Jonathan B. Levy

Partner

levyjb@ballardspahr.com
Tel 612.371.2412
Fax 612.371.3207
Minneapolis

Jonathan Levy regularly advises private and public companies, as well as officers, directors, and shareholders, on a wide range of matters related to corporate and securities law. He has significant experience in public-company mergers and acquisitions and other change-in-control and strategic transactions.

Jon also counsels investment advisors. His work encompasses organizing, registering, and structuring money-management firms and public and private investment companies, representing buyers and sellers on M&A transactions involving investment advisors and similar businesses and providing counsel on SEC, FINRA, and other regulatory-compliance matters, including preparing clients for inspections and defending them in enforcement actions.

Representative Matters

Securities Experience:

  • Corporate and Securities Counsel to Winnebago Industries, Inc. (NYSE WGO)
  • Corporate and Securities Counsel to Winmark Corporation (Nasdaq WINA)
  • Securities compliance counsel to Disciplined Growth Investors
  • Corporate counsel to GSABC Cooperative Association in its merger with Blood Centers of America, Inc.
  • Corporate counsel to United Financial Corporation in its stock for stock acquisition by U.S. Bank
  • Corporate counsel to Community First Bancshares in its $1.2 billion acquisition by BNP Paribas

Investment Management Experience:

  • Represented a local investment adviser in connection with forming its first mutual fund
  • Represented a purchaser in connection with acquisition of investment adviser and family of investment companies from a bank holding company
  • Advised a bank holding company on networking arrangements with investment adviser and broker-dealer
  • Regularly counsels middle market private equity funds on Dodd-Frank compliance, investment adviser registration issues, fiduciary duties to limited partners, and securities disclosure and private offering issues
  • Advised NASDAQ-listed bank holding company and its board of directors in connection with stock for stock merger transaction with prominent NYSE listed bank holding company

Professional Activities

Twin Cities Institutional Registered Investment Advisers Compliance Roundtable, Steering Committee Liason

Minnesota Bar Association, Securities Law Committee, Chair, Business Law Section, Member

CFA Society, Twin Cities Chapter, Board of Directors

Freezing Assets, CFA Society Blog, Editorial Board Member, Contributor

American Bar Association, Member

Hennepin County Bar Association, Member

Recognitions and Accomplishments

Minnesota Super Lawyers, Rising Star (2001)

Publications

"Hostile Target Rules the Air as Delaware Chancery Court Upholds Airgas Poison Pill," Lindquist & Vennum, The Dealmaker Counsel, March, 2010

"Is It Time To Renew Your Prescription?," Lindquist & Vennum, The Dealmaker Counsel, January, 2010

University of Pennsylvania Law School (J.D., 1990)

University of Wisconsin-Madison (B.A., 1987, with distinction)

Minnesota