefits and Executive Compensation Group. He assists companies in navigating the complexities of ESOPs, including advising business owners on how to sell their companies to employees through an ESOP. This process involves determining the feasibility of creating an ESOP and whether it accomplishes the stakeholder’s goals, structuring the design, implementing the transaction, then assisting with the ongoing administration and compliance.”

[Source: NCEO18 Session biographies]

“Founded in 1928, Stevens & Lee is a full-service law firm of 150 attorneys and 50 non-lawyer business and consulting professionals representing clients regionally and across the nation. We regularly handle some of the most complex and challenging transactions and litigation in the country for clients of all sizes in a number of industries.”

[Source: Stevens & Lee]

More about Rich Heeter, Capital Trustees, LLC

And, of course, you can learn more about our own Managing Director, Rich Heeter, on our about page, or listen to ESOP Podcast Episode 1: Introduction.


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Do you have feedback about this or any other episode of The ESOP Podcast? Do you have a topic that you would like for us to discuss on the show? Would you like to appear on the podcast as a featured guest or a panelist in a group presentation? Then we want to hear from you! Send us an email at podcast@captrustee.com.