eye on china roundtable series - foley & lardner · 2019-04-17 · eye on china roundtable...

EYE ON CHINA ROUNDTABLE SERIES

SHARON R. BARNER

PARTNER

[email protected]

321 NORTH CLARK STREET CHICAGO, IL 60654-5313

312.832.4569

SUITE 2201, JIN MAO TOWER CHINA,

86 21 6100 8900

The Hon. Sharon R. Barner served as Deputy Under Secretary of Commerce for Intellectual Property and Deputy Director, United States Patent and Trademark Office (2009-2011) before rejoining Foley & Lardner LLP as a partner. She served as a leader in intellectual property (IP) policy, helped develop and articulate the Obama Administration positions on all patent, trademark and copyright issues, both domestic and foreign, and helped promote strategies to thwart the theft of U.S. IP around the world. She also helped develop and implement policies and initiatives to enhance the agency’s delivery of timely and high-quality patent and trademark examinations, and revamp and improve the patent appeals and reexamination system of the Board of Patent Appeals and Interferences. Prior to assuming her position as Deputy Under Secretary in 2009, Ms. Barner had been chair of Foley’s Intellectual Property Department and a member of the firm’s Management Committee. She is chair of the China Practice and a member of the IP Litigation Practice.

As the Deputy Under Secretary of Commerce she continued her international focus through leadership in 15 overseas delegations, including eight China missions to Beijing, Shanghai, Dongguan, Guilin, Nanjing, and other cities. Her extensive knowledge in China at Commerce built upon her earlier Foley experience where Ms. Barner played a leading role in the establishment of Foley’s East Asia presence through establishing its first Asian offices, first in Tokyo, Japan and then Shanghai, China. Ms. Barner will play an active role in public policy and international issues.

Ms. Barner is a leading attorney in the field of intellectual property law. She represents clients in a broad range of technologies from genetically engineered corn seed, to computer software to satellites. She has tried numerous cases to verdict, as well as representing clients in IP strategic counseling and IP risk management. Her primary focus will continue to be upon participation in


complex patent and intellectual property litigation, building upon first chair litigation experience and more than a quarter century of private practice patent litigation.

Ms. Barner has been Peer Review Rated as AV® Preeminent™, the highest performance rating in Martindale-Hubbell's peer review rating system. She has also been featured in The National Law Journal, where she was named one of "The 50 Most Influential Minority Lawyers in America" (May 2008), Black Enterprise Magazine (November 2003), Diversity and the Bar (May/June 2003) and "Patent Plums: Who’s Enforcing the Most Important Patents" IP Law & Business (August 2001). She was selected for inclusion in the Illinois Super Lawyers® lists (2005-2009), and was named in the top 50 Women Illinois Super Lawyers (2006-2008). She was recently selected by her peers for inclusion in The Best Lawyers in America® 2010 in the field of intellectual property.*

Ms. Barner received her law degree from the University of Michigan in 1982 and graduated with a Bachelor of Science degree from Syracuse University in 1979. She is a member of the Illinois State Bar Association, the National Bar Association, and the Federal and American Bar Associations.

Ms. Barner is admitted to practice in Ohio, Illinois, and before the Federal, Sixth and Seventh Circuits and is a charter master member of the Richard Linn American Inn.

*The Illinois Supreme Court does not recognize certifications of specialties in the practice of law and no award or recognition is a requirement to practice law in Illinois.


JAMES C. CHAPMAN

PARTNER

[email protected]

975 PAGE MILL ROAD PALO ALTO, CA 94304-1013

650.251.1120


86 21 6100 8900

James C. Chapman is a partner with Foley & Lardner LLP where he focuses on securities law, venture capital, mergers and acquisitions, and international business transactions. Mr. Chapman has more than 20 years experience in corporate and securities law and has been involved in over 200 mergers, acquisitions, and financing transactions. These transactions have included public offerings, private placements, debt financings, venture capital transactions, stock sales, asset sales, mergers, reorganizations, and recapitalizations. He is a member of the firm’s Private Equity & Venture Capital, Green Energy Technologies and Transactional & Securities Practices, as well as the Emerging Technologies Industry Team.

