The IR Magazine Forum & Awards – Small Cap US is IR Magazine’s best practice event in New York designed exclusively for CEOs, CFOs, IROs and advisors from small cap companies. Spanning multiple industries, the one-day conference focuses on key issues affecting small cap companies.
We will also host an awards ceremony specifically tailored to small cap companies. The awards categories offer individuals and companies the opportunity to nominate themselves, free of charge, for two aspects of IR: best investor engagement and best investor relations (by market cap; micro and small-cap). More details on this can be found below.
Timely event: with the year-end fast approaching, this event is perfectly positioned to help you take stock of the year-to-date, refocus and plan for 2019
Benchmarking: it is a great opportunity to evaluate where you stand in comparison to your peers, how other small cap companies have managed and overcome similar situations
Run lean: learn how to have a maximum strategic impact with limited resources – do more with less, learn how seasoned IR professionals prioritize their team
Unique format: our format enables participants to network extensively, discuss, debate and dissect topical issues
Discover something new: learn about new technologies, innovations, and services that are available to help to transform your IR strategy, increase productivity and make better decisions
Network with the community: meet with investors, analysts, experts, and peers
Breakfast and registration
Welcome and opening remarks
Ben Ashwell, digital editor, IR Magazine
Jason Paltrowitz, executive vice president, OTC Markets
Research trends: Tips and tricks for an IRO to engage and expand research in a post-Mifid world
Theodore R. O’Neill, IRC, CEO, Litchfield Hills Research
Small-cap IR 101: Starting at the top and getting the basics right
Matt Davis, senior analyst corporate development (M&A), Stoneridge
J. Marc Lewis, vice president of investor relations, MasTec
Loren Mortman, president, The Equity Group
Moderator: Katie Shaughnessy, business development, mid-markets, Computershare
What the street wants: Increasing coverage and meeting expectations
Jason Paltrowitz, executive vice president, OTC Markets
Jonathan Paterson, managing partner, Harbor Access
James Wong, senior VP of corporate access, Raymond James
Trends in IR communication: A unified approach to amplifying your message
Arash Adnani, president, Blender Media
Arin Amanda Prisand, MD, head of corporate access, Americas, Mizuho
Nicole Maselli, head of client strategy, OpenExchange
Networking lunch and awards ceremony
Do’s and don’ts of raising capital – Understanding the differences between pre-IPO and post-IPO IR
Naomi Eichenbaum, director of investor relations, Erytech
Role of IR during uncertainty – What to do and what not to
Scott Powell, executive VP of IR, VolitionRx and CFO, Volition America
Managing change: When to use an IR agency and when to hire in-house? Tips, tricks and lessons learned
Corey Kinger, VP of investor relations, Weight Watchers International
Summary and action points
Arash Adnani is Blender’s president and co-founder with over 12 years experience working in digital IR. He was chosen as one of Business in Vancouver’s 2014 ‘Forty Under 40’ and is a member of the Entrepreneur’s Organization.
Ben Ashwell is the digital editor at IR Magazine, covering investor relations, governance, risk and compliance. Prior to this, he was founder and editor of Executive Talent, the global quarterly magazine from the Association of Executive Search and Leadership Consultants. Before moving to the US, Ashwell was vice president and editor at Executive Grapevine, overseeing a daily news website, 10 annual supplements and HR Grapevine, the UK’s leading HR and talent management magazine.
Director of investor relations
Naomi Eichenbaum is the Director of Investor Relations at Erytech Pharma based in Lyon, France and Cambridge, MA. Over the past year, she successfully guided the Company through a Nasdaq listing raising capital in excess of $144M and supports their ongoing investor relations strategy. Prior to joining, Naomi was a Vice President at the Trout Group, an investor relations firm and boutique biotech bank, focusing on the life sciences aiding private and public companies, small-mid cap in size, with transactions, investor relations and advisory services. Before Trout, Naomi worked at Capgemini in their Life Sciences consultancy practice.
Naomi earned a B.A. in Biology and Business Management from Binghamton University and received her Master’s in Biotechnology and Entrepreneurship from NYU.
