IR Magazine

IR Magazine Forum & Awards – Small Cap
Trends and best practices

Thursday, September 26, 2019

OTC Markets, New York

About the event

The IR Magazine Forum & Awards – Small Cap US is a best practice event on effective shareholder communications designed exclusively for CEOs, CFOs, IROs and advisors from small and micro-cap companies. Spanning multiple industries, the one-day conference focuses on the unique 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 2019-2020
  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

Forum: Agenda

Click on the session title below to view details. View agenda as a PDF here.

  • 08:45 AM
    Breakfast and registration

  • 09:15 AM
    Welcome to the forum

  • 09:30 AM
    SNAPSHOT: Briefing on the macroeconomic and financial trends impacting small and micro-cap companies

    A short and sharp economic briefing will set the scene for the day’s discussions. Take stock of where we are right now, where we could be heading and what it means for investor relations activities.

    • Understand forecasts for economic factors and what they mean for investor sentiment and smaller public companies
    • Stay updated on the impact of regulations and how changes to corporate access and research will affect IR teams
    • Take away how you can improve your targeting by gaining a better understanding of an investor’s appetite for risk
  • 09:45 AM
    PANEL: Building a long-term strategy: How can IR and senior management effectively work together?

    Small and micro-cap companies need to build a strong foundation for their IR strategy that looks five years ahead, rather than one or two. In this session, we will discuss where you should focus your efforts.

    • Discuss what you should factor into your strategy to keep it in line with macro changes such as economic highs and lows, index investing, ESG expectations and policy changes
    • Set the scene: Get your short and mid-term shareholder analysis and targeting strategies in place so that your stock is attractive to the shareholders you want to have five years from now
    • How can you divide and conquer IR responsibilities with your executive team? What does your aspirational shareholder base look like and how can you achieve that?
    • How can IR help drive long-term strategic growth with input into M&A strategies?
  • 10:30 AM
    Refreshment break

  • 11:00 AM
    PANEL: Amplifying your message and measuring impact with social media best practices

    Busy IROs with time and resource pressures are turning to digital media to amplify their investment story. The tricky bit is engaging investors and measuring ROI.

    • Discuss practical steps you can take to formulate your equity story and ensure consistent and accurate financial communications across all digital channels
    • Explore the essential IR toolkit for the modern IRO, including a range of free and paid-for analytics tools that help you measure the impact of your outreach to investors, analysts and financial press
  • 11:30 AM
    PANEL: Getting additional sell-side coverage, expanding investor base with innovative approaches to targeting

    At a time when fewer analysts are covering more companies, keeping analysts engaged and expanding your investor base is tougher than ever before.

    • The need for analyst coverage and how to get it: Debate the pros and cons of paid-for research
    • How can IR teams better access the different pools of capital out there – such as retail investors and family offices?
    • Note how you can evaluate your targeting activities – what adds value and what doesn’t
    • Explore how cross-trading for international companies improves liquidity
    • How IR can maximize management’s time on the road through thoughtful broker selection
    • Should a small cap host an analyst/investor day? What is the cost/value proposition?
    • Creating memorable meetings and challenging the sell side to think out of the box when finding new investors
  • 12:30 PM
    Networking lunch and awards ceremony

  • 13:45 PM
    PRESENTATIONS: Case studies from successful heads of IR at small and micro-cap companies

    • Preparing to go global: Domestic challenges vs international challenges and how to avoid common mistakes
    • Getting the most value out of your external advisers: How to select and save time without compromising on quality
    • Demonstrate value of IR: Quantitative and qualitative metrics to measure IR success
    • Financial reporting guidelines, earnings calls dos and don’ts and shareholder meetings best practices
    • Benchmark your IR program with results from IR Magazine’s global research surveys: IR resources, budgets, outsourcing, time spent on IR by senior management and much more
  • 15:00 PM
    PANEL: Meet the analysts and portfolio managers: What do investors want from small-cap companies?

    Hear from a panel of small and micro-cap investors and analysts about what they most desire from IR teams.

    • Investor perceptions on macro issues: How do investors view 2019-2020?
    • What critical factors and risks do investors look for when making buy, sell and hold decisions?
    • What changes does the investment community expect to see following Mifid II implementation?
    • Hear examples of what investors and analysts feel sets an IR program apart from its peers
    • Gain insight into how analysts build their models and use technology – and how you can better communicate value
  • 15:45 PM
    PANEL: Governance 101: Basic governance standards for smaller companies

    Investor stewardship is a rapidly developing trend and adhering to high governance standards can enable small caps to operate more efficiently and attract new investment.

    • Explore basic practices you can implement, including introduction of independent directors and board committees
    • Corporate governance outreach: How to engage responsible investors that are significant shareholders
  • 16:15 PM
    Summary and networking drinks

Who attends?

At this event, each participant is someone with an established track record and a strategic IR role at a small or micro-cap company. Some of our past attendees include:

Title Company Title Company
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 small-cap awards provide a fantastic opportunity to ensure your team or client is recognized and acknowledged by the investment community, for their great achievements and successes over the past year.

Thank you  for your nominations, entries are now closed. Shortlisted nominees will be announced shortly. Good luck!!!

Best investor engagement

Best investor engagement

This category is intended to recognize excellence and innovation in investor engagement, whether that is through hosting an analyst day, participating in investor conferences, hosting on-site meetings or using technology in an innovative way to engage investors.

Best IR by a micro-cap company (less than $500mn)

Best IR by a micro-cap company (less than $500mn)

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.

Best IR by a small-cap company ($500mn - $2bn)

Best IR by a small-cap company ($500mn - $2bn)

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.

Best IR by an OTC-traded company

Best IR by an OTC-traded company

This award recognizes the efforts of OTC-listed companies in investor relations practice and is judged on their efforts to uphold good governance, communicate with and engage their shareholders. With more than 6,000 small and micro-cap companies trading across all OTC markets, this award aims to recognise companies that have gone above and beyond to sustain investor interest, retain shareholder loyalty and build long-term shareholder value.

The judging process is made up of three simple phases:

Phase 1: The IR Magazine editorial team reviews all submissions, selects finalists in each category and sends judges those submissions.

Phase 2: Judges review submissions for finalists individually.

 Phase 3: Judges come together to discuss all finalist submissions and determine the winners in each category.

The judges scores will not be shared with nominees, however, comments may be published in articles or reports after the event. The judges are not required to make comments against every submission. This year’s judging panel will be announced shortly.

For more information please contact [email protected]

Sponsored by

Get involved: Sponsor opportunities

Our forum and awards provides a unique opportunity to get in front of some of the most influential people in small and micro-cap investor relations. As a sponsor, you will gain extensive amount of exposure through a wide range of print and digital marketing materials, both pre and post event, as well as on the day itself. Additionally, you can use the event to showcase your expertise in the area, align yourself with IR excellence and network with key decision makers from across the US.

Sponsoring the event will provide:

  • A chance to network with qualified, senior decision-makers in the IR community
  • Increased awareness and credibility through association with the region’s leading conference and awards
  • New business opportunities through higher-brand presence among current and potential clients
  • The chance to entertain clients at the most respected event of the year for small and micro-cap companies
  • An opportunity to educate an influential and affluent audience about your products and services

To find out more about the benefits of sponsoring and the various packages available, email Brigitte Toledano or call