Austin Ozawa

Austin Ozawa advises private equity funds and their portfolio companies as well as public companies on executive compensation and employee benefits matters. He also advises financial institutions on ERISA compliance and disclosure matters.

Austin advises clients in the context of corporate transactions including initial public offerings, mergers and acquisitions, and other financing transactions, as well as day-to-day compliance matters. Specifically he assists clients to:

• Manage tax and other legal compliance and employee integration issues in complex take-private, carve out, and other acquisitions
• Negotiate and draft executive employment and separation agreements
• Design, implement, and administer equity and non-equity incentive compensation plans and arrangements
• Structure and administer deferred compensation arrangements
• Analyze and comply with SEC and stock exchange disclosure and other requirements

Additionally, Austin counsels issuers and financial institutions regarding ERISA “plan asset” and other issues related to debt and equity financing transactions, including collateralized loan obligation transactions.

He brings clients a thoughtful approach to balancing their commercial business goals with legal compliance realities, in order to ensure an efficient outcome.
Complementing his commercial work, Austin advises pro bono clients on employee and compensation matters. He has received a Cornerstone Award from Lawyers Alliance in recognition of his commitment to providing pro bono counsel to New York-area nonprofits for more than a decade.