Michael E. Swartz

Partner at Schulte Roth & Zabel LLP

Michael E. Swartz

Michael E. Swartz

Partner at Schulte Roth & Zabel LLP

Biography

Michael E. Swartz, co-chair of the Litigation Group and head of the shareholder activism litigation practice, focuses on complex commercial litigation and antitrust, particularly as it relates to mergers and acquisitions. His litigation practice includes shareholder activist litigation, M&A litigation and other corporate control disputes, as well as securities litigation. Michael has particular expertise with litigation involving Sections 10(b), 13(d), 14(a), 16(b) and 20(a) of the Securities Exchange Act. Most recently, he represented Trian Fund Management LP in its proxy contest with Procter & Gamble, and achieved a series of victories on behalf of venBio Select Advisor LLC in its proxy campaign at Immunomedics Inc. Among other things, for venBio, he obtained a TRO blocking the closing of a global license agreement, which effectively would have amounted to a sale of the company. Michael’s other recent litigation experience includes activist litigation for Land & Buildings, Villere & Co. and others; representations of several boards and companies in M&A- and proxy-related litigation; and obtaining dismissal of several Section 16(b) actions brought against investment advisers and the funds they manage, seeking disgorgement of alleged short-swing trading profits. Michael served as trial counsel to the former Vivendi Universal CFO in a four-month securities class action jury trial. The jury returned a verdict of no liability for SRZ’s client for securities fraud. He also represented The Children’s Investment Fund in a trial involving proxy litigation commenced by CSX Corporation and served as trial counsel to the former chief legal officer of media giant Hollinger Inc. in a four-month criminal trial. Michael represented Cerberus Capital Management LP in its $9.2-billion acquisition of Safeway Inc. In addition, Michael analyzes transactions to determine whether they raise antitrust issues, develops strategies to address potential concerns and represents clients in front of the U.S. Department of Justice, the Federal Trade Commission, state attorneys general and others, and in litigation challenging transactions on antitrust grounds.

Michael has been recognized by his peers and clients in Benchmark Litigation: The Definitive Guide to America’s Leading Litigation Firms and Attorneys, The Legal 500 US and New York Super Lawyers in the area of business litigation. His litigation victories have been featured in The Hedge Fund Journal (“Immunomedics Proxy Contest: SRZ Achieves Unprecedented Litigation Victories”) and Hedge Fund Legal and Compliance Digest (“Schulte’s Michael Swartz Discusses Section 16(b) Litigation, Exemptions and Strategies for Hedge Fund Managers to Reduce Risks of Non-Compliance”). In addition, Michael’s recent publications include contributing to The Activist Investing Annual Review 2018 (Activist Insight, in association with SRZ) and co-authoring the “Information Sharing with Market Professionals” chapter in the Insider Trading Law and Compliance Answer Book 2018 (Practicing Law Institute). He is currently the regional vice chair for the mid-Atlantic region of the Lawyers’ Committee for Civil Rights Under Law and is also a member of the ABA’s Litigation and Antitrust sections. Michael is a former law clerk to the Hon. Irving R. Kaufman, Circuit Judge for the U.S. Court of Appeals for the Second Circuit.

Overview
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1317

Number of Boards

3

Number of Awards

10

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Partner at Schulte Roth & Zabel LLP

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Partner at Schulte Roth & Zabel LLP

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Former Co-Chair, Mergers & Acquisitions & Securities Practice at Schulte Roth & Zabel LLP

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Partner at Schulte Roth & Zabel LLP

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Partner at Schulte Roth & Zabel LLP

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Partner at Schulte Roth & Zabel LLP

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Partner at Schulte Roth & Zabel LLP

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Partner at Schulte Roth & Zabel LLP

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Partner at Schulte Roth & Zabel LLP

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Counsel at Dechert LLP

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Michael E. Swartz
Partner at Schulte Roth & Zabel LLP
Education
JD
Class of 1990

Columbia Law School is a professional graduate school of Columbia University, a member of the Ivy League. Columbia is regarded as one of the most prestigious law schools in the nation and has always been ranked in the top five by U.S. News and World Report.Founded in 1858, Columbia has produced a large number of distinguished alumni including two Presidents of the United States (Franklin Delano Roosevelt and Theodore Roosevelt); nine Justices of the Supreme Court of the United States;numerous U.S. Cabinet members and Presidential advisers; U.S. Senators, Representatives, and Governors; and more members of the Forbes 400 than any other law school.