Mr. Chapman also has a significant background in international transactions, particularly dealing with China and Chinese-related companies. These transactions include both assisting Chinese companies invest and raise capital in the U.S. and helping U.S. firms make investments and operate in China. From the media industry to the pharmaceutical industry, Mr. Chapman has been engaged in working with clients on numerous China-U.S. transactions and matters.

Prior to joining Foley, Mr. Chapman established the Nixon Peabody LLP Silicon Valley office and served as its managing partner for two and a half years. He also had a major role in the development of Nixon Peabody’s China practice.

His recent engagements include:

Represented the sellers of a medical device manufacturer in connection with the sale of the company

Represented the investment banker in the $750 million sale of a medical technology company

Represented the Band of Angels in connection with four of its investments in 2011


Represented a U.S. pharmaceutical company in connection with its license and development of pharmaceuticals in China

Represented a medical products manufacturer in connection with its joint venture in China

Represented the investor in its purchase of Series A preferred stock from a cutting edge clinical trial company

Represented iCharts, Inc. in connection with its recent rounds of financing

Represented Ananias World Fund in connection with the formation of a multi-billion dollar credit and collateral enhancement fund

Represented the Band of Angels in connection with the formation of its seed investment fund

Represented Sierra Asia Partners, a China focused investment bank, in connection with its world-wide reorganization

Represented Oryx Advanced Materials in connection with the termination of its joint venture in China

Represented China-based Senodia Technologies in connection with its bridge financing

Represented Bellatore LLC in connection with the acquisition of the financial management business of Nationwide Insurance

Represented Ferrari North America in connection with the sale of its California dealership

Represented Zippi Networks in connection with an $11 million equity line of credit with Palm Valley Capital

Represented Bellatore, Inc., in connection with its $11 million Series A financing

Represented a developer of distributed energy monitoring software in connection with its $3 million bridge financing

Represented Singapore telecommunications company, as co-counsel with King & Wood, in a Chinese joint-venture


Represented Business Finance Capital Corporation in connection with its merger with First Community Bank

Represented Austin Glen Core LLC in connection with its formation and structure of its real estate acquisition fund

Represented TAS Commerce Fund I in connection with its formation and structure of its Asia investment fund

Represented Northwest Fund I in connection with the sale of membership units

Mr. Chapman has been Peer Review Rated as BV® Distinguished™, a mark of excellence in Martindale-Hubbell's peer review rating system and in 2010 he was recognized in the Legal 500 as one of the top mergers & acquisitions attorneys in the U.S. He was recently named one of the "Top 25 Clean Tech Lawyers in California" by the Daily Journal (2011). Mr. Chapman was selected for inclusion in the Northern California Super Lawyers® lists (2004-2008). He also was recognized as one of "Silicon Valley’s Top Attorneys" by San Jose Magazine (2003-2007).

Mr. Chapman earned both his law degree (J.D.) and his master’s degree (M.B.A.) from Santa Clara University. He is a graduate of Catholic University of America (B.A.).

Mr. Chapman is admitted to practice in California.

His recent articles and publications include:

"Brave New World: Technology Transfer to China," The Licensing Journal, Vol. 31, No 7, August 2011

"'JIAO PENGYOU'—A Guide for Successful Business Relationships in China," AMA’s Leader’s Edge, March 2011

"Mergers and Acquisitions in China: Current Trends and Challenges in the Middle Kingdom," published by The Association for Corporate Growth, January 2011, by James C. Chapman, Partner, Foley & Lardner, and Linlin Li, Attorney


"Intellectual Property Protection in China- Building the Proper Foundation," Nixon Peabody LLP, May 2009

"M&A in China - Ten Strategies For Successful Cross-Border Transactions," Asian Counsel, September 2008

"The Road to China: Ten Key Lessons for doing Business in China," The Licensing Journal, Vol. 28, No. 7, August 2008