Senior analyst corporate development (M&A)
Matt is a senior analyst in corporate development at Stoneridge, where he is responsible for supporting Investor Relations and M&A activities. Prior to joining Stoneridge, Matt was an investment banking analyst at Greenwich Capital Group. He earned his BBA in finance from the Ross School of Business at the University of Michigan in 2015.
VP Investor Relations
Weight Watchers International
J. Marc Lewis
VP of Investor Relations
J. Marc Lewis has served as MasTec’s Vice President-Investor Relations since April of 2002. He is a 1975 Graduate of Baylor University with a Bachelor of Business Administration degree in Accounting and is a Certified Public Accountant (inactive) in Texas and New Mexico. Institutional Investor Magazine’s buy-side investor readers have consistently ranked him as the #1, #2 or #3 Engineering & Construction investor relations professional for the last several years. In 2018, Institutional Investor Magazine’s buy-side readers ranked MasTec as the overall best Investor Relations program for Engineering & Construction, also naming MasTec as one of the most honored companies from all sectors. In 2016, IR Magazine named MasTec as one of the top four investor relations programs among all small-cap listed companies.
Prior to joining MasTec, he began his career in the energy audit division of Arthur Andersen in Dallas, Texas. Subsequently, he spent 25 years in the oil & gas exploration and production sector, with both public and private entities, where he served in various accounting, capital formation and investor relations capacities. Mr. Lewis is actively involved with several faith-based charities (especially Children’s Vision International, Inc.) and also active with several political organizations.
Head of client strategy
Nicole is a Vice President and Head of Client Strategy at OpenExchange, where she is responsible for overseeing client strategy and relationship management, including sales and marketing. Prior to joining the company, she was a Managing Director at The NASDAQ OMX Group, where she drove new business of its corporate solutions suite of products and services. Nicole was also the primary Relationship Manager for CEOs, CFOs, Chairmen and Board Members of 125+ Nasdaq-listed companies. Previously, she was an Executive Director at Hanley & Associates, an independent firm providing management access services. Earlier in her career Nicole held a series of business development and sales roles at Ipreo, Carrot Capital and Thomson Financial. Nicole holds a BA in Economics from Lehigh University.
The Equity Group
Loren has been with The Equity Group for 20 years. She spent ten years developing and implementing comprehensive investor relations programs for clients in various industries. In 2007, Loren became a Senior Vice President focusing on corporate development, and was appointed President in 2013. Prior to joining The Equity Group, Loren was as a Financial Analyst in investment banking at Brenner Securities. She earned her BBA in Finance from the Goizueta Business School at Emory University. Loren is a member of the National Investor Relations Institute (NIRI) and the Public Relations Global Network (PRGN).
Theodore R. O’Neill, IRC
Litchfield Hills Research
Theodore R. O’Neill, IRC is the CEO of Litchfield Hills Research, LLC, a leading provider of company-sponsored research. Mr. O’Neill has a strong understanding of the capital markets from his more than 20+ years’ experience as a sell-side analyst and investment banker. As a research analyst he has won multiple Wall Street Journal All-Star awards and has been ranked by StarMine in the top 10% of all analysts globally. As a banker, he helped raise over $500M in more than two-dozen transactions. He holds an undergraduate degree in electrical engineering and an MBA in Finance. Prior to working on Wall Street, Mr. O’Neill held senior financial positions at firms in the defense, electronics and computing, healthcare and insurance sectors. He is a member of the Institute of Electrical and Electronic Engineers, the National Investor Relations Institute, the Canadian Investor Relations Institute and the Penn Club NYC.
Executive vice president, corporate services
Jason Paltrowitz is Executive Vice President, Corporate Services at OTC Markets Group, where he is responsible for managing the firm’s international and domestic Corporate Services business. Drawing upon his expertise in cross-border trading and as a recognized proponent of Reg A+ and small company capital raising, Jason is an advocate for small cap issuers, start-ups, and entrepreneurial innovators working to alleviate the cost, time and complexity associated with being a public company. Prior to joining OTC Markets in October 2013, Jason was Managing Director and Segment Head at JP Morgan Chase responsible for the custody, clearing and collateral management business in the Corporate and Investment Bank division.
