IR Magazine

IR Magazine Awards & Conference
Small Cap 2017

Wednesday, September 13, 2017

Fordham University, New York

About the event

The IR Magazine Awards & Conference – Small Cap was IR Magazine’s first 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 focused on key issues affecting small cap companies including investor relations 101, how to get in front of more of the right investors, crisis planning, Q & A with the investment community, how to get better coverage, effectively using social media and more.

The conference also boasted an awards ceremony specifically tailored to small cap companies. The awards categories were self-nominated and the winning companies can be found below.

Why attend?

wtt 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 2018
  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 maximum strategic impact with limited resources – do more with less, learn how seasoned IR professionals prioritise 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

Conference Agenda

To view agenda as PDF, click here.

  • 08:15 AM
    Breakfast and registration

  • 09:00 AM
    Welcome and opening remarks

    Laurie Havelock, editor-at-large, IR Magazine
    Dawn Lerman, associate Dean for Graduate Studies, Gabelli School of Business

  • 09:10 AM
    Fireside chat: The changing world of equity research and its impact on investor sentiment

    • Equity market trends and the importance of research
    • The economics of the research business and how it affects small and micro-cap companies
    • Deteriorating fundamentals: The likelihood of fewer and fewer research providers

    Peter Sidoti, CEO, Sidoti

  • 09:30 AM
    Investor relations 101: Setting up and re-invigorating your IR program

    • Are you representing yourself right? Presenting yourself as the company you aspire to be – a company on the rise
    • What makes effective IR? What works, what doesn’t; Why have an IR website?
    • What role IR plays in your company’s evolution: Building credibility with investors
    • Developing an IR team that’s right for you; dealing with inquiries, regulations, etc.
    • What makes for a good IR firm? Picking a partner that’s right for you
    • How to make a big statement as a small firm on a shoestring budget

    Loren Mortman, president, Equity Group
    Andrew Posen, VP, head of IR, Tremor Video

  • 10:00 AM
    Refreshment break

  • 10:30 AM
    Investor intelligence: Q&A with the investment community

    • What are the top questions from investors facing small and micro-cap issuers?
    • Making yourself attractive to institutions – targeting tips, which events work best?
    • Getting research coverage – best ways to reach the investment community
    • Disclosure, access, guidance – what the buy side likes (and what it doesn’t)
    • Compliance no-nos – what not to do, what puts investors off and transparency
    • Critical decisions and inflection points – making key decisions that will impact investments and business value

    Jason Paltrowitz, executive vice president, corporate services, OTC Markets
    Greg Taxin, managing director, Spotlight Advisors 
    Megan Capay, CFA, corporate relations, Surveyor Capital

  • 11:15 AM
    Round table discussions

  • 11:45 AM
    Cutting through the clutter: Expanding your investor base with high impact targeting

    • Which pool of investors to focus on? Effective targeting, qualifying leads, methodologies, tools and more
    • Getting in front of more potential investors: Engaging retail investors, attracting foreign investment
    • In what instances can face-to-face meetings be replaced to help do more and maximize reach?
    • Avoiding poor ROI events: Leveraging paid-for conferences and sell-side research to improve exposure
    • Managing competing interests among investors and finding a financing strategy that works
    • Crafting your press policy and optimizing releases – Role of social media in gaining access to funding

    David Collins, senior IR and investor marketing consultant, Catalyst IR
    Timothi Trombetta, ‎advisory specialist global investor targeting, Nasdaq
    Richard Ramlall, VP IR & PR, INAP

  • 12:30 PM
    Networking lunch

  • 13:30 PM
    Trends in IR communication: A unified approach to amplifying your message

    • Successful IR need to be multi-faceted: What are the latest trends in digital shareholder communications?
    • Are you communicating like a company on the rise? Differentiate your messaging to increase investor engagement
    • Creating short, sharp, visual digital content and online stories via paid and social to raise your profile
    • Choosing the third-party tools that are right for you – what eases the pressure on time and budget?
    • Benchmarking and measuring the effectiveness of your current website, social campaigns, reports, webcasts, etc.

    David Collins, managing director, capital markets, Catalyst IR
    Jonathan Paterson, managing partner, Harbor Access

  • 14:00 PM
    Practical insights: Best practice from small cap companies

    • Being the c-suite’s go-to authority for shareholder communications: Being up-to-date with market intelligence
    • Attracting board members who are aligned with your vision and grow with your company
    • Doing more with less – what to stop doing, what adds value, budget best practice
    • Building long-term relationships with stakeholders who will play a key role in your success
    • Keeping stakeholders informed through the good and the bad – providing value with the bigger picture in mind
    • Realizing the benefits of being public: Managing growing pains as your company evolves and adapts to demands

    Tim Sedabres, SVP, corporate strategy, head of IR, finance, Banc of California
    Kurt Goddard, vice president – IR, FuelCell Energy
    Matt Horvath, director of investor relations, Stoneridge

  • 14:30 PM
    Round table discussions

  • 15:00 PM
    IR Masterclass: Crisis planning, communication and dealing with competition

    • Navigating sticky situations: How effective is your crisis management and press policy when things go wrong?
    • Communicating what drives value effectively in an uncertain market – building your story internally and externally
    • Budgeting for IP protection vs. everything else – what is the cost of competition?
    • The questions you need to be prepared for: What not to do when communicating performance
    • Keeping the c-suite on message: How to deal with senior management veering off script

    Scott Powell, executive VP and head of IR, VolitionRx and adjunct assistant professor, Fordham University
    Zack Irani-Cohen, CEO, Biomerica

  • 16:00 PM
    Awards ceremony & networking drinks reception

  • 17:00 PM
    End of event


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, 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 OTC Link ATS is operated by OTC Link LLC, member FINRA/SIPC and SEC regulated ATS.


