Essentials Seminar Agenda

For seminar registrants only - Click on the underlined session title to access the session handout.

Wednesday, January 31, 2018


8:30 - 8:40 am
Welcome & Introductions

Darla C. Stuckey
President & CEO
Society for Corporate Governance

James J. Killerlane III (Seminar Chair)
Associate General Counsel & Assistant Secretary
American International Group, Inc.

8:40 - 9:25 am
Fundamentals of Corporate Governance
  • What is Corporate Governance?
  • Corporate Entity Types and Share Structures
  • Overview of Fiduciary Duties
  • What Constitutes Good Governance?
  • Key Regulators and Standard Setters

Robert B. Lamm (Leader)
Co-Chair, Securities and Corporate Governance Practice
Gunster, Yoakley & Stewart, P.A.

Katherine A. Smith
Assistant General Counsel and Assistant Secretary
Exelon Corporation

9:25 - 10:25 am
Internal Sources of and Limits on Governance Authority
  • State Law
  • Articles of Incorporation and Bylaws
  • Listing Exchange Standards
  • Resolutions and Consents
  • Delegations of Authority
  • Committee Charters
  • Codes of Conduct
  • Board and Corporate Policies

Keith J. Larson (Leader)
Senior Attorney and Assistant Secretary
Edison International

Alissa K. Lugo
Partner
Baker & Hostetler LLP

Stephanie (Stacie) Roberts
Director of Corporate Governance
Chesapeake Utilities Corporation

10:25 - 10:45 am
Refreshment Break
10:45 - 11:45 am
Board Responsibilities, Structure & Process
  • Responsibilities
  • Fiduciary Duties, Liability & Business Judgment Rule
  • D&O Insurance
  • Board Structure and Process
  • Composition and Independence
  • Orientation and Continuing Education
  • Director Compensation
  • Self Evaluation

Myra C. Bierria (Leader)
Vice President, Corporate Secretary
AGL Resources Inc./Southern Gas

Holly J. Gregory
Partner
Sidley Austin LLP

Paul F. Washington
Senior Vice President, Deputy General Counsel & Corporate Secretary
Time Warner Inc.

11:45 am - 12:30 pm
Board and Committee Meetings
  • Scheduling & Calendar
  • Agendas
  • Presentations and Coaching
  • Logistical Support
  • Strategy Retreats or Offsites
  • Use of Technology
  • Executive Sessions

Rachel Lee (Leader)
Assistant General Counsel and Assistant Corporate Secretary
Matson, Inc.

Barry I. Medintz
General Counsel and Secretary
Rubicon Global

Beverly O'Toole
Managing Director & General Counsel, Corporate Governance
Goldman Sachs Group, Inc

Mark R. Pacioni
Associate General Counsel
Knowles Corporation

12:30 - 1:50 pm
Lunch

My Life As A Corporate Secretary
Sponsored by CSC

Paul F. Washington
Senior Vice President, Deputy General Counsel & Corporate Secretary
Time Warner Inc.

2:00 - 2:30 pm
Preparation of Board Materials
  • What is in the "Board Book"
  • Preparation Timeline
  • Approvals
  • Executive Summaries
  • Mailing and/or Utilizing the Board Portal

Barry I. Medintz (Leader)
General Counsel and Secretary
Rubicon Global

Sophie Hager Hume
Vice President, Assistant General Counsel, Assistant Secretary
Starbucks Coffee Company

2:30 - 3:30pm
Corporate Entity Management
  • Benefits of Subsidiaries
  • Business Need
  • Legal Entity Types
  • Governing Documents and Filings
  • Directors and Officers
  • Joint Ventures
  • Corporate Separateness/Piercing the Veil
  • Dissolution

Jeffrey M. Taylor (Leader)
Chief SEC & Corporate Governance Counsel
American Water Works Company, Inc.

Chris Allingham
Governance and Securities Director
TwentyEighty

LaTisha Owens
Deputy General Counsel
PRA Group, Inc.

