John Servidio is a partner in Goodwin’s Real Estate Industry group and a member of its Capital Markets practice. Mr. Servidio represents banks, investment funds and issuers in structuring corporate derivative, equity and equity-linked capital market transactions. He assists clients with hedging structures involving equity, interest rate, foreign currency, energy and commodity derivatives. He also advises dealers, asset managers and corporate clients on resolving issues related to the Dodd-Frank Act, as well as Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC) rules and regulations. In addition to transactions involving traditional securities and derivatives, Mr. Servidio advises clients on structuring investments in digital asset (cryptocurrency), distributed ledger (blockchain) and other financial technologies.

Prior to joining Goodwin in 2018, Mr. Servidio was a partner at Winston & Strawn. His previous industry experience includes serving as assistant general counsel at a major bank and as an attorney in the legal department of another large investment banking firm. Before law school, Mr. Servidio was an analyst in the real estate group at a large commercial bank. He is a frequent author and speaker on swaps, derivatives and regulatory challenges facing banks and other financial institutions.

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Mr. Servidio’s deal experience includes:

  • Structuring issuer equity-linked capital-raising transactions, including convertible bond offerings, bond hedge and warrant/capped call overlays, issuer stock borrow facilities, at-the-market (ATM) offerings and forward stock offerings with fixed price or ATM executions.*
  • Structuring accelerated share repurchase and other derivative share repurchase strategies, Rule 10b5-1 and Rule 10b-18 open-market programs for cash equities, and tender and exchange offers for common stock, convertible and other equity-linked securities.*
  • Structuring new convertible bond, derivative share buyback, stock acquisition/disposition programs, hedging/monetization strategies, structured notes, proprietary indices, and other equity-linked products.*
  • Negotiating unwinds and early terminations of equity-linked and corporate derivative transactions in connection with mergers or acquisitions, as well as bankruptcy or restructuring proceedings.*
  • Negotiating prime brokerage, securities and financing documentation such as listed and cleared execution, custodial/tri-party, Master Repurchase, Global Master Repurchase, Master Securities Loan and Master Securities Forward Transaction Agreements.*
  • Negotiating derivatives documentation such as ISDA Master Agreements, Credit Support Annexes, collateral agreements, and master confirmations for swap trading and deal contingent hedges.*
  • Negotiating energy trading documentation such as North American Energy Standards Board (NAESB) contracts, power purchase agreements, and other contracts for energy hedging transactions.*

Mr. Servidio’s regulatory experience includes:

  • Advising clients on the Commodity Exchange Act; CFTC, CME and Intercontinental Exchange (ICE) regulations; CFTC reporting requirements (large trader and Form 40); CFTC and National Futures Association (NFA) registration and examination requirements; CFTC enforcement matters; as well as investments in financial intermediaries that trade bitcoin and certain other cryptocurrencies.*
  • Advising clients on Securities Act, Securities Exchange Act, SEC, Financial Industry Regulatory Authority (FINRA), New York Stock Exchange (NYSE) and Nasdaq rules and regulations raised by equity derivative transactions, as well as investments in security tokens, distributed ledger infrastructure and digital asset trading platforms.*
  • Advising clients on Dodd-Frank Act rules such as Title II (QFC Stay Rules) and Title VII swap and security-based swap rule implementation, as well as compliance with International Swaps and Derivatives Association (ISDA) protocols and the CFTC swap documentation, reporting, clearing, margin and collateral segregation requirements.*
  • Advising clients on Federal Reserve, Office of the Comptroller of the Currency (OCC) and Federal Deposit Insurance Corporation (FDIC) regulations regarding swaps and other derivatives, including on the replacement of Libor with the Secured Overnight Financing Rate (SOFR) or other alternative rates.*
  • Advising clients on compliance with foreign derivatives regulation in the U.K., Europe, Hong Kong and other non-U.S. jurisdictions.*

*Denotes experience prior to joining Goodwin.

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Education

J.D., 2002
Pepperdine University
M.B.A., 2002
Pepperdine University
B.S.B.A., 1996
University of Arizona

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Illinois
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