Dean M. Schwartz

Dean Schwartz

Overview

For more than three decades, Dean Schwartz has been responsible for structuring and closing important business transactions for his clients, including acquisitions and sales of businesses, equity capital raising and debt, financings, and information technology contracts and master services agreements. Dean provides practical advice to all types of companies, ranging from well-established businesses to emerging and entrepreneurial companies. He works on transactions and with clients that are consistently in the forefront of the region’s business community.

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Representative Matters

Dean's experience includes the representation of: 

Business Services

  • National Legal Services, a private equity backed company in a series of asset and stock acquisitions of companies engaged in litigation support services and document retrieval and processing
  • National Legal Services, a litigation support services company in its sale to Keais Records; National Legal Services was a portfolio company of NewSpring and Central Valley Fund
  • Northfield companies, a group of medical equipment repair and service businesses; in the purchase of stock for a buyer group including Prairie Capital
  • Audience Partners, a digital advertising and data management platform business in its sale via a merger with Altice USA; the fourth largest cable operator in the United States
  • a United States based contract research organization (CRO) in the acquisition of assets of a Latin American based CRO
  • a leading institutional pharmacy business (including various key regulatory licenses) in the sale of assets to a publicly held buyer
  • Tonic Design, a digital design business in the merger with DmgCtrl, a mobile web based application development business; to create a vertically integrated company

Manufacturing

  • Penn Engineering, a global manufacturer of precision fasteners and a portfolio company of Tinicum in the purchase of stock of Whitesell Formed Components, a leading manufacturer of fasteners for the automotive market
  • Eastern Catalytic, a manufacturer of catalytic converters to the automotive aftermarket in the sale of equity to AP Exhaust Technologies, a manufacturer of exhaust and emissions products
  • Gamajet Tank Cleaning Systems, a provider of tank cleaning machines and systems in its sale to Alfa Laval, a multinational company
  • a leading manufacturer of sheet extrusion systems in the sale of assets to a buyer engaged in a similar business as well as other manufactured equipment
  • a leading metal fabricator serving power generation, refinery/petrochemical and other markets in the sale of assets to a group of investors
  • a developer of software for manufacturing solutions in the purchase of stock by a multi-national manufacturer of interconnection and interface solutions

Financial Services

  • an investment adviser currently with an excess of $2 billion in assets under management in the sale to a bank complex
  • a holding company in the acquisition of several investment advisers with a goal of developing a group of advisers with different investment strategies
  • an investment adviser to a bank, in the sale and subsequent resale of such investment adviser to another bank complex
  • a donor advised platform company in the sale to an investment adviser seeking to expand its product offerings

Emerging Companies

  • an internet commerce company providing consumer oriented loyalty programs in its initial venture capital round and four follow-on rounds, as well as a convertible note financing
  • Evil Genius Beer Company in an equity financing with high net worth/sophisticated investors and an internal corporate restructuring creating a holding company structure for various related entities
  • Advanced Absorbent Technologies in an equity financing with high net worth/sophisticated investors, as well as ongoing representation as to its new product launch including a series of agreements relating to product development and launch
  • a contract research organization (CRO) in its initial venture capital investment, and an internal corporate reorganization creating a holding company structure
  • a contract research organization in two rounds of equity investments with high net worth/sophisticated investors, and ongoing review of Master Service Agreements with big pharma and life sciences customers
  • a life sciences diagnostic products company in an equity financing with high net worth/sophisticated investors, and continued representation in patent and other intellectual property matters
  • a technology company in an equity financing with venture capital, and continued representation in contractual and intellectual property matters

Health Care Information Technology

  • a digital health company specializing in patient engagement technology in a Software as a Service Agreement (SaaS) with a leading national health insurer as a solution for managed care insurance products.  The agreement provided for state and regional plans to offer these solutions for care planning and patient engagement
  • a digital health behavioral integration company in a Master Services Agreement with a national behavioral health management company serving large regional and specialty health plans.  The offered services support providers in diagnosis, treatment and management of patient behavioral issues
  • a digital health behavioral integration company in multiple tranches of  Series A venture financing and a round of convertible note financing
  • a digital emergency room management services company in a Master Services Agreement with a health system for internet-delivered emergency room productivity enhancement
  • the Canadian Technology Accelerator of the Consulate General of Canada in the area of Healthcare Information Technology for Canadian healthcare IT companies seeking to expand into the United States Market.  Services have included acting as a an adviser and consultant to the program and individual companies, as well as serving as a panel member and speaker at events
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Credentials

Bar Admissions
  • Pennsylvania
Court Admissions
  • Pennsylvania Supreme Court
Education
  • J.D., New York University School of Law
  • B.A., University of Pennsylvania
Memberships

  • American Bar Association, Banking and Business Law Sections
  • Association for Corporate Growth
  • Board of Trustees, Harcum College
  • Greater Philadelphia Alliance for Capital and Technologies
  • Securities Regulation Committee, Philadelphia Bar Association

Speaking Engagements

Dean lectures for a number of organizations on matters relating to corporate, securities and technology law. His past speaking engagements include:

  • “Venture Capital Financings”
  • Course Planner and Facilitator of “Building Winning Teams” and “Winning the Sales and Marketing War”
  • “Equity Incentives for High-Tech Companies”
  • “Initial Public Offerings – Nuts and Bolts”
  • “What Information Wall Street Wants”
  • “Representations and Warranties in Acquisitions”
  • “Getting Your Message into the Financial Marketplace”
  • “Private Placements”
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Recognition

  • SmartCEO, CPA & ESQ Awards, winner for "ESQ Industry Practice" in emerging companies
  • Martindale-Hubbell, AV Preeminent rating
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In The Community

Dean is a member of the Executive Committee of the Board of Trustees of Harcum College in Bryn Mawr, Pennsylvania.
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