3:30 - 3:50 pm
Refreshment Break
3:50 - 5:15 pm
Records Management, Privacy & Cybersecurity
  • Developing a Records Management Retention Policy
    • Type of records, location, and length of time to retain
    • Training
  • Handling Electronic records
  • Personally Identifiable Information
  • Privacy Risks and Policies
  • Encryption and Mobile Devices
  • Litigation Holds & Compliance
  • Incident Preparedness
  • Disclosure Controls & Procedures for Cyber Risks
  • Insurance

Stacie Roberts (Leader)
Director of Corporate Governance
Chesapeake Utilities Corporation

John Isaza
CEO & Co-Founder
Information Governance Solutions, LLC

Steven H. Shapiro
Partner
Culhane Meadows PLLC

5:15 - 6:30 pm
Networking Reception

Thursday, February 1, 2018

8:20 - 8:30 am
Welcome

James J. Killerlane III (Seminar Chair)
Associate General Counsel & Assistant Secretary
American International Group, Inc.

8:30 - 9:20 am
Enterprise Risk Management for the Corporate Secretary
  • Importance of ERM
  • Risk Categories
  • Board or Committee Oversight
  • Required Risk Disclosures
  • New Audit Committee Rules
  • The State of Sarbanes Oxley

Kristin Caplice (Leader)
Vice President, General Counsel & Corporate Secretary
Cimpress

John S. Kim
Counsel
General Motors Company

Eric Sherbet
Former General Counsel
Pantheon N.V.

9:20 - 10:10 am
CONCURRENT PANELS
I. ESG: Issuer and Investor Perspectives on What Matters and Why
    • Defining ESG and Defining Your Stakeholders
    • What to Report and Where (GRI, SASB, TCFD)
    • Best Practices in Sustainability Disclosure and Legal issues
    • The Role of ESG Ratings Firms
    • Demand Drivers for ESG Information and Financial Products
    • How Investors Integrate ESG into Investment Decisions

    Granville Martin (Leader)
    Senior Vice President & General Counsel
    Society for Corporate Governance

    Yafit Cohn
    Associate
    Travelers Companies, Inc.

    Drew Hambly
    Executive Director of Corporate Governance
    Morgan Stanley

    Kellie Huennekens
    Associate Director
    EY Center for Board Matters

    II. Staffing the Corporate Secretary’s Office
    • Key Considerations
    • Staffing & Internal Business Partners
    • Leveraging External Resources
    • Essential Tools

    Andrew Fitzsimons (Leader)
    Senior Director of Administration and Human Resources
    Society for Corporate Governance

    Gina M. Merritt Epps
    Senior Vice President, Chief Governance Officer & Corporate Secretary
    South Jersey Industries, Inc.

    Wendy C. Skjerven
    Vice President, Corporate Secretary & Group General Counsel – Legal Services
    The Travelers Companies, Inc.

    10:10 - 10:30 am
    Refreshment Break
    10:30 - 11:30 am
    CONCURRENTS PANELS
    I. Regulation & Disclosure Overview
    • Regulators: Overview of SEC and Listing Exchanges
    • Compliance with SEC Regulations and Listing Standards
    • Periodic Reports on Form 10-Q and 10-K
    • Current Reports on Form 8-K
    • Litigation, Loss Contingencies, and MD&A
    • Disclosure Committees
    • Controls and Certifications

    Michelle L. Potter (Leader)
    Corporate Secretary
    Santander Holdings USA, Inc.

    Geoffrey Edwards
    Senior Associate General Counsel
    Wal-Mart Stores, Inc.

    Keir D. Gumbs
    Partner
    Covington & Burling LLP

    II. Private Companies: Board Oversight Role
    • Board Committees
    • Board Composition and Recruitment
    • Best Practices for Successful Board Meetings
    • Board Assessment and Dispute Resolution
    • Minority Shareholders
    • Relations with Shareholders

    Kerri A. McClellan (Leader)
    Vice President & Deputy General Counsel
    Crowley Maritime Corporation

    Steven N. Driggers
    Assistant Vice President, Assistant Corporate Secretary
    USAA

    11:30 am - 1:00 pm
    Lunch

    State of the Society
    Sponsored by Broadridge Financial Solutions, Inc.