"In the Eye of a Hurricane - Duties of Directors in a Turbulent Environment," Software Developer’s Forum Newsletter, August 2008

"China IPOs—The Era of Transition," Asian Counsel, May 2008

"Trends in Mergers & Acquisitions," Band of Angels Newsletter, March 2008

"The Road to China: Ten Key Lessons on Doing Business in China," Nixon Peabody LLP, March 2008

"Traps for the Unwary: The Application of the United States Foreign Corrupt Practices Act in China," Nixon Peabody LLP, March 2008

"Trends in IPOs," Corporate Counselor, September 2007

"Trends in IPOs," Band of Angels Newsletter, September 2007

"Private Equity in China," Nixon Peabody Private Equity Alert, July 2007

"Entering China: Legal Recommendations for Ensuring Success in a Foreign Market," San Jose Magazine, Vol. 9, Issue 10, October 2006

"Mergers and Acquisitions: Integration, the Key to Success," Bay Area Lawyer, Vol. 2, Issue 4, July 2006

"Entrepreneurialism 101: Five Key Characteristics of Successful Entrepreneurs," Bay Area Lawyer, Vol. 2, Issue 3, May 2006


"Life and Death on the Corporate Battlefield: Advice to Management Employees Departing to Form New Companies," Bay Area Lawyer, Vol. 2, Issue 2, March 2006

"Don’t Turn a Dream Into a Nightmare: The Five Most Common Mistakes Entrepreneurs Make When Selling Their Businesses," Bay Area Lawyer, Vol. 2, Issue 2, March 2006

"Minding Your Client’s Business: Becoming an Indispensable Resource— Five Tips on Delivering for Business Clients," Bay Area Lawyer, Vol. 2, Issue 1, January 2006


XUEQING LINDA JI

SENIOR COUNSEL

[email protected]

111 HUNTINGTON AVENUE BOSTON, MA 02199-7610

617.342.4063


86 21 6100 8900

Linda Ji is vice chair of Foley & Lardner’s China Practice and is a member of the Transactional & Securities, Private Equity & Venture Capital, and International Practices, as well as the Emerging Technologies and Life Sciences Industry Teams.

Ms. Ji's practice focuses on corporate and securities laws. Ms. Ji has advised both privately and publicly held companies (ranging from start-ups to Fortune 100 companies) in a variety of corporate transactional and securities matters, including company setup, private equity and venture capital financings, mergers and acquisitions, private placement of securities, IPOs and secondary public offerings of securities, as well as public company reporting and securities law compliance. Ms. Ji has also advised private equity and venture capital funds in connection with fund formation and investments in portfolio companies.

Ms. Ji has broad experience in international business transactions, with emphasis on cross-U.S. and China transactions.

Ms. Ji counsels U.S. companies on deal structuring, choice of entities, joint ventures, wholly foreign owned enterprises (WFOEs), strategic alliances, regulatory filings, as well as manufacturing, distribution and licensing arrangements in China

Ms. Ji also counsels Chinese companies in doing business in the U.S., including entry strategies, corporate re-structuring, financings, mergers and acquisitions, and securities offerings

Ms. Ji is a frequent speaker. Her recent speaking engagements include the following seminars:

Jinan, China (July 2011) - ChinaBio 2011 Investor Forum, "Corporate Funding Opportunities"


Boston, MA (April 2010) - Harvard China Review 13th Annual Conference: Finance Panel II,-"Trend in China Investment Management"

Boston, MA (July 2009) - Global Marketplace: Eye on China Roundtable Series, "Effective Strategies for Licensing Technology in China"

Shanghai, China (June 2008) - Doing Business and Achieving Growth in China Conference: (i) "Succeeding Globally: Facilitating Transactions in China," and (ii) "China's Evolving Business and Legal Landscape"

Boston, MA (May 2008) - Boston Executive Briefing Series: "Private Equity Investments in China"

