Eric S. Carlson
Rick’s practice focuses on general business with a concentration in corporate finance, venture capital, securities, debtor-creditor issues, executive compensation, and technology licensing.
Rick often advises companies concerning complex transactions and business matters. In the venture capital and private financing arena, Rick’s focus is on helping structure private placement investment in early and follow-on financings, as well as later stage financings for mature companies seeking capital to expand. He helps clients by preparing Regulation D and other private placement offering memoranda and corresponding investment documents, identifying applicable federal and state “blue sky” law exemptions, and preparing required securities and compliance filings.
His corporate practice includes advising companies in business formations, transactions (including reorganizations, mergers, acquisitions, and divestitures), franchising matters, executive compensation matters (including stock and other incentive compensation), asset securitization, and shareholder disputes.
In addition to advising businesses in these specific areas, much of Rick’s practice is devoted to helping businesses identify, understand, and choose a course of action concerning significant legal matters that they may face, which can range from compliance matters to litigation threats. Rick focuses on developing alternatives and solutions for clients in these matters consistent with their business objectives.
Prior to entering private practice, Rick served a two year clerkship with the Honorable John L. Coffey of the United States Court of Appeals for the Seventh Circuit. He has also served as an adjunct professor at Seattle University Law School teaching mergers and acquisitions.
J.D., The College of William and Mary, Order of the Coif, 1992. William & Mary Law Review, Executive Board, Student Articles Editor
B.A., Washington State University, cum laude, 1983 (Phi Beta Kappa)
U.S. Court of Appeals for the Seventh Circuit, 1993
U.S. Court of Appeals for the Ninth Circuit, 1995
- Real Estate Development
- Financial Services
Professional & Civic Involvement:
- WSBA Chair Business Law Section (2009-10)
- Washington State Bar Association (Business Law Section Executive Committee 2004-2011)
- Bellevue Convention Center Authority Board of Directors (2005-present)
- Eastside Heritage Center Board of Trustees 2007- present
Publications & Seminars:
- Speaker, Securities Law for the Business Attorney WSBA 2013
- Chair, “Washington Business Law Mid-Year,” 2008
- Co-Chair, “Look Before You License: Valuation, Negotiation and More,” 2005
- Speaker, “Securities Updates: Regulation D Offerings,” 2005
- Speaker, “Mergers & Acquisitions in Washington,” NBI, 2000 and 2002
- Speaker, “Mergers & Acquisitions From Start to Finish,” NBI, 2002
- Speaker, “Counseling the Small Business Client in Washington,” NBI, 2002
- Author, “Securities Issues for the Small Business Issuer,” 1999-2001
- Author, “Personal Liability of Officers and Directors Under the Law,” 1997
- Author, “Overview of Private Placement Funding for Residential Real-Estate Developers,” 1996
- Author, “The Interface Between Bankruptcy and Community Property: The Maginot Line” 1995
- Author, “The Impact of Bankruptcy on Real Property Transactions,” 1995
- Speaker, “U.S. China Legal Systems and Trends,” Shantou University – People’s Republic of China. 1994