At a Glance

Katarina "Kate" Polozie is a Partner in the firm’s Business and Finance Department. Kate concentrates her practice on mergers & acquisitions, complex commercial transactions, data privacy and cybersecurity, corporate governance and venture capital.

Kate counsels a diverse range of successful and growing businesses from local start-up ventures, to multinational corporations, across a spectrum of industries including sports, construction, transportation, manufacturing, telecommunications, food product services, agricultural equipment, distribution, marketing & advertising, human resources, consulting and software.

As a member of the Firm's Mergers, Acquisitions, and Divestitures Practice Group, Kate regularly represents clients in mergers; stock purchase, sales, and auctions; asset purchases and divestitures; and joint ventures, which range from representing multinational corporations in transactions for hundreds of millions of dollars to representing local business in much smaller transactions and in their succession planning.

As a member of the Firm's Private Equity & Venture Capital Group, Kate counsels both angel and venture capital investors seeking to invest in companies, and the companies seeking such investment. Kate also drafts complex founders' agreements, including limited liability company operating agreements and shareholders' agreements that define the nature of the rights and obligations of the equity holders.

Kate represents clients on a wide range of complex commercial agreements including: SAAS agreements, sales representative agreements, distributor agreements, non-disclosure agreements, restrictive covenant agreements, consulting agreements, and other service agreements.

Kate is a Certified Information Privacy Professional/United States (CIPP/US) through the ANSI-accredited International Association of Privacy Professionals. She counsels clients on data privacy and cybersecurity issues, including advising clients on their privacy and cybersecurity policies, reviewing data privacy and cybersecurity issues in connection with corporate acquisitions, reviewing and drafting data privacy and security clauses in commercial agreements, and advising clients on how current and future data privacy and cybersecurity laws and regulations may affect or require changes to their business models.

Kate is a frequent speaker on topics pertaining to business succession, M&A, federal and state privacy laws, crypto currency and NFTs, commercial contracts, venture capital and corporate compliance.

Prior to joining Woods Oviatt Gilman LLP, Kate was a partner at Potomac Law Group PLLC in Washington, DC and a Partner at McDermott, Will & Emery in Washington, DC.

SPEAKING ENGAGEMENTS:

Kate leads and coordinate's the Firm's in house CLE curriculum and is a frequent speaker and panelist both externally and at the Firm. A representative sample of her presentations are below:

Co-Presenter, "Cryptocurrency: Tax & Other Legal Issues" given November 2022 to the MBCA Annual Tax Institute and December 2022 to the Estate Planning Council of Rochester.

Co-Presenter, "CLE Presentation, US Privacy Framework: How it affects your practice", given September 2022

Co-Presenter, "CLE Presentation: Drafting Operating Agreements: A Checklist Approach", given August 2022

Moderator and speaker, "CLE Presentation: Blockchain, Crypto, Smart Contracts, NFTS, and DAOs: A view through the legal lens", presented June 2022

Co-Presenter, "CLE Presentation: Drafting the Acquisition Agreement" given September 2021

Co-Presenter, "CLE Presentation: the Due Diligence Process for Privately Held Companies" given August 2021

Co-Presenter, "CLE Presentation: Drafting the Letter of Intent", given August 2021

Co-Presenter "CLE Presentation: the M&A Process", given July 2021

Co-Presenter "CLE Presentation: Drafting Confidentiality Agreements", given June 2021

Co-Presenter, "CLE Presentation: Drafting Terms and Conditions for Sale of Goods Transactions (Article 2 of the UCC)", given July 2021

Co-Presenter, "CLE Presentation: Drafting Service Agreements", given June 2021

Presenter: "Venture Capital Investment: A guide to term sheets" given April 2019 to The Entrepreneurs Network

Co-Presenter, "Preferred Equity and Qualified Opportunity Funds" given April 2019

Practice Areas

Business Counseling

Corporate Governance

Private Equity & Venture Capital

Emerging Companies

Business Succession Planning

Cybersecurity and Data Privacy

Mergers, Acquisitions, Divestitures

Franchising, Distribution & Dealerships

Intellectual Property, Licensing & Technology

Education

• Northwestern University Pritzker School of Law, J.D.
  