Boston, MA (October 2007) - Boston Executive Briefing Series: "Eye on China: An On-the-Ground Perspective on IP and Investment Issues and Strategies"

Boston, MA (March 2007) - "Safeguarding Your Intellectual Property While Doing Business in China"

Boston, MA (April 2006) - "Practical Legal Strategies for Doing Business in China," presented to management executives of technology companies in Boston

Boston, MA (March 2006) - Harvard University Business School 22nd Annual Entrepreneurship Conference: "Emerging Markets"

Detroit, MI (2005-2006) - Series of three seminars on "Doing Business in the U.S." presented to members of the Detroit Chinese Business Association

Ms. Ji's recent articles include:

Co-author, "Mergers and Acquisitions in China: Anatomy of a Deal in the Middle Kingdom," scheduled for publication in the fall issue of Corporate Finance Review


Co-author, "Creating an Effective Strategy for Offshoring to China," published in the March 2009 issue of BioProcess International

"Boardroom Diversity Best Practices and Initiatives," white paper for 2006 National Directors Institute

"Institutional Shareholder Issues for the 2006 Proxy Season," white paper for 2006 National Directors Institute

Prior to coming to the U.S., Ms. Ji worked at the Department of Treaty and Law of the Ministry of Commerce (MOFCOM, formerly known as Ministry of Foreign Trade and Economic Cooperation (MOFTEC)), at which she negotiated bilateral treaties between China and foreign countries on reciprocal protection of foreign private investments and reviewed and approved major foreign investment projects in China.

Ms. Ji received her LL.B. from University of International Business and Economics School of Law (Beijing, China), with high honors; her LL.M., magna cum laude, and her J.D., magna cum laude, from Saint Louis University School of Law. She was a member of the Saint Louis University Law Journal and her law review article was selected for publication.

Ms. Ji is admitted to the bars of New York, Missouri and Massachusetts. In 2000, she co-founded the Missouri Asian-American Bar Association.

Ms. Ji is bilingual in English and Chinese (Mandarin).


IVONNE MENA KING

PARTNER

[email protected]


650.251.1158

Ivonne Mena King is a partner with Foley & Lardner LLP and a member of the firm's Government Enforcement, Compliance & White Collar Defense Practice and Life Sciences Industry Team.

Ms. King regularly represents multinational corporations and their executives in white collar criminal cases and internal investigations, especially in connection with the Foreign Corrupt Practices Act (FCPA) and government contracts. She has served as the lead lawyer on over 15 internal investigations spanning 46 countries throughout the Middle East, Europe, Asia and Latin America. A fluent Spanish speaker, Ms. King has led a team of Spanish-speaking lawyers in six FCPA investigations in Latin America alone. Ms. King represents clients from a wide variety of industries, including pharmaceutical, medical devices, defense, technology, consumer, oil, energy, and entertainment.

With government enforcement matters, the biggest victories are the ones where the company ultimately resolves the inquiry without a published settlement involving fines or penalties. On many matters, with many different agencies, Ms. King has served as lead lawyer and obtained such a result, including:

Successfully defending a Fortune 200 pharmaceutical company in a 33-country FCPA investigation before the U.S. Securities and Exchange Commission.

Successfully defending a Fortune 200 defense contractor in an FCPA investigation by the U.S. Attorney’s Office and the Defense Criminal Investigative Service of transactions in the Middle East and Asia.

Successfully defending a Fortune 200 defense contractor in a False Claims Act investigation with a strategy that included a legislative solution to revise the complex specialty metals regulations,


resulting in the company’s continued production and delivery of weapons without incurring any False Claims Act liability.

Successfully defending a leading defense contractor in various government contracts and False Claims Act investigations by U.S. authorities, including the Department of Justice, the U.S. Attorney’s Office, the Defense Criminal Investigative Service, and the Naval Criminal Investigative Service.

Successfully defending a major health care company in a fraud investigation by the U.S. Attorney’s Office.