    1:00 pm - 2:00 pm
    Concurrent Panels
    I. Know Your Shareholders
    • How to Identify Your Shareholders
    • Developing a Shareholder Communication and Outreach Plan
    • Dealing with Shareholder Proposals
    • SEC No Action Process
    • Investor and Proxy Advisor Perspectives

    Raj B. Dave (Leader)
    Chief Securities Counsel and Assistant Corporate Secretary
    Newell Brands

    Bruce H. Goldfarb
    President & Chief Executive Officer
    Okapi Partners LLC

    Irving S. Gomez
    Managing Counsel & Assistant Secretary
    Intel Corporation

    II. Private Companies: Governance & Compliance Challenges
    • Responsibilities of a Private Company Corporate Secretary
    • Compliance in Private Companies
    • Handling Significant Transactions
    • Developing Board and Governance Practices
    • Boardroom Challenges         
    • Compensation
    • Strategy


    Pamela Kunkemoeller (Leader)
    Founding Member
    Kunkemoeller Law Office PLLC

    Christopher W. Allingham
    Governance and Securities Director
    TwentyEighty

    David E. Gardels
    Partner
    Husch Blackwell LLP

    2:00 - 3:00 pm
    Concurrent Panels
    I. Drafting the Proxy
    • Proxy and Annual Meeting Requirements
    • Timeline and Responsibilities
    • Key Governance Disclosures
    • Compensation Disclosures
    • Solicitation Materials and Notice & Access

    Gina M. Merritt Epps (Leader)
    Senior Vice President, Chief Governance Officer & Corporate Secretary
    South Jersey Industries, Inc.

    Stacy S. Ingram

    Associate General Counsel and Deputy Corporate Secretary
    The Home Depot, Inc.

    Aaron K. Briggs
    Of Counsel
    Gibson Dunn & Crutcher LLP

    II. Private Companies: Managing Conflicts of Interest
    • Interested Family Members
    • Private Equity Interests
    • Obtaining Approval by Disinterested Directors
    • Legal and Practical Compliance Tips

    Eric Sherbet (Leader)
    General Counsel
    Thermo Fisher Scientific Inc.

    Kerri A. McClellan
    Vice President & Deputy General Counsel
    Crowley Maritime Corporation

    David C. Scileppi
    Co-Chair, Securities & Corporate Governance
    Gunster, Yoakley & Stewart, P.A.

    3:00 - 3:20 pm
    Refreshment Break
     3:20 - 4:20 pm
    Concurrent Panels 
    I. Annual Meeting Logistics & Best Practices
    • Goals and Priorities for the Meeting
    • Meeting Format:  In-Person, Virtual or Hybrid
    • Meeting Site Selection, Room Set Up, Audio Visual Needs
    • Agenda, Meeting Script, Rules of Order
    • Security, Staffing and Admission Requirements
    • Handling Disruption
    • Tabulating the Vote and Reporting Results

    Adam R. Kokas (Leader)
    Executive Vice President, General Counsel, Secretary & Chief Human Resources Officer
    Atlas Air Worldwide Holdings, Inc.

    Keith J. Larson
    Senior Attorney and Assistant Secretary
    Edison International

    Michelle Potter
    Corporate Secretary
    Santander Holdings USA, Inc.

    II. Private Companies: Succession Planning
    • Board and Executive Searches
    • Influence of Private Equity Firms
    • Transition in Family-Owned Companies
    • Operational Challenges

    Pamela Kunkemoeller (Leader)
    Founding Member
    Kunkemoeller Law Office PLLC

    James A. Blair, III
    General Counsel
    WCM Global Wealth LLC

    Doug Tatum
    Chairman of the Board
    Newport Board Group

    James A. Blair
    General Counsel
    WCM Global Wealth LLC

    4:20 - 5:30 pm
    Taking Minutes
    • Purpose
    • Required Elements
    • Form/Style
    • Protecting Privilege
    • Draft and Review Process
    • Draft Destruction/Director’s Notes and Copies
    • Access to Minutes and Draft Minutes
    • Storing and Preserving Minutes

    Wendy C. Skjerven (Leader)
    Vice President, Corporate Secretary & Group General Counsel- Legal Services
    Travelers Companies, Inc.

    Mark J. Gentile
    Director
    Richards, Layton & Finger

    Adam R. Kokas
    Executive Vice President, General Counsel, Secretary & Chief Human Resources Officer
    Atlas Air Worldwide Holdings, Inc.

