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Cathryn Gawne is the Chair of Hopkins & Carley’s Capital Markets practice, where she leads the client-focused Personal Capital Performance team that works with high net worth entrepreneurs, C-level executives and investors facing complex and far-reaching business decisions involving their personal investments and assets. Cathy’s Personal Capital Performance clients are leaders in Silicon Valley high technology industries who seek her unique blend of expertise in securities law and independence from conflict for thoughtful advice on critical transactions, such as financings and mergers/acquisitions, affecting their investments.
Personal Capital Performance
To best serve her clients in the Personal Capital Performance practice, Cathy helps founders, investors and C-level executives make critical decisions about the complex securities issues that affect their existing and proposed investments. She guides them in crafting solutions and negotiating points to improve transactional value. As part of her collaborative and client-focused approach, Cathy helps her clients sort out a fair deal and knows how to work within the process. “I’m there to support my clients in achieving their goals while protecting them and their assets.”
Cathy’s client-centric approach is evident when she explains how she views each client as a unique individual with specific concerns. “I’ve noticed that there’s an assumption that the interest of a C-level executive, founder or angel investor is the same as that of the company he or she leads or in which he or she invests. Little consideration is being given to them as individuals.” She is tireless in safeguarding her client’s best interests, and works with all the members of a client’s advisory team in a collaborative way that solves the problems they face. “I have my client’s back in each transaction. I also make sure that I support the other members of the client’s team to achieve the client’s business and investment goals.”
Another aspect of Cathy’s practice is counseling mid-tier public and private companies on growth strategies such as raising capital through private and public financings. She gives guidance on corporate governance issues, counsels clients who are starting or franchising new businesses, offers help in expansion into the international marketplace, and helps clients grow their business through strategic partnerships, joint ventures and mergers and acquisitions. She also represents several non-profit corporations and advises them on corporate structure and governance.
“One thing that’s important to me when I work with a company is telling its unique story in a way which is compliant with the law. That’s important for a company that’s raising money.”
Client Focus in Action
Cathy’s most memorable recent matter involved an individual who was a major investor in a company that was going to be acquired. While the transaction had been under negotiation for several weeks, her client was presented with voluminous documents only hours before the signing deadline. Cathy and her team were called on to review the documents and found that there were provisions that exposed her client to significant liability. After taking a stand on her client’s interests that involved being ready to freeze the multimillion dollar transaction, both sides ultimately came to an agreement. Her client was well-served by Cathy’s focus and perseverance.
That experience was a revelation, as Cathy realized that the client’s individual interests are often overlooked and assumed to be the same as the company in which the client has a significant interest. As she explained to the parties involved at the time, “My client is concerned about specific things - you have to look at him as an individual and you have to give him adequate information and time to consider this critical decision.”
As proud as she is of her clients’ successes, Cathy is completely committed to client confidentiality. She understands that her clients are placing a great trust in her and that they expect her to keep that trust. “My clients want to know that everything that they do, every conversation and every detail is absolutely and utterly confidential.”Professional Affiliations