Ms. King graduated from Emory University (B.A., political science, cum laude, 1993), with a semester at El Instituto Internacional in Madrid, and Georgetown University Law Center (J.D., 1996), where she was a member of the editorial staff of the Georgetown Journal of Legal Ethics.

Ms. King is admitted to practice in California, the District of Columbia, Virginia, and before the Fourth Circuit.

Ms. King regularly presents at seminars and publishes on a variety of Foreign Corrupt Practices Act and investigation-related topics including the following:

"The Foreign Corrupt Practices Act 2011" (Co-Chair and Moderator, hosted by the Practising Law Institute, May 2011)

Co-Author, "UK Bribery Act: Raising the Bar for Anti-Corruption Programs" (written for Practising Law Institute program, May 5, 2011)

"Developing a Compliant Gift, Travel, Entertainment and Hospitality Policy" (Panelist, American Conference Institute’s FCPA Boot Camp, September 27-28, 2010)

"FCPA & Anti-Corruption Compliance: Moving Beyond FCPA and Establishing An Anti-Corruption Program" (Panelist, Emerging from an FCPA


Investigation and Prosecution - An in-depth Look at Anti-Corruption Cases hosted by Marcus Evans Conferences, September 15-16, 2010)

"High Tech - High Risk 2009: Foreign Corrupt Practices Act Implications for Technology Companies" (Co-Chair and Panelist, the Practising Law Institute, September 17, 2009)

"Practical Day-To-Day Operational Challenges (Do Sweat the Small Stuff)" (Panelist, The Foreign Corrupt Practices Act 2009: Coping with Heightened Enforcement Risks hosted by the Practising Law Institute, June 26, 2009)

"Advanced Securities Law Workshop 2008: Enforcement Update" (Panelist, Practising Law Institute conference, August 2008)

"Foreign Corrupt Practices Act: Preventing & Enforcing Anti-Corruption Through Effective Multinational Compliance Programs" (Chair and Panelist, IQPC conference, June 17 and 18, 2008)

"The Foreign Corrupt Practices Act: Developing a Compliance Program" (Panelist, Webcast sponsored by WestLegalEdcenter, May 5, 2008)

"The Foreign Corrupt Practices Act: Know Your Risks and Minimize Your Exposure" (Chair and Panelist, Conference sponsored by KPMG and Foley & Lardner LLP, April 29, 2008)

"Implementing a Compliance Program in the Real World" (Panelist, The Foreign Corrupt Practices Act: Coping with Heightened Enforcement Risks conference hosted by the Practising Law Institute, April 16, 2008)

"Ethical Issues in FCPA Investigations" (Moderator, 5th Annual General Counsel West Coast Conference, November 15-16, 2007)

"Establishing an Effective Anti-Corruption Compliance Program and Creating a Successful Compliance Culture" (Panelist, The Foreign Corrupt Practice Act: Coping with Heightened Enforcement Risks conference hosted by the Practising Law Institute, September 17, 2007)


"How to Conduct an Internal Investigation" (Web Conference sponsored by InsideCounsel and Foley & Lardner LLP, September 12, 2007)

"Corrupt Practices Act Developments" (Panelist, Foley & Lardner Sixth Annual National Directors Institute, March 8, 2007)

"Compliance Challenges for Defense Industry Suppliers" (Web Conference hosted by Foley & Lardner, December 20, 2006)

"So, You Want the Business? Strategies for a Successful Beauty Contest" (Panelist, California Minority Counsel Program 17th Annual Business Development Conference, September 13, 2006)

Co-Author: "Getting the Upjohn Warning Right in Internal Investigations" (The Practical Litigator, March 2006)

"Avoiding Pitfalls When Responding to Electronic Evidence Requests" (Legalworks, Volume 2, Number 4, December 31, 2005)

"Emerging Ethical Issues With the Attorney-Client Privilege" (Panelist, 2005 Business Litigation Conference: Is Your Litigation Management Strategy in Focus?, December 4-6, 2005)

