Representative ESOP Experience

SES ESOP Strategies has installed Employee Stock Ownership Plans (ESOPs) for more than 500 companies and has completed more than 1,000 transactions. Along with our affiliated law firm, Stevens & Lee, and our affiliated investment bank, Griffin Financial Group, we work with companies nationwide across all industries not only to install their plans, but also to forge a partnership throughout the ESOP lifecycle. Here is a sampling of the recent work we have done for our clients. We also have a collection of ESOP case studies showcasing the work we’ve done for clients across various industries.







powerscreen completed transition to become 100 percent ESOP owned

Stevens & Lee Served as Legal Counsel to ESOP Trustee for the Transition of Powerscreen of Florida to 100% ESOP Owned



Great Lakes Components completed transition to become 100 percent esop owned

Stevens & Lee Served as Legal Counsel to ESOP Trustee for the Transition of Great Lakes Components to 100% ESOP Owned

Amp creative accomplished last stage in transition to 100 percent esop

Stevens & Lee Served as Legal Counsel to AMP Creative for Final Stage Transition to 100% ESOP Owned







Guttman Energy completed transition to become 100 percent ESOP owned

Stevens & Lee Served as Legal Counsel to ESOP Trustee for the Transition of Guttman Energy to 100% ESOP Owned

ONeal accomplished last stage in transition from minority ESOP owned to 100 percent ESOP

SES ESOP Strategies Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to O’Neal for Last Stage Transition to 100% ESOP Owned



KCI Aviation established a new minority ESOP

Stevens & Lee Served as Legal Counsel to KCI Enterprises for New Minority ESOP




IIQA Solutions completed the transition to become 100 percent esop owned

Stevens & Lee Served as Legal Counsel to ESOP Trustee for the Transition of IQA to 100% ESOP Owned

Yankee Publishing accomplished second stage in converting to an esop

Stevens & Lee Served as Legal Counsel to ESOP Trustee for the Second Stage Transition of Yankee Publishing to ESOP

HMS completed transition to become 100 percent ESOP owned

Stevens & Lee Served as Legal Counsel to Healthcare Management Solutions for Transition to 100% Employee Owned




SES ESOP Strategies Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to American Reading Company for Transition to 100% ESOP Owned

SES ESOP Strategies Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to CVM for Transition to 100% ESOP Owned, Including Raising Senior Debt Financing

1A Auto Established a New Minority ESOP

SES ESOP Strategies Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to 1A Auto for New Minority ESOP




Belshire raised senior debt financing and complete transition to become 100 percent employee owned

Griffin Financial Group Served as Exclusive Investment Banker and Stevens & Lee Served as Legal Counsel to Belshire Environmental Services for Transition to 100% ESOP Owned, Including Raising Senior Debt Financing

Dorian Drake completed a transition to 100 percent ESOP

SES ESOP Strategies Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to Dorian Drake for Last Stage Transition to 100% ESOP Owned

HPA Completed Transition to become 100 percent ESOP owned

Stevens & Lee Served as Legal Counsel to ESOP Trustee for the Transition of HPA to 100% ESOP Owned




Four Sea Group last stage transition to 100 percent ESOP

SES ESOP Strategies Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to Four Sea Group for Last Stage Transition to 100% ESOP Owned

Greyhawk completed 100 transaction to beoome 100 percent ESOP owned

Stevens & Lee Served as Legal Counsel to Greyhawk North America for Transition to 100% ESOP Owned




Applied Controls completed sale of ESOP owned Company

Griffin Financial Group Served as Exclusive Investment Banker and Stevens & Lee Served as Legal Counsel to Applied Controls for Company Acquisition by SunSource

Bollman Hat Company completed transition to 100 percent ESOP owned

Stevens & Lee Served as Legal Counsel to Bollman Hat Company for Last Stage Transition to 100% ESOP Owned




Advanced Conversion Techology raised senior debt and completed transition to 100 percent ESOP owned

SES ESOP Strategies Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to Advanced Conversion Technology for Transition to 100% ESOP Owned, Including Raising Senior Debt Financing

Antech completed transition to become 100 percent employee owned

SES ESOP Strategies Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to Antech Systems for Transition to 100% ESOP Owned

Tri_m Completed Transition to Become 100 Percent Employee owned

SES ESOP Strategies Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to Tri-M for Transition to 100% ESOP Owned




HCSS completed sale of ESOP owned company

Stevens & Lee Served as Legal Counsel to ESOP Trustee for Company Acquisition of Partially ESOP Owned HCSS by Thoma Bravo

Northumberland National Bank established a minority ESOP

Griffin Financial Group Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to Northumberland National Bank for New Minority ESOP







Stockwell Elastomerics Established new minority ESOP

Stevens & Lee Served as Legal Counsel to Stockwell Elastomerics for New Minority ESOP

Golden Artist Colors completed final stage transition to 100 percent ESOP

Stevens & Lee Served as Legal Counsel to ESOP Trustee for Last Stage Transition of Golden Artist Colors to 100% ESOP Owned




Pittsburg Tank and Tower Group accomplished last stage in transtiion to 100 percent ESOP owned

Stevens & Lee Served as Legal Counsel to ESOP Trustee for Final Stage Transition of Pittsburg Tank & Tower Group to 100% ESOP Owned

Dungarees raised senior debt financing and transitioned to 100 percent ESOP owned

SES ESOP Strategies Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to Dungarees for Transition to 100% ESOP Owned, Including Raising Senior Debt Financing

Power Plumbing completed sale of ESOP owned company

Stevens & Lee Served as Legal Counsel to ESOP Trustee for Acquisition of ESOP Owned Power Plumbing by Peltram Plumbing Holdings




Lane Enterprises ESOP company acquired Pacific Corrugated Pipe Company

Stevens & Lee Served as Legal Counsel to ESOP Owned Lane Enterprises for Acquisition of Pacific Corrugated Pipe Company

Kaestle Boos Associates completed transition to become 100 percent ESOP owned

Stevens & Lee Served as Legal Counsel to ESOP Trustee for Transition of Kaestle Boos to 100% ESOP Owned




McKene Defense Concluded Sale of ESOP owned company

Stevens & Lee Served as Legal Counsel to McKean Defense Group for Company Acquisition by Noblis

Lee Building Products Completed sale of ESOP owned Company

Stevens & Lee Served as Legal Counsel to ESOP Trustee for Acquisition of ESOP Owned Lee Masonry into ESOP Merger of ESOP Owned Lee Masonry with and into Houchens Industries

TransSystems concluded sale of ESOP owned company

Stevens & Lee Served as Legal Counsel to ESOP Trustee for Acquisition of ESOP Owned TranSystems by Sentinel Capital Partners


GIS Inc completed sale of minority ESOP owned company

Stevens & Lee Served as Legal Counsel to Geographic Information Services for Company Acquisition by Continental Mapping Consultants (now Axim Geospatial)


Lullabot completed transition to become 100 percent ESOP owned

SES ESOP Strategies Served as Exclusive Company Financial Advisor and Stevens & Lee Served as Legal Counsel to Lullabot for Transition to 100% ESOP Owned