John W. Kauffman
Partner
Duane Morris LLP
30 South 17th Street
Philadelphia, PA 19103-4196
USA
Phone: +1 215 979 1227
Fax: +1 215 689 2724
Email: JWKauffman@duanemorris.com

John W. Kauffman focuses his practice on corporate and partnership law and securities regulation, with an emphasis on mergers and acquisitions, Sarbanes-Oxley guidance, public and private equity financings, and bank and insurance company regulation. His practice includes counseling public companies and their management regarding ongoing compliance issues under the securities laws. Mr. Kauffman is a member of the Pennsylvania and Philadelphia bar associations and is the former chair of the Securities Regulation Committee of the Philadelphia Bar Association.

Mr. Kauffman is a 1986 graduate of the University of California at Berkeley--Boalt Hall School of Law, a graduate of the University of California at Los Angeles, where he earned a master's degree, and a graduate of The Pennsylvania State University.

Areas of Practice

• Securities Regulation
• Business Corporation Law
• Mergers and Acquisitions

Representative Matters

• Represented REIT in $90 million 144A convertible senior note offering.
• Formation of an insurance exchange in Pennsylvania for medical professional liability insurance coverage
• Advising public companies, boards of directors and management regarding various aspects of corporate governance requirements under the Sarbanes-Oxley Act of 2002 and the rules of the New York Stock Exchange and Nasdaq
• Private placements and financings for early and later stage companies
• Development of corporate takeover defenses, including stockholder rights plans

Professional Activities

• Pennsylvania Bar Association
• Philadelphia Bar Association
  -Securities Regulation Committee
  --Chair, 2002
  --Vice Chair, 2001
  --Secretary, 2000

Admissions

• Pennsylvania
• Supreme Court of Pennsylvania

Education

• University of California, Berkeley, Boalt Hall School of Law, J.D., 1986

Experience

• Duane Morris LLP
  - Partner, 1997-present
  - Associate, 1986-1997

Civic and Charitable Activities

• Elder, Wayne Presbyterian Church

Selected Publications

• Co-author, "U.S. Financial Reform: The Volcker Rule and Improvements in the Regulation of Banking Entities and Nonbank Financial Companies Supervised by the Board of Governors of the Federal Reserve System," Duane Morris Alert, August 24, 2010

Selected Speaking Engagements

• Speaker, "Raising Capital, Sensitive Disclosure Issues and Federal Securities Laws," ParenteBeard "Hot Topics in Insurance" Seminar, Paoli, Pennsylvania, September 19, 2012
• Speaker and Moderator, "Certification Requirements of CEOs and CFOs in Connection with Public Company SEC Reports, Changes Related to Audit Committees and Independent Auditors, Accelerated Section 16 Reporting Requirements and Other Issues Relating to Corporate Governance and Loans to Insiders," roundtable discussion sponsored by the Philadelphia Bar Association, Philadelphia, Pennsylvania, September 26, 2002.
• Speaker and Moderator, "Convergence of Banking, Securities and Insurance Industries Under Gramm-Leach-Bliley," sponsored by the Securities Regulation Committee of the Philadelphia Bar Association, Pennsylvania Bar Institute and the Philadelphia Bar Education Center, Philadelphia, Pennsylvania, November 1, 2000
• "Fundamental Changes in Regulation of Communications in Business Combination Transactions and Proxy Solicitations," Pennsylvania Bar Institute's 3rd Annual Federal Securities Law Forum, Philadelphia, Pennsylvania, April 7, 2000 and Pittsburgh, Pennsylvania, April 13, 2000
• Speaker, "What Is a Security" in seminar on Securities Law for Non-Securities Lawyers, sponsored by the Securities Regulation Committee of the Philadelphia Bar Association, Philadelphia, Pennsylvania, September 14, 2001