    Geralyn S. Ritter
    Senior Vice President, Corporate Secretary & Assistant General Counsel
    Merck & Co., Inc.

    5:30 - 7:00 pm
    Networking Reception

    Friday, February 2, 2018

    8:05 - 8:15 am 
    WELCOME
    8:15 - 9:15 am
    Board Refreshment
    • Regulatory Requirements
    • Frequency
    • Conducted by whom?
    • Board evaluation
    • Design Considerations
    • Should you disclose your process?

    Stacy S. Ingram (Leader)
    Associate General Counsel and Deputy Corporate Secretary
    The Home Depot, Inc.

    Melissa L. Mong
    Assistant General Counsel, Head of U.S. Legal
    Sensata Technologies

    Lona Nallengara
    Partner
    Shearman & Sterling LLP

    9:15 - 10:15 am
    CONCURRENT PANELS
    I. Regulation & Disclosure Part II
    • Reg FD
    • Reg G
    • Insider Trading Policies
    • Section 16 Compliance
      • Forms 3, 4 and 5
      • Form 144
      • Schedule 13D/G
      • Form 13H
    • 10b5-1 Plans

    Sophie Hager Hume (Leader)
    Vice President, Assistant General Counsel, Assistant Secretary
    Starbucks Coffee Company

    Bryan K. Brown
    Partner
    Reed Smith LLP

    Rachel Lee
    Assistant General Counsel and Assistant Corporate Secretary
    Matson, Inc.

    II. More Minutes: Special Situations
    • Drafting Resolutions and Consents
    • Documenting Executive Sessions
    • Minutes in the M&A Context
    • Handling Dissents and Conflicts of Interests
    • Lessons Learned/Q&A

    Aaron K. Briggs
    Of Counsel
    Gibson, Dunn & Crutcher LLP

    James J. Killerlane III
    Associate General Counsel & Assistant Secretary
    American International Group, Inc.

    Geralyn S. Ritter
    Senior Vice President, Corporate Secretary & Assistant General Counsel
    Merck & Co., Inc.

    10:15 - 10:30 am
    Refreshment Break
    10:30 - 11:15 am
    CONCURRENT PANELS
    I. D&O Questionnaires & Related Party Transactions
    • D&O Questionnaire Process and Content
    • Conflicts of Interest
    • RPT Analysis and Reporting

    Jeffrey Taylor (Leader)
    Chief SEC & Corporate Governance Counsel
    American Water Works Company, Inc.

    John S. Kim

    Counsel
    General Motors Company

    Jennifer Rudolph
    Senior Associate Counsel
    Walmart

    II. Activism Basics
    • Overview of Types of Activists
    • Strategies for Handling
    • Serving the Activist on Your Board

    Paul DeNicola (Leader)
    Managing Director, Governance Insights Center
    PricewaterhouseCoopers

    Jared Brandman
    Vice President, Assistant General Counsel and Assistant Secretary
    National Vision, Inc.

    Virginia K. Fogg
    General Counsel
    Norfolk Southern Corporation

    11:15 am - 12:00 pm
    CONCURRENT PANELS
    I. Hot Topics
    • What Will My Directors Ask?
    • Pay Ratio
    • Cybersecurity/Employee Relations/Diversity
    • ESG Ratings

    Brian V. Breheny (Leader)
    Partner
    Skadden, Arps, Slate, Meagher & Flom LLP

    Shelley J. Dropkin
    Deputy Corporate Secretary & General Counsel, Corporate Governance
    Citigroup Inc.

    II. Overview of Equity Compensation Plans
    • Types of equity awards: stock options, restricted stock, performance shares
    • Basic characteristics and advantages/disadvantages of each type
    • Federal tax consequences & accounting treatment
    • What shareholders expect to see in a plan

    Melissa L. Mong (Leader)
    Assistant General Counsel, Head of U.S. Legal
    Sensata Technologies

    Michael D. Bryan
    Partner
    K&L Gates LLP

    Jonathan Gilbert
    Condultant
    Broadcom Limited

    12:00 pm
    Adjourn and Buffet Lunch