Jason also held multiple senior management positions at BNY Mellon, most notably, as Head of M&A for the Financial Markets and Treasury Services Sector and 11 years as the Head of the Global Capital Markets Group in the Depositary Receipt Division. Jason currently serves on the Board of Directors of the Crowdfunding Professional Association (CfPA) and also served as a member of the Board of Directors at OTC Markets Group from 2008 – 2011. Jason holds a Bachelor’s degree in International Relations from Boston University and received his MBA from the NYU Stern School of Business.
Jonathan has worked on both the Buyside and Sellside, at firms such as Coutts, HSBC and J.P. Morgan. On the Sellside, he was involved with U.S. Investors for over 15 years in various capacities, including running several successful Corporate Access desks. During this time, Jonathan developed a virtually encyclopedic knowledge of the U.S. investor base. He is also involved in Cpoint, a company that provides digital roadshow itineraries and that is revolutionizing conference scheduling.
Executive VP of IR and CFO
VolitionRx and Volition America
Scott has nearly 20 years of experience in the U.S. capital markets, investment banking, investor relations and corporate communication. Based in New York City, he directs a comprehensive capital markets program and investor relations strategy for Volition. His role includes strategic interactions with institutional investors, analysts, investment banks, and the financial media. Scott has served as Head of Investor Relations for four public companies, including Volition, and worked for several years as an investment banker in New York City. He earned his Bachelor of Science in Business Administration from Bryant University in Smithfield, RI and his Master of Arts and Doctor of Philosophy degrees from Brown University in Providence, RI. He is also an Adjunct Assistant Professor in the Master of Science in Investor Relations program in the Gabelli Graduate School of Business at Fordham University in New York City.
Arin Amanda Prisand
MD, head of corporate access, Americas
Arin Amanda Prisand is Managing Director, Head of Corporate Access – Americas for Mizuho Securities USA (MSUSA). In this role, she leads a team that plans hundreds of events and arranges thousands of meetings annually to introduce investors to the management of companies driving innovation and creating interesting investment opportunities. Her team is responsible for developing Mizuho’s US conference calendar and she leads the coordination of the firm’s signature event, the Global Mizuho Investor Conference, NY, an exclusive, multi-sector, multi-region gathering of hundreds of analysts, institutional investors, and companies from around the world.
Since Arin joined MSUSA in 2011, her team has driven a fivefold increase in investor meetings. In addition, over 50% of the companies that Mizuho Corporate Access features do not have Mizuho equity research coverage enabling the firm to offer clients a diverse range of investment insights across sectors, market capitalization and geographies.
Arin has held roles at buy-side and sell-side firms, served in the office of the CEO for a publically-traded company, and was an account executive for a public relations and marketing firm.
She worked for two years in Corporate Access and two years in Equity Research Sales at Jefferies & Co, and spent six years on the buy-side at Pequot Capital Management and in Equity Proprietary Trading at Credit Suisse First Boston.
Ms. Prisand graduated Summa Cum Laude/Phi Beta Kappa from Brandeis University and earned her MA in Art History from Columbia University in 1998.
Business development, mid-markets
Katie Shaughnessy is responsible for business development with the mid-markets sales team at Computershare. In this role, Katie helps both private and public companies identify they ways they can rely on Computershare to streamline their compliance and governance practices with a single-vendor solution.
Born and raised in Boston, Katie earned a Bachelor of Arts in politics from Saint Anselm College. Prior to joining Computershare, Katie practiced eight years of civil litigation after earning her J.D. from New York Law School.
Since joining Computershare in 2013, Katie has brought tremendous value to our call center operations by assisting shareholders, leading a team of customer service representatives and training new hires on our business process and systems as we expand our facilities in Louisville. Katie also played a significant role in the development of our private markets business by contributing to sales, business development, product development and client relationship management within that team.
Senior VP of corporate access
James is a Senior Vice President on the Corporate Access team at Raymond James, where he advises corporates on investor marketing. Previously, James was a senior member of the Corporate Access team at UBS for 11 years, where he most recently led their US Conference Team. James began his career at Bear Stearns, where he worked with US, Asian and European companies in various functions including Investment Banking, Equity Capital Markets and Private Equity Placements. James is a graduate of St. John’s University and is based in New York City.