"Conducting an Effective Due Diligence Review to Reduce Risks of Liability: A Step-by-Step Guide" (American Conference Institute's 14th National Conference on Foreign Corrupt Practices Act, November 17, 2005)

"White Collar & Compliance Q&A: False Claim Act Issues" (AskFoley Article, October 31, 2005)

"Best Practices for Law Firm Diversity Programs" (Panelist, California Minority Counsel Program 16th Annual Business Development Conference, October 5, 2005)

"Preserving, Collecting and Producing Documents in the Electronic Age" (Best Practices Article, June 22, 2005)

"The Pitfalls and Pratfalls of Responding to Electronic Evidence Requests: Avoiding Sanctions (and Punitive Damages) When Responding to


Requests for Electronic Evidence" (Web Conference for Foley & Lardner Counsel, June 21, 2005)

"How to Respond to Securities Litigation" (Panelist, Minority Corporate Counsel Association CLE Expo, March 16, 2005)

"Maximizing the Protection of Privileged Communications" (Panelist, 2004 Business Litigation Conference: Your Ticket to Enhanced Litigation Management, December 5-7, 2004)


ALEX Y. NIE

ASSOCIATE

[email protected]


650.251.1124

Alex Y. Nie, an associate with Foley & Lardner LLP, is a member of the firm’s Chemical, Biotechnology & Pharmaceutical and Electronics Practices and the Life Sciences Industry Team.

Dr. Nie’s practice entails the procurement of patents and related counseling in matters in life science and information technology.

With respect to life science, Dr. Nie’s focus is on personalized medicine, computational biology and chemistry, in vitro diagnostics and stem cell technology in addition to conventional biotechnology and pharmaceuticals.

Within information technology, Dr. Nie’s practice relates to general software and hardware, such as those involving machine learning methods, encryption technologies, mobile platform and digital circuit design.

Prior to his legal career, Dr. Nie was a senior scientist with Johnson & Johnson Pharmaceutical R&D, L.L.C. During his seven year-tenure at the company, Dr. Nie developed new biomarkers for drug safety evaluation using genomics, machine learning and statistical approaches. He was a Johnson & Johnson representative to the Critical Path Institute, an industry-wide collaborative effort to improve the drug approval process.

Dr. Nie earned his J.D. degree from Rutgers School of Law - Newark. He is a graduate of Rutgers - New Brunswick (Ph.D. in biochemistry and M.S. in computer science). Dr. Nie received an M.S. degree in molecular biology from the University of Science & Technology of China and a B.S. degree in biochemistry from Wuhan University.

Dr. Nie has published 25 peer-reviewed scientific articles and two book chapters. He received an NIH grant and has


served as a committee member for various scientific organizations, including the International Life Science Institute/Health and Environment Sciences Institute (ILSI-HESI), the Critical Path Institute, and FDA’s HL7/CDISC/I3C Pharmacogenomics Data Standards Committee. He was a session chairman and invited speaker at the Drug Information Association’s 2006 annual conference in Paris.

Dr. Nie is a member of the State Bar of California, and is registered to practice before the United States Patent and Trademark Office.

Dr. Nie’s selected publications include:

Nie, "USPTO’s 2010 - 2015 Strategic Plan," published in Foley & Lardner LLP Fall 2010 edition of Legal News: China Quarterly Newsletter, Eye on China (October 2010)

Best, Carsten and Nie, "Ninth Circuit," Ch. 10 in Patent Obviousness in the Wake of KSR International Co. v. Teleflex Inc., (Paul. M. Rivard and Alan Gardner, eds., 2010)

Wright Bonnilla, Brinckerhoff, Konski and Nie, "Patent Eligibility of Personalized Medicine Method Claims Confirmed by Federal Circuit in Prometheus Labs., Inc. v. Mayo," published in Foley & Lardner LLP Legal News Alert: Biotechnology & Pharmaceutical (September 2009)

Konski, Brinckenhoff and Nie, "Genes Under the Microscope - Novel or Not?" published in Intellectual Property Today (July 2009)

