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Case Examples

Multi-site Care Provider

Structure: 100% ESOP trust sale

Capital Stack: SBA + seller note + retained earnings

Motivation: Owner wanted liquidity and legacy protection — no family succession Outcome: Full payout, phased transition, team retained, culture preserved

Marine Services Contractor

Structure: ESOP sale, owner retained advisory role

Capital Stack: SBA + seller note with performance triggers

Motivation: Needed a transition plan without selling to competitors

Outcome: Ownership transitioned, tax advantages realized, workforce retained

Environmental Compliance Firm

Structure: Internal sale to ESOP trust

Capital Stack: : SBA + internal reserves

Motivation: No successor, strong bench, long-term government contracts

Outcome: Clean transition, zero disruption to contracts or crew

Resources

ESOP 101 Fact Sheet - Owners and Advisors

ESOP Fact Sheet - Small Business

ESOP Fact Sheet - Bank

Owner Readiness Quiz

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