The awards-by-nomination categories offers individuals and companies the opportunity to nominate themselves, free of charge, for two aspects of IR: best investor engagement and best investor relations (by market cap; micro and small-cap). Click on the categories below to find out more and view the criteria.
The nomination period is now closed. Shortlisted companies can be viewed below.
Meritage Hospitality Group
Repro Med Systems
The Singing Machine Company
Alpha & Omega Semiconductor
First Resource Bank
The OurPet’s Company
Primoris Services Corporation
Stephen Amsterdam, senior research analyst , Emerald Advisers
Mr. Amsterdam is a senior research analyst and a member of the Emerald Advisers Technology Research Team. He also serves as a member of the Mid Cap Growth and All Cap Growth Portfolio Management Teams. He has been with Emerald since 2001 and currently focuses his efforts on network infrastructure, optical technologies, embedded electronics, and unified communications.
Prior to joining Emerald Asset Management, Mr. Amsterdam spent a decade investing in, and advising, early stage technology companies as a founding managing director of PA Early Stage Partners, a $50M early stage venture capital fund and senior associate of TLVentures, an $800M venture capital fund associated with Safeguard Scientifics, Inc.
He is a graduate of Lehigh University.
Ben Ashwell, Digital editor, IR Magazine
Ben Ashwell is the digital editor at IR Magazine and Corporate Secretary, covering investor relations, governance, risk and compliance. Prior to this, he was the founder and editor of Executive Talent, the global quarterly magazine from the Association of Executive Search and Leadership Consultants. Before moving to the US, Ben was the vice president and editor at Executive Grapevine, overseeing a daily news website, ten annual supplements and HR Grapevine, the UK’s leading HR and talent management magazine.
Julie Dewey, Senior vice president & chief communications officer, Wright Medical Group
Julie Dewey is senior vice president and chief communications officer for Wright Medical Group, a global orthopedic medical device company and recognized leader in surgical solutions for the extremities and biologics markets. As a member of the company’s executive team, she leads the IR and corporate communication functions and is responsible for developing and executing investor relations programs to support the valuation of the company’s stock. She is also Wright Medical’s primary liaison with institutional investors and analysts.
Dewey and Wright Medical were ranked #1 in Institutional Investor’s 2017 and 2018 All-America executive team mid-cap rankings in the Life Science & Diagnostic Tools and Medical Supplies & Devices category. For the last five years (2014-2018), Dewey has been named best IRO in the small/mid-cap category at the IR Magazine Awards – US. In 2014 she was also named IR Magazine’s global top small/mid-cap IRO. Wright Medical won the award for best overall small-cap IR program at IR Magazine’s 2014 and 2015 US Awards and the award for best overall mid-cap IR program at the 2016 and 2018 US Awards. In 2018 Wright Medical also won the award for best use of technology & social media for IR at IR Magazine’s US Awards.
Dewey currently serves as a member of NIRI’s national board of directors and is a member of the inaugural class that earned the Investor Relations Charter (IRC) credential in April 2016. She also is a member of NIRI’s Senior Roundtable.
She graduated magna cum laude from the University of Southern California with a BS in business administration and received her MBA from Pepperdine University’s Graziadio School of Business.
Robert Kosowsky, Senior analyst and assistant portfolio manager, Royce Funds
Before joining the firm in 2015, Robert Kosowsky was an equity analyst at Sidoti & Company from 2009 to 2015, and a research analyst at OFI Institutional Asset Management from 2008 to 2009. Prior to this, he was a research analyst at Ballentine Partners (2007-2008), an equity analyst at Sidoti & Company (2002-2005) and a research analyst at Thomas Financial (2000-2001).
Kosowsky holds a bachelor’s degree in finance from Boston College and an MBA from Vanderbilt University. He is a CFA charterholder.
Wright Medical Grou
OTC Markets Group Inc. (OTCQX: OTCM) operates the OTCQX® Best Market, the OTCQB® Venture Market, and the Pink® Open Market for 10,000 U.S. and global securities. Through OTC Link® ATS, we connect a diverse network of broker-dealers that provide liquidity and execution services. We enable investors to easily trade through the broker of their choice and empower companies to improve the quality of information available for investors. To learn more about how we create better informed and more efficient markets, visit www.otcmarkets.com. OTC Link ATS is operated by OTC Link LLC, member FINRA/SIPC and SEC regulated ATS.