Nie, "Introduction to the U.S. Patent Reform Act of 2009," published in Foley & Lardner LLP Summer 2009 Eye on China Newsletter (August 2009)

Zhao, Nie and Tang, "PRC Supreme People’s Court Patent Infringement Enforcement Guidance: The "Draft" Published for Comments by the Patent Community," published in Foley & Lardner LLP Legal News Alert: China (July 2009)


Fielden and Nie et al., "Interlaboratory evaluation of genomic signatures for predicting carcinogenicity in the rat," published in Toxicological Sciences (vol 103, pages 28-34, 2008)

Nie et al., "Predictive Toxicogenomics Approaches Reveal Underlying Molecular Mechanisms of Nongenotoxic Carcinogenicity," published in Molecular Carcinogenesis (vol 45, pages 914-933, 2006)

Nie, McMillian and Lord, "Toxicogenomics in Drug Safety Evaluation: Bridging Drug Discovery and Development," published in Carmen and Hardiman eds. Biochips as Pathways to Drug Discovery. Florida: Taylor & Francis Group (pages 69-96, 2006)

Speeches and Presentations:

"U.S. Perspective of Patent Enforcement in China," 2009 U.S.-China Legal Exchange, Los Angeles, California (October 12, 2009)

"An Analysis of the Characteristics of Licensed Clean Tech Patents from Publicly Announced Commercialization Deals," the 5th International Congress of Nano-Bio Clean Tech 2008 conference, San Francisco, California (October 27-30, 2008)

"Preparing the Critical Path to Acceptance of Toxicogenomic Data in Drug Safety Evaluation," the 2007 Joint Statistics Meeting, Salt Lake City, Utah (July 26 - August 2, 2007)

"Bioinformatics Lighting a New Path to Better Drug Development," the Drug Information Association 18th Annual EuroMeeting, Paris, France (March 6-8, 2006)


CHAD WHITNEY KECK

VICE CHAIRMAN NEEDHAM & COMPANY

[email protected]

650.561.2222

Chad Keck joined Needham & Company in 1991. Since opening the Menlo Park office in that year, he has been involved in over 175 investment banking transactions, including 40 initial public offerings. Prior to joining Needham, he was a managing director and head of Prudential Bache's San Francisco Investment Banking Group. Other investment banking experience includes three years in First Boston's Technology Group and founding and co-heading Smith Barney's Technology Financing Group. Chad has served as Head of the Menlo Park Office, Co-head of Corporate Finance and Chairman of the Investment Banking Management Committee. In December of 2005, he became Vice Chairman of Needham & Company, LLC. Today, Chad works with a broad cross-section of the firm's clients, focusing on the semiconductor sector. He has taken an active role in developing the firm's business in Asia and in the alternative energy sector, particularly solar. He graduated from the United States Military Academy and received an MBA from the Harvard Business School.


HANSON LI

MANAGING DIRECTOR THE HINA GROUP

[email protected]

Hanson Li is currently Managing Director at The Hina Group, one of the largest merchant banks focusing on China with 50 professionals on the ground in China. With offices in China, US, and Singapore, Hina has been variously recognized as the Best Boutique M&A Bank, Best Private Equity Firm, and Best Cross-border Investment Bank in China. As head of Hina’s US office, Mr. Li leads the firm’s international investment banking practice and also participates in Hina’s China focused private equity funds. In investment banking, he assists global corporations with their cross-border M&A projects. Mr. Li also works with leading Chinese companies in raising capital and in exploring M&A opportunities outside of China. For Hina Private Equity Fund, Mr. Li focuses on investing the theme of rising consumerism in China and its impact on companies both within China and outside of China.

Outside of The Hina Group, Mr. Li serves as Board Director for Association of Asian American Investment Managers (AAAIM), a non-profit organization that encourages and fosters business ties among Asian-led and managed investment firms, and takes a deep interest in mentoring Asian American students who intend to create a career in finance. He also serves as Board Director of Asia America MultiTechnology Association, a 30 year old non-profit organization that serves the technology community around the Pacific Rim.