• Wellesley College, B.A., cum laude

HONORS

• Law Review, Northwestern University, Pritzker School of Law
  
  

Bar Admissions

• State of New York
• District of Columbia
• State of Maryland

Key Representative Matters

• Represented a major sports league in all aspects of bringing their product to market including negotiating and drafting releases, travel accommodation agreements, agreements with sponsors, technology vendors, influencers, training camps, sports betting vendors, and other commercial arrangements.
• Represented majority equity holder of a real estate development, construction and management firm in a $150,000,000 stock sale to a private equity buyer, with a significant rollover component.
• Represented the shareholders of a residential products and services (HVAC & Plumbing) corporation in a $150,000,000 stock sale to a private equity buyer, with a significant rollover component. Subsequent representation of the corporation as the platform company and the private equity buyer (after closing of the initial sale) in the corporations' post-closing restructuring and acquisition of two more companies in complementary industries.
• Represented an insulation manufacturer in a $68,000,000 sale of its business to an international buyer in the same industry.
• Represented an international safety, manufacturing and distribution company in a $44,000,000 acquisition of a national safety products distribution business.
• Represented the controlling shareholder of a transportation business in a $50,000,000 stock sale to a U.S. subsidiary of a public company listed on the London Stock Exchange.
• Represented a truck leasing company in the sale of assets and assignment of leases with the approximate value of $90,000,000 to a national U.S. corporation listed on the New York Stock Exchange.
• Represented a start-up insulation company in raising over $10,000,000 pursuant to issuer-led private placement offerings
  
• Represented an insurance agency business in a $30,000,000 stock sale to a private company buyer.
• Represented a distributor in a $21,000,000 cross-border sale of assets and stock to a U.S. private company buyer
  
• Represented a start-up insulation company in raising over $10 million pursuant to issuer-led private placement offerings
• Represented an insurance agency business in a $30 million stock sale to a private company buyer.
• Represented a distributor in a $21 million cross-border sale of assets and stock to a U.S. private company buyer
  
• Represented a venture capital fund in a $1,000,000 Series A round investment in a robotics company.
• Represented a distributor in a $7,300,000 sale of stock to both management and a private company buyer.
• Represented a distributor in a $7.3 million sale of stock to both management and a private company buyer.

Professional Affiliations

• Monroe County Bar Association
• New York State Bar Association
• American Bar Association
• Maryland State Bar Association

Community Involvement

• Past member of the board of directors of the Small Business Counsel of Rochester, NY

• Past Member and Past Chair of the Selection Committee for the Business Person of the Award given by the Small Business Counsel of Rochester

Articles

8-17-23 Thirty-Eight Woods Oviatt Gilman Attorneys Named to the Best Lawyers 2024 List

11-25-2022 As seen in the Rochester Business Journal - Kate Polozie featured in 'Corporate lawyers face brave new world as business practices change with times.'

9-21-21 As Seen in Buffalo Business First - CleanFiber raises $11.9M in funding to fuel Buffalo-based expansion. Chris Henrich and Kate Polozie are Counsel to Clean Fiber for transaction.

5-1-20 As seen in the Rochester Business Journal - Local attorneys weigh in on force majeure clauses, employment during COVID-19

3-19-20 Woods Oviatt Gilman Creates a Multidisciplinary Crisis Resource Group

10-8-19 Christian J. Henrich, Esq. and Katarina B. Polozie, Esq. are lead counsel for Clean Fiber as they close $5 Million in growth-based funding.

5-8-2019 The Women of Woods Oviatt named the 2019 Dress For Success Empowerment Award honorees by Dress for Success Rochester.

12-13-18 As seen in Buffalo Business First - CleanFiber raises another $2.3 million to support new factory in Blasdell - Woods Oviatt serves as counsel.

12-13-18 CleanFiber secures more investment, prepares to open Blasdell plant - Woods Oviatt serves as counsel.

4-6-2018 Christian J. Henrich, Esq. and Katarina B. Polozie, Esq. of Woods Oviatt Gilman LLP were lead counsel for UltraCell Insulation's first external equity round.

8-21-17 As seen in the Democrat and Chronicle - Kate Polozie, Esq. Interviewed in Hot Jobs: Lawyers