Catherine is a Partner in Dorsey & Whitney’s Corporate Department and leads the firm’s globally recognized U.S.-China transactional practice.
As a highly skilled attorney and trusted advisor, Catherine is relied on by our clients to handle their strategic corporate transactions and to solve complex legal problems for their business. She has a strong client following among some of the world’s largest corporations, financial institutions and business leaders. She frequently serves as their chief outside legal counsel.
The strategic corporate transactions Catherine handles include mergers, acquisitions, joint ventures, equity and debt financings, and other cross-border corporate transactions. Her transactional achievements include:
- designing global corporate and investments structures for several international conglomerates to successfully achieve their business expansion goals;
- representing a series of Chinese companies in acquiring cutting-edge technologies and brand names in the U.S. through M&As and investments;
- representing companies and investment funds in strategic investments into industries and technology areas that represent the future economy; and
- advising international financial institutions in designing U.S. market penetration strategies through branch opening, alternative expansion methods and new financial product offerings.
In addition to her transactional experience, Catherine also oversees risk management, dispute resolution and investigation matters for corporate clients and their officers and directors. She works closely with our litigation teams in litigation prevention and risk management for corporate transactions, as well as in mapping out important litigation strategies for our corporate clients. The techniques Catherine developed have been proven highly successful in solving business disputes. Her risk management and dispute resolution work include:
- winning post-closing fights regarding net working capital and earn-out payments through negotiation and dispute resolution;
- solving founders disputes and shareholder disputes, including several intense incidents that occur before the eve of corporate IPOs or bet-the-company types of transactions;
- protecting minority shareholders’ rights and economic stakes in several controlling shareholder dominated situations; and
- guiding several Chinese public companies or their directors and officers through internal and SEC investigation process and achieving positive results through effective defense strategies.
Catherine was elected Partner in 2012, one of our youngest attorneys to make partner. She serves in various leadership positions. She is Co-Chair of the U.S. - China Practice Group. She also chairs the Marketing Committee and Diversity Committee of the New York office.
Corporate Global Expansion – M&As, JVs and Investments
- Represented a global private equity firm in its $5 billion investments in Alibaba Group, 360buy.com and Xiaomi Corporation
- Represented Atlantic Power in its $1 billion cross-border acquisition of Capital Power Income and related financings
- Represented Ninebot Limited, a portfolio company of Xiaomi Technologies and Sequoia Capital, in business combination with Segway, Inc. and related financing transactions
- Represented Fantasia Group, the largest Chinese property management conglomerate, in its U.S. real estate joint venture deals
- Represented a U.S. maritime technology company in its sale to a Beijing-based Chinese public company
- Represented a private-equity arm of a Chinese public company in the potential acquisition of a public traded US company
- Assisting one of the largest railway construction companies in the world in the first high-speed rail project in the U.S.
- Representing a leading infrastructure construction company in China in its U.S. expansion
- Represented significant stockholders of China Biologic Products, Inc. (NASDAQ: CBPO) in sale of approximately $40 million worth of shares to Warburg Pincus
- Representing numerous technology companies from China’s Silicon Valley (“Z Park”) in acquiring technologies, brands and other assets in the U.S. through acquisitions and investments
- Representing one of the largest dairy products companies in China in its expansion in the U.S.
- Represented PRTM, a global management consulting firm and a subsidiary of PWC, in its acquisitions of various consulting firms in Asia
- Represented META Group in its $170 million merger with Green Falcon, a merger sub of Gartner
- Represented a NASDAQ listed company in the establishment of an equity joint venture in Shanghai and a representative office in Shenzhen
- Represented a U.S. hospitality group in its joint venture with Shanghai Chengtou Holding Co., Ltd., one of the largest real estate developers in China
- Represented Accion International, one of the world’s largest micro-finance organizations, in its joint venture projects with the World Bank and IFC
Financing – Trade Finance, Credit Facilities and other Banking Transactions
- Represented Agricultural Bank of China in its U.S.-based credit facilities transactions with various corporate lenders
- Represented Bank of China in its U.S.-based credit facilities transactions with various Chinese companies
- Represented several Chinese banks’ New York branches in designing and documenting various cross-border banking products
- Represented several Chinese banks in their yuan credit facility financing transactions guaranteed by USD deposits
- Represented numerous corporate clients in credit facility transactions with Citibank
Capital Markets – IPOs, Secondary Offerings and PIPEs
- Represented a significant selling stockholder in the IPO of Alibaba Group Holding Ltd. (NYSE: BABA)
- Represented Deutsche Bank Securities and a co-underwriter in the $186 million public offering of Aspen Technology
- Represented Credit Suisse, Morgan Stanley and Deutsche Bank Securities in the $160 million IPO of SS&C Technologies Holdings
- Represented an Argentine national electricity company in its Regulation S and Regulation D exchange offering in the U.S. and overseas
- Represented a U.S. company in its overseas casino condominium resort units offering and development projects in Asia, including securities law compliance matters
- Represented a European video game company in its acquisition of a U.S. public company and stock exchange listing
- Represented issuer in the $108 million secondary public offering of Puda Coal Inc. (NYSE: PUDA)
- Represented the largest private Chinese printing company, Duoyuan Printing, Inc., in its $24 million PIPE offering in the U.S.
- Represented numerous U.S. domestic issuers and Chinese foreign private issuers in their SEC filings and Sarbanes-Oxley Act compliance, including preparing S1, SB2, 10K, 10Q, 8K, 14f1, Section 16 filings, 20F, 6K and Confidential Treatment Request
- Represented several U.S. listed Chinese companies in their going private and going dark transactions
Solving Problems – Risk Management, Litigation Prevention and Dispute Resolution
- Winning post-closing disputes regarding net working capital and earn-out payments after several M&A transactions
- Solving a founders dispute in the months preceding a major IPO
- Solving shareholders disputes following several PE funding transactions
- Freeing up minority shareholders’ restricted shares in controlling shareholder dominated corporations or asserting minority rights in protection of founders and entrepreneurs
- Represented various Chinese public companies and their audit committees, directors and executives officers in internal and SEC investigations, securities class actions and derivative lawsuits
News & Resources
News & Press Mentions
Events & Speaking Engagements
- “Litigation Issues Frequently Faced by Chinese Clients in the U.S.,” NYU Law Clinical Program: The U.S. System of Civil Dispute Resolution, Presenter, January 10, 2018
- “Chinese Companies’ Outbound Investment in the United States,” Fourth Fudan EMBA New York Forum, Bank of America Tower, Speaker, May 6, 2013
- “Going Private: U.S. Listed Chinese Companies," China General Chamber of Commerce – USA and Chinese Business Lawyers Association, Speaker, December 8, 2011
- “U.S. Trade Sanctions and their Impact on Chinese Companies,” China General Chamber of Commerce –USA, Keynote Speaker, October 21, 2010
- “Chinese Companies’ Access to U.S. Capital Markets,” China Institute and Chinese Business Lawyers Association, Moderator, January 14, 2010
- “Challenges to Hedge Funds and Private Equity Funds under the Financial Crisis,” Wall Street Chinese Forum, Moderator, August 29, 2009
- “China and Global Financial Tsunami,” Overseas Young Chinese Forum, Speaker, May 30, 2009
Industries & Practices
- Capital Markets
- Mergers & Acquisitions