Mr. Li previously held management roles at Capital One, a Fortune 500 financial services company, and EqualFooting, a technology company funded by NEA, FBR, Yahoo!, Nextel, and Textron. Mr. Li also served as Vice President of Business Development for GlobalLogic, a leading IT outsourcing company. Mr. Li worked at Mercer Management Consulting and CMCP, a private equity firm focusing on technology and clean-tech growth companies.


Mr. Li earned an MBA from Stanford Graduate School of Business. He was named a Siebel Scholar in recognition as one of the top 5 graduates in his class where he also graduated as an Arjay Miller Scholar. He earned a BA (Human Biology) and MA (Sociology/Organizational Behavior) from Stanford University. Originally from Hong Kong, Mr. Li grew up in Hong Kong, Taiwan, New York, and Malaysia and now makes his home in San Francisco with his wife and two children. He is fluent in both Mandarin Chinese and Cantonese.


SHARON CHOW

TAX DIRECTOR DELOITTE TAX LLP

[email protected]

111 SW 5TH AVE, STE 3900 PORTLAND, OR 97204-3642

1.503.727.5410 1.503.219.0285

Sharon is a Tax Director with Deloitte Tax LLP in the Portland office. She is a member of the China desk within our International Core of Excellence (ICE) program.

Experience

Sharon has many years of experience in international tax consulting services for inbound and outbound US and China investments. Her work experience includes development of strategies to manage worldwide effective tax rates, cross-border international mergers and acquisitions; corporate restructuring; etc. Sharon also has knowledge in establishing offshore IP holding companies, implementing cost-sharing arrangements, and advising on entry and exit strategies for cross-border investments. Sharon has experience in providing international tax services to clients on investment structuring into China, offshore jurisdiction selection and specific issues related to China market entry and doing business in China.

Curriculum Vitae

Sharon joined Deloitte in Hong Kong in 1994. Between 1996 and 1997, she was seconded to the firm’s Beijing, China office to serve local and multinational corporations in China. She has experience in cross-border tax issues involving Hong Kong, China and other Asia Pacific countries.


BRENT C. CARLSON

VICE PRESIDENT

ALIXPARTNERS, LLP

415.848.0303 OFFICE 650.483.5086 MOBILE

[email protected]

Brent helps companies and their stakeholders in the areas of mergers & acquisitions, internal investigations, dispute resolution, restructuring & turnarounds, operational improvements, and interim management roles. His financial advisory experience spans a range of industries including construction, consumer products, engineering, food & beverages, high tech, life sciences, logistics, manufacturing, petrochemicals, and pharmaceuticals.

Brent has over fifteen years of China business experience, including serving in a number of senior management roles includingChief Financial Officer, Chief Compliance Officer, Deputy General Manager/COO, and Chief Representative.

Client Experience

Performed forensic and litigation consulting services related to an M&A dispute matter in China in which instances of fictitiousrevenues, overstated assets, and understated liabilities made by the seller pre-acquisition were investigated, uncovered, and submitted as expert testimony in international arbitration in Hong Kong.

Conducted internal investigations for U.S.-listed companies in China facing possible FCPA and other SEC reporting issues. Provided dispute and forensic consulting services in commercial disputes involving mediation, arbitration, and litigation.

Conducted due diligence, risk assessment, and feasibility study engagements for strategic and financial investors with acquisition targets in China and across Asia.


Served in a senior interim management role post-acquisition at a newly-acquired subsidiary of a Fortune 500 multinational which acquired a private equity-backed company based in China. Responsible for the design and implementation of a post-acquisition plan to integrate operations, improve liquidity and cash management, develop in-house management

Affiliations

Association of Certified Fraud Examiners

Association of Insolvency and Restructuring Advisors

Turnaround Management Association

Brent holds a masters degree from Yale University and is a Summa Cum Laude graduate of the University of Minnesota.

Brent is fluent in Mandarin Chinese.