415-***-**** adbmqx@r.postjobfree.com

JAMES ROYER

Objective

Skills

Education

I have been a corporate paralegal who has supported clients at private/public companies at various stages of growth, including companies from startups to Fortune 500 companies. I have accepted many contract opportunities both for the experience earned and flexibility, which I no longer need. I am looking for permanent, long-term opportunities.

● Filing SEC Form IDs, 10Ks, 10Qs, 8Ks, 4s (Sect. 16), and Proxies, using CapMx, Diligent Boardbooks, various data sites, Go16/Reuters Accelus, and researching with EDGAR, Morningstar, and LexisNexis.

● Experience using Word, PowerPoint, Excel, Outlook, SharePoint, cloud storage and social media platforms.

● Capitalization software, including Carta, Corporate Focus, and CapMx BA, Hunter College, New York, NY, July 2010

GPA 3.7, Graduated English High Honors for a GPA of 3.9. Experience Account Manager Specialist, NASDAQ Private Market September 2019 - Current

Administered a proprietary software designed for the sale of securities in private equity. Corporate Paralegal, Tower Legal Solutions (Twilio), San Francisco, CA (Contract) June 2019 - July 2019

Supported Counsel with corporate governance and international business administration of a proprietary cloud based communications software.

Corporate Paralegal, Goodwin Procter, Redwood City, CA (Contract) Supported Counsel with mutual funds, fund-of-funds, and venture capital fundraising. Corporate Paralegal, Renew Financial, Oakland, CA (Laid-Off) September 2018 – December 2018

Supported Corporate/Litigation Counsel and the Complaints team with corporate governance, corporate finance, contracts administration, regulatory compliance, litigation, and complaints, including:

● Administered corporate records, by drafting and coordinating execution of resolutions, maintaining board books and indices, and assembling documents in connection with financial audit requests;

● Managed compliance reporting, by submitting FPPC major donor reporting, loan facility affirmative covenants quarterly/monthly reporting and monthly Risk Committee litigation reports; and

● Coordinated document production for subpoena requests, drafted settlement agreements, and maintained litigation related records.

Corporate Paralegal, Pillsbury Winthrop Shaw Pittman LLP, San Francisco, CA (Resigned) September 2017 – July 2018

Supported corporate and securities attorneys with client corporate governance, corporate finance and regulatory compliance initiatives, including:

● Administered client incentive option plans, by drafting Board resolutions, related option award agreements and exercise notices, maintaining cap tables;

● Supported regulatory compliance filings, more specifically, Section 16 and Form ID filings; and

● Managed client stock financings, by drafting resolutions and certificates, overseeing deal close checklists and signature production, conducting UCC lien research, and legal entity maintenance. Corporate Paralegal, Weil, Gotshal & Manges LLP, Redwood City, CA (Resigned) April 2016 – August 2017

Supported attorneys in the corporate governance, corporate finance projects and mergers and acquisitions of publicly traded and privately held companies, including:

● Maintained legal entities from formation to dissolution, by forming entities of all types, applying for FEINs, maintaining related archives, settling annual franchise tax debts, and dissolving entities;

● Facilitated corporate governance, by reviewing charter documents, drafting minutes and coordinating minute execution, maintain corporate minute books;

● Managed client capitalization, by issuing stock, reviewing incentive plans, drafting, reviewing, and distributing incentive agreements, and maintaining ledgers, cap tables, and escrow files;

● Supported deal due diligence before deal close for financing, M&A deals by conducting various types of research (UCC, bankruptcy, and IP) and filings (UCC), and reviewing and monitoring data sites; and

● Facilitated deal closes and managed assembly of deal closing books, by administering checklist, coordinating and tracking signatures, assemble closing deliverables, and producing deal volumes. Corporate Paralegal, Michael Kors, New York, NY (Moved) May 2015 – October 2015

Supported the General Counsel in corporate governance, corporate finance, regulatory compliance, and global operation of brand stores projects, including:

● Supported corporate governance, by supporting Board/committee meetings, coordinating Board/committee meetings, assembling Board books, coordinating services, taking meeting notes, drafting minutes, having minutes executed, and maintaining related tracking excels and archives;

● Facilitated finance and tax initiatives, by forming and maintaining legal entities, administering checklists and document production, drafting contribution agreements, and coordinating signatures on consents and compliance related documents (SOX compliance); and

● Supported regulatory filing, like Form 10-K/Qs, Form 8-Ks, Form Def 14As, and Form 3/4s, by preparing forms for counsel review, coordinating with outside firms for filing, reviewing forms, and coordinating signatures on sox certifications.

Corporate Paralegal, Covington & Burling, New York, NY (Contract) November 2014 – January 2015

Supporting partner clients from startups to public multinational corporations with corporate governance, finance and regulatory compliance (complying with Securities, ’40, and adapting to Dodd-Frank regulation), including:

● Supported in startup preferred share financing, by maintaining corporate records and minute books, issuing shares, tending stock ledgers, mediating client vendor relations, and satisfying archival requests;

● Managed legal entities from drafting formations, resolutions, and consents to conversions and dissolution due to mergers and acquisitions; and

● Assisted institutional securities offerings from indexing support for prospectus claims to drafting the indexes for an array of the debt and equity deals of underwriters and issuers. Legal Associate, ICON Investments, New York, NY (Laid-Off) April 2013 – February 2014

Supported the executives, GC and CCO with the formation, registration, fundraising, administration, and liquidation of the nine funds of an investment manager in varying stages of the offering.

● Administered records/supported oversight on $441mn in investments from NDA through committee review by varying degree to transfer agent KYC requests;

● Assisted with board, committee, and shareholder meetings, by maintaining calendars and alerts, assembling and shipping materials, maintaining minute books, and assisting with filings;

● Supported CCO administration and oversight of adviser and 38(a)-1 regulatory compliance manuals, by evaluating employee trade requests and assisting with CCO annual audits. Legal Associate, Morgan Stanley, New York, NY (Contract) July 2012 – November 2012

Supported treasury management in credit relations and underwriting, by managing a guarantees administration software (Software) and supporting a first CFTC credit risk report on over 20,000 contracts. Corporate Paralegal, Cravath, Swaine & Moore, New York, NY (Two-Year Program) July 2010 – May 2012

Assisted attorneys with client offerings as varied as institutional securities, revolving credit and syndicated loan financing, and structured finance deals, including:

● Assisted with underwriting/issuance of securities from drafting due diligence memos through deal checklist administration and prospectus review to filing prospectuses; and

● Managed deal closing books distribution from clearing conference rooms through indexing, assembling, and monitoring deal closing book production and distribution. Messenger, Cravath, Swaine & Moore, New York, NY (Promoted) December 2005 – July 2010

Served full-time while attending university full time. Page 2 JAMES ROYER