Rick Carlson Bio

Rick Carlson’s practice focuses on general business law with a concentration in corporate finance, venture capital, securities, private investment funds, and executive compensation. Rick’s corporate practice includes advising companies in business formations, transactions (including reorganizations, mergers, acquisitions, and asset sales), executive compensation matters (including stock and other incentive compensation), private fund formation, and shareholder disputes. Rick represents buyers and sellers in mergers and acquisitions ranging from the purchase or sale of small businesses to complex transitions that involve international parties. He provides transaction structure, financing, and risk minimization advice, document preparation and negotiation, due diligence, and schedule preparation. 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. A large part of Rick’s practice is devoted to helping businesses identify, understand, and choose a course of action on significant legal matters; these range from compliance issues to litigation threats. Rick’s primary focus is developing alternatives, strategies and solutions for clients that meet their business objectives and desired outcomes. 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. Outside of the office, Rick spends his free time with his wife and four children.