BA, magna cum laude, Phi Beta Kappa
Class of 1987

UCLA's primary purpose as a public research university is the creation, dissemination, preservation and application of knowledge for the betterment of our global society. To fulfill this mission, UCLA is committed to academic freedom in its fullest terms: We value open access to information, free and lively debate conducted with mutual respect for individuals, and freedom from intolerance. In all of our pursuits, we strive at once for excellence and diversity, recognizing that openness and inclusion produce true quality. These values underlie our three institutional responsibilities. Learning and teaching at UCLA are guided by the belief that undergraduate, graduate and professional school students and their teachers belong to a community of scholars. This community is dedicated to providing students with a foundational understanding of a broad range of disciplines followed by the opportunity for in-depth study in a chosen discipline. All members of the community are engaged together in discovering and advancing knowledge and practice. Learning occurs not only in the classroom but also through engagement in campus life and in communities and organizations beyond the university.

Memberships
Member
Current

American Bar Association provides legal services. It provides law school accreditation, continuing legal education, legal information and other services to assist legal professionals. The firm has members which include judges, court administrators, law professors, and non-practicing attorneys. The company was founded on August 21, 1878 and is headquartered in Chicago, IL.

Member
Current

The International Bar Association (IBA), established in 1947, is the world's leading organization of international legal practitioners, bar associations and law societies. The IBA influences the development of international law reform and shapes the future of the legal profession throughout the world. It has a membership of more than 50,000 individual lawyers and over 200 bar associations and law societies spanning all continents. it has a considerable expertise in providing assistance to the global legal community.

Member
Current

The Association of the Bar of the City of New York is a voluntary association of lawyers and law students. The organization was founded in 1870 and it is headquartered in New York, NY.

Career History
Partner
Current

Founded in 1969, Schulte Roth & Zabel LLP is a multidisciplinary firm with offices in New York, Washington, D.C., and London. As one of the leading law firms serving the financial services sector, SRZ regularly advises clients on investment management, corporate and transactional matters, as well as providing counsel on securities regulatory compliance, enforcement and investigative issues. They are a full-service firm with 14 practice groups whose combined legal expertise and business acumen provide a diverse client base with top-notch representation and service. They strive to build and maintain long-term relationships with clients by placing a premium on client service. To address every aspect of a client's business, it is not unusual for attorneys from multiple practice groups to be brought in on a matter.Their client roster includes a large and impressive array of institutional, entrepreneurial and individual clients, including public and private companies, investment banks, hedge and private equity funds, domestic money centers and foreign commercial banks, broker-dealers, investment advisers, private investment partnerships, venture capitalists and pension funds. Their handling of widely recognized deals, including the sale of Chrysler Financial to TD Bank Group and the acquisition of Caritas Christi Health Care System-all extremely complex matters involving multitudes of lawyers working across practice areas-speak to their wide-ranging capabilities, from domestic and cross-border acquisitions to high-stakes litigations, multilayered financings, high-profile real estate deals, debt restructurings, and estate and trust administration, to name a few of the matters for which clients seek their services.

Clerk
Prior

The United States Court of Appeals for the Second Circuit (in case citations, 2d Cir.) is one of the thirteen United States Courts of Appeals. Its territory comprises the states of Connecticut, New York, and Vermont, and the court has appellate jurisdiction over the district courts in the following districts: District of Connecticut, Eastern District of New York, Northern District of New York, Southern District of New York, Western District of New York, District of Vermont.

Boards & Committees
Regional Vice Chair, Board of Directors
Current

The Lawyers' Committee for Civil Rights Under Law is a private company headquartered in Washington, DC. The firm provides legal services that protects civil rights.

Member of the Advisory Board
Prior
Member of the Arbitration Committee
Tenure Unconfirmed

The United States Council for International Business advances the global interests of American business both at home and abroad. It is the American affiliate of the International Chamber of Commerce (ICC), the Business and Industry Advisory Committee (BIAC) to the OECD, and the International Organisation of Employers (IOE). As such, it officially represents U.S. business positions both in the main intergovernmental bodies and vis-à-vis foreign business communities and their governments.

Non-Profit Donations & Grants

Learn how non-profit organizations benefit from RelSci
$10K - $25K
2016

The Lawyers' Committee for Civil Rights Under Law is a private company headquartered in Washington, DC. The firm provides legal services that protects civil rights.

Political Donations
$2,000
2005

The Democratic Senatorial Campaign Committee is the only organization solely dedicated to electing a Democratic Senate. From grassroots organizing to candidate recruitment to providing campaign funds for tight races, the DSCC is working hard all year, every year to elect Democrats – and give President Obama the help he needs on Capitol Hill to move our country forward.

$2,000
2004

Former Senator from Massachusetts

Transactions
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Keane Group, Inc. purchases C&J Energy Services, Inc.

Details Hidden

Follett Corp. purchases Baker & Taylor LLC from Castle Harlan, Inc.

Details Hidden

International Business Machines Corporation purchases Truven Health Analytics, Inc. from Veritas Capital Fund Management LLC

Awards & Honors
2008
Court Admission: US Court of Appeals, Seventh Circuit
1998
Court Admission: US Courts of Appeals, First Circuit
1997
Court Admission: US Supreme Court
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