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David P. Hooper Partner 317-231-7333 317-231-7433 Fax david.hooper@BTLaw.com Indianapolis 11 South Meridian Street Indianapolis, Indiana 46204-3535 David P. Hooper is a partner in the Business Department in the firm’s Indianapolis, Indiana office. Mr. Hooper concentrates his practice in the areas of securities, mergers and acquisitions, banking and financial institutions law and general corporate law. Mr. Hooper regularly advises clients on both publicly registered and exempt private offerings of securities, periodic reporting under the Securities Exchange Act of 1934, mergers and acquisitions of financial institutions, bank formations, broker-dealer and investment adviser registration and regulation, and a variety of other general corporate matters. His recent experience includes representing a state-chartered commercial bank in a $20.5 million merger transaction; representing a publicly-traded retail company with over $1 billion in annual revenues in a complex recapitalization transaction and related proxy solicitation; representing a number of clients in broker-dealer registrations with the Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA); representing a publicly-traded manufacturer with world-wide operations in a regulated proxy solicitation for the dissolution and liquidation of the company; representing a federally-chartered savings bank in a $52 million merger transaction; representing a state savings bank in a $20 million merger transaction which was coupled with a mutual-to-stock conversion and a public common stock offering; representing a specialty auto-finance company in a $52 million reverse merger transaction with a bank holding company; representing a federally-chartered commercial bank having $1.2 billion in assets in the sale of its stock in a $300 million acquisition; and representing a publicly-traded utility in a $130 million registered equity forward offering and in a $100 million public notes offering. An integral part of Mr. Hooper’s practice involves advising clients on a wide-range of broker-dealer and investment adviser regulation and registration issues. Areas in which Mr. Hooper regularly advises clients include federal and state registration and compliance issues; FINRA membership matters; mergers and acquisitions involving broker-dealer firms; broker-dealer and investment adviser compensation arrangements; developing and refining written supervisory procedures for broker-dealer and investment advisory firms; providing advice regarding alternative and online trading systems; and advising issuers and financial market participants with respect to finders and business-broker relationships. Mr. Hooper also regularly advises entrepreneurs and high-growth companies on a wide range of financing transactions and strategic planning issues, including angel and venture capital financings and private securities offerings. Mr. Hooper also represents a number of small to mid-size emerging companies with respect to corporate governance issues, shareholder proxy matters, and complex business agreement negotiations. With regard to his banking and financial institutions practice, Mr. Hooper represents clients in bank formations, mutual holding company conversions, and state and federal regulatory matters. Mr. Hooper received his B.A., magna cum laude, from The George Washington University, where he was a member of Phi Beta Kappa and the National Society of Collegiate Scholars, and he received his J.D., magna cum laude, from Valparaiso University School of Law, where he was a member of the Valparaiso Law Review, recipient of the Juris Award Law Scholarship, and president of the Federalist Society for Law & Public Policy Studies. In his prior experience, Mr. Hooper practiced law with an AmLaw 100 firm in Chicago and also worked as a congressional staff assistant for former U.S. Senator Craig Thomas (R-WY) and former U.S. Rep. Duncan Hunter (R-CA). Mr. Hooper is a member of the Executive Committee of the Indianapolis Bar Association's Business Section and is admitted to practice in Indiana, Illinois, the District of Columbia, and before the U.S. District Court for the Northern District of Illinois. |
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