At this event, each participant is someone with an established track record and a strategic IR role within his or her company. Some of the attendees joining us this year include:
|CEO & Chairman||TGR Financial, Inc||Managing Partner||Harbor Access|
|VP of investor relations||Weight Watchers International||MD & Head of Corporate Access||Telsey Advisory Group|
|CEO||Open Exchange||National director of business developments||Lambert IR|
|CFO||Repro Med Systems, Inc||President||Blender Media|
|CFO and Executive Vice President, IR||VolitionRx||President||The Equity Group|
|CFO/Secretary||HDQA Elderly Life Network Corp.||VP of investor relations||iHeartMedia|
|Chief Accounting Officer||Dyadic International||President and CEO||First Resource Bank|
|Chief Executive Officer and President||Deep Down Inc.||Regional Sales Director||QuoteMedia, Inc|
|Chief Financial Officer||Deep Down Inc.||Senior Analyst Corporate Development||Stoneridge|
|Chief Financial Officer||Smith Midland||Senior associate of investor relations||Lambert IR|
|Chief Financial Officer||Orhub, Inc.||Senior director||Gilead sciences|
|COO||WeConvene||Senior director of investor relations||Lambert IR|
|Corporate access, Americas||HSBC Securities||Senior Vice President||The Equity Group|
|Digital editor||IR Magazine||Sr. Director, IR & Corporate Communications||Revance|
|Director||EM Advisors||SVP||TGR Financial, Inc|
|Director of Corporate Communications||pdvWireless||SVP Investor Relations & Finance||MDC Partners|
|Director of investor relations||Erytech||SVP, IR & Corporate Communications||Safeguard|
|Director, M&A and IR||Stoneridge||US-Investor Relations||Implanet|
|EVP & CFO||First Resource Bank||Vice president||Citigroup|
|Executive Vice President, Corporate Services||OTC Markets||Vice president – IR||FuelCell Energy|
|Head of client strategy||Open Exchange||Vice president of investor relations||MasTec|
|Head-Investor Relations & Media||MPM Holdings||Vice President Relationship Management||Computershare|
|Investor Relations||Chimera Investment Corporation||VP of Investor Relations||Hudson Ltd.|
|Investor relations – consultant||Alpha and Omega Semiconductor||VP of investor relations||Burns McClellan|
|IR||Vitamin Shoppe||VP, Investor Relations||Idera Pharmaceuticals|
|Manager – Investor Engagement||Zacks SCR||VP, Investor Relations||Telaria, Inc.|
|Managing director of investor relations||BBX Capital||VP, Senior Client Relationship Manager||Computershare|
Our 2018 event will be held at:
304 Hudson Street
New York, NY 10013
Looking for the perfect place to stay before or after the event? Why not try IR Magazine’s exclusive HotelMap to browse real-time room rates of hotels close in proximity to OTC Markets. To view a virtual map of nearby hotels or book a room, please CLICK HERE
In association with
OTC Markets Group Inc.(OTCQX: OTCM) operates the OTCQX Best Market, the OTCQB Venture Market and the Pink Open Market for 10,000 U.S. and global securities. Through OTC Link ATS and OTC Link ECN, we connect a diverse network of broker-dealers that provide liquidity and execution services. We enable investors to easily trade through the broker of their choice and empower companies to improve the quality of information available for investors.
To learn more about how we create better informed and more efficient markets, visit www.otcmarkets.com.
OTC Link ATS and OTC Link ECN are operated by OTC Link LLC, member FINRA/SIPC and SEC regulated ATS.
Blender is an award-winning design agency and a leader of investor marketing in North America. We’ve worked with over 500 private and publicly traded companies on all major stock exchanges including NYSE, NASDAQ, and TSX.
For more information, visit www.blendermedia.com
Computershare is a global market leader in transfer agency and share registration, employee equity plans, proxy solicitation and stakeholder communications. We also specialize in corporate trust services, tax voucher solutions, bankruptcy administration and a range of other diversified financial and governance services. Many of the world’s leading organizations use these core competencies to help maximize the value of relationships with their investors, employees, creditors, members and customers.