Please click here to view our 2017 winners!

Best IR by a senior management team

Best IR by a senior management team

Best performance by an IR team, which can include a CFO, CEO or other c-suite professional that contributes to the IR function of your company.


  • Altus Group


  • Energold Drilling Corp

  • F&M Bank

  • IMPACT Silver Corp

  • Village Farms International

Best IR by a small-cap company
(under $500 mn)

Best IR by a small-cap company
(under $500 mn)

Best overall performance in investor relations for a small cap company whose market cap is under (US) 500 million. Have an outstanding IR website? Is your IR team on the cutting edge of technology? Use multimedia innovatively? Has your team gone above and beyond to support a recent corporate transaction? Tell us about it. Your company could be our next all-star!


  • Energold Drilling Corp

  • IMPACT Silver Corp

  • Meritage Hospitality Group

  • The OurPet's Company

  • Stoneridge


  • Suncrest Bank

Best IR by a small-cap company
($500 mn - 1 bn)

Best IR by a small-cap company
($500 mn - 1 bn)

Best overall performance in investor relations for a small cap company whose market cap is between (US) 500 million and 1 billion. Have an outstanding IR website? Is your IR team on the cutting edge of technology? Use multimedia innovatively? Has your team gone above and beyond to support a recent corporate transaction? Tell us about it. Your company could be our next all-star!


  • Banc of California


  • Harsco Corp

  • MPM Holdings

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 Tracy, IRC, Senior vice president & chief communications officer, Wright Medical Group

Julie Tracy is senior vice president and chief communications officer for Wright Medical Group, a global orthopaedic medical device company and recognized leader of surgical solutions for the extremities and biologics markets. As a member of the company’s executive team, she leads the investor relations and corporate communication functions and is responsible for developing and executing investor relations programs to support the valuation of the company’s stock and is Wright’s primary liaison with institutional investors and analysts. Wright Medical has been consistently recognized for its best-in-class investor relations programs. Ms. Tracy and Wright Medical were ranked #1 in Institutional Investor’s 2017 All-America Executive Team midcap rankings in the Life Science & Diagnostic Tools and Medical Supplies & Devices category. At the IR Magazine Awards – US 2017, Ms. Tracy was named Best IR officer in the small/mid cap category. At the 2014, 2015 and 2016 IR Magazine Awards – US, Wright Medical won the Grand Prix award for best overall small cap IR program, and Ms. Tracy was named Best IR officer in the small cap category. Ms. Tracy was also named the Global Top Small/Mid-Cap Investor Relations Officer in 2014 by IR Magazine.

Steve West, Investor relations leader & finance executive

Steve West, an investor relations leader, spent three years leading an award winning IR program at Panera Bread Co. Before his career in IR, he spent 10 years as a highly recognized sell-side analyst at ITG, Stifel Nicolaus and A.G. Edwards. Steve was also a financial analyst for Procter & Gamble.

Steve has won numerous awards, including Institutional Investors Best IR Professional- Restaurants, Institutional Investors Best IR Program- Restaurants. Wall Street Journal Best on the Street 2009- Restaurants, and Starmine Best Stock Picker 2009- Restaurants.

Rebecca Updegraph

Rebecca Updegraph is a senior executive interviewer at Rivel Research, where she specializes in investor relations market research. Prior to Rivel, she was vice president, marketing, and senior advisor, corporate strategy & market development, at OpenExchange, the virtual meeting platform for IR executives and the investment community. Before that, she was Director and Head, Investor Relations Services Group, at Deutsche Bank Depositary Receipts. Previously, Rebecca was investor relations officer for (TST). Earlier in her career, Rebecca held senior positions in business development and product management at leading IR service providers including Thomson Financial and CapitalBridge, and held positions at several IR counseling agencies, including Taylor Rafferty and Dewe Rogerson. A long-time member of the National Investor Relations Institute (NIRI), Rebecca is currently President of the New York chapter. She is a graduate of Princeton University, with an AB in Politics. She serves on the Meg Votta Memorial Scholarship Committee, which raises money to award scholarships to high school rugby players to help defray college expenses.

Ben Ashwell

Digital editor, IR Magazine

Julie Tracy

SVP & chief communications officer, Senior vice president & chief communications officer, Wright Medical Group

Steve West

Investor relations leader & finance executive

Rebecca Updegraph

President, NIRI New York Chapter

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Venue and location

Our inaugural 2017 was held at:

Fordham University – Gabelli School of Business
12th Floor Lounge
Lowenstein Building
113 West 60th Street New York, NY 10023


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