General Counsel or Associate General Counsel

Donald T. Locke - JD, MBA

Raleigh, NC 919-***-**** ************@*****.***

LinkedIn: https://www.linkedin.com/in/donlocke27

GENERAL COUNSEL EXECUTIVE LEGAL STRATEGIST CORPORATE COUNSEL SEC COMPLIANCE CONTRACTS

Business-focused legal executive with 25+ years of leadership experience driving legal, compliance, and corporate strategy across diverse technology companies and highly regulated industries. Extensive success advising boards of directors, managing high-stakes transactions, ensuring SEC and stock exchange compliance, and reducing outside legal expenditures by over 75% annually. Proven ability to align legal functions with business goals while building trust with stakeholders at all levels. Previously Of Counsel with AmJur 100 law firms and General Counsel with NASDAQ and NYSE companies. Managed public and private offerings to raise over $5 Billion in equity and debt issuances.

KEY SKILLS AND CORE COMPETENCIES

General Counsel Services Board of Directors Advisory

Negotiate and Draft Commercial Agreements

SEC Compliance: 1933 Act (S-1s, S-3s, S-4s, etc.)

SEC Compliance: 1934 Act (10-Ks, 10-Qs, 8-Ks, Section 16, etc.) SOX

M&A Joint Ventures Strategic Transactions

Corporate Governance Risk Management

NYSE and NASDAQ listings and compliance

Public & Private Offerings Capital Markets

Cybersecurity Data Privacy

IPO Readiness D&O Insurance Compliance Programs

Litigation Management

Experience with AI legal applications

Certified in Arbitration and Mediation

PROFESSIONAL EXPERIENCE

Outside General Counsel & Legal Advisor

Various Clients Nov 2023 – Present

Deliver outsourced General Counsel services to early-stage and established companies (both privately- held and publicly-traded) across tech and life sciences.

Negotiate and draft strategic agreements, oversee and draft public company filings, and advise executive leadership on many corporate issues.

Provide guidance on corporate governance issues, corporate policies, stock exchange compliance, SOX, and investor relations.

General Counsel & Chief Compliance Officer

EmCap Solutions, Inc. Nov 2009 – Oct 2023

Co-founded legal framework for life-insurance-backed capital financing platform supporting $100M+ infrastructure projects.

Saved $1.25M+ annually by internalizing legal functions and effectively managing outside counsel.

Coordinated with global stakeholders to launch investment fund under Irish regulation.

Raised $55M via Reg D private placements; drafted offering documents for clients in SEC format.

General Counsel & EVP Corporate Development

Oasys Mobile, Inc. May 2001 – Oct 2009

Directed legal, financial, and strategic operations for this public mobile app and game developer.

Raised $115M+ in capital through equity/debt transactions and drafted all 1933 Act and 1934 Act SEC filings.

Led licensing partnerships with top brands including Disney, Electronic Arts, Sony, Playboy and Mattel.

Managed audit, litigation, SOX compliance, and investor relations.

Of Counsel

Kilpatrick Stockton LLP (now Kilpatrick Townsend LLP) Sep 1999 – Mar 2001

Represented tech clients in public offerings, mergers, and joint ventures.

Provided strategic legal counsel on corporate agreements, corporate governance, stock exchange compliance, and federal and state securities law.

EDUCATION

Juris Doctor (cum laude) – University of South Carolina Joseph F. Rice School of Law.

MBA (summa cum laude) – University of South Carolina Darla Moore School of Business, Graduated 1st in Class.

BA (magna cum laude) – Furman University (Business & Political Science).

BAR ADMISSIONS & MEMBERSHIPS

Licensed in Texas and South Carolina.

Member: American Corporate Counsel Association, National Association of Corporate Directors, Society for Corporate Governance.

HONORS & AWARDS

AmJur Award MBA Outstanding Student Award Rhodes Scholarship Finalist.

Phi Beta Kappa Beta Gamma Sigma Omicron Delta Kappa.

INDUSTRY EXPOSURE

Technology FinTech SaaS Nanotech Pharma & CROs Energy Alternative Energy AgTech Utilities Cybersecurity Data Privacy Waste-to-Energy Software Development Corporate Roll-Ups Alternative Fuels.

Contact this candidate