For more information, visit www.computershare.com
Founded in 1974, The Equity Group is an investor relations firm headquartered in New York City with expertise in strategic communications, investment community outreach and relations, market intelligence and advisory for micro through mid-cap companies, with a strong focus on both planning and execution. For some clients, we serve as an outsourced investor relations department – a virtual “office down the hall.” For larger companies with an IRO or similar internal capabilities, we provide an array of support services. We measure our client relationships in years – not months – and view each engagement as a long-term partnership opportunity. Our capabilities, results-oriented approach and commitment to clients lead to relationships that average 7 years and often span 10-20 years.
We are led by a seasoned team of professionals with over 175 years of aggregate experience. We combine legacy knowledge of capital markets communications, and an unparalleled reputation for integrity and client service with evolving industry best practices to design and execute investor relations programs that help deliver long-term stakeholder value. No magic wands, no smoke and mirrors, no special sauce – just hard work, tangible results, and a respect for clients’ time.
For more information, please visit www.theequitygroup.com
Harbor Access LLC represents and advises Micro to Mega market cap companies. Whether you are a venture-backed company planning a stock exchange listing or a listed multi-national conglomerate, we can help optimize your visibility in the U.S. Equity market. We can also build out a capital market communications program or calibrate an existing one. Harbor Access brings extensive experience and professionalism to every client and customizes its work to meet their individual goals.
Our team has been directly involved in the capital markets for over 60 years, collectively, and has operated through the markets’ various stages, from the Tiger economy era to the internet boom and bust of the late 90s to the financial crisis that began in 2008. We are on the cutting edge of Investor Relations and Corporate Access, offering best practices for both of these disciplines.
For more information, please visit www.harboraccessllc.com
Litchfield Hills Research is a leading provider of high-quality company-sponsored research that conforms to all FINRA regulations for quality and objectivity. Our model is unique in that our research appears on all buy-side platforms (e.g. FactSet, S&P Global, Thomson Reuters and others) and institutions can view it in real-time without having to seek entitlements from anyone. We also provide an Enhanced Targeting technique that is especially useful for IROs who would like investors in peers, customers, suppliers or all three to have real-time access to research reports on their company. Our Enhanced Targeting technique is especially useful if your current group of analysts focus on a single aspect of your business but your strategy is to move in another direction! Is your legacy business, for example, making products for the Medical Device Sector but corporate focus is now on the Industrial Sector? We can place our research where investors in Industrials will see and read it. We back it up with detailed readership data for our corporate clients every quarter.
We can provide a diagnostic that tells you where the research from your current analysts is and isn’t going. In a post MIFID II world, the list of who can see research is shrinking everywhere – except at Litchfield Hills Research.
Ask us for an Enhanced Targeting demo and a research distribution diagnostic which we provide at no cost.
We thank IR Magazine and OTC Markets for making this event possible.
To find out more information, please visit www.hillsresearch.com.
OpenExchange is a web-based solution that enhances interaction with the investment community over video. Our solution enables investor relations professionals and their executive teams to communicate more effectively with the investment community. Now, the buy-side, sell-side and corporate issuers can arrange and conduct one-on-one and group meetings using secure, private, high quality video.
OpenExchange is designed specifically for the unique needs of the financial community, where meaningful communication is a critical ingredient to making better informed investment decisions. OpenExchange makes connecting with investors, analysts, clients, partners and colleagues over video simple, repeatable and secure, and operates with a wide range of video systems.
NIRI New York is the largest chapter in the NIRI network. Our unique position at the cross roads of the world’s largest financial center and proximity to a large number of Fortune 500 companies, enables us to deliver cutting edge programs featuring our industry’s most respected leaders, unparalleled peer-to-peer networking opportunities and access to thought leadership across multiple channels. No other local investor relations organization offers the breadth and depth of our outstanding membership benefits.
For more information, please visit www.niriny.org
The ‘corporate attendee’ rate is reserved for publicly listed companies only. All others will have to book under the ‘non-corporate’ rate. If you have any questions or need assistance with your booking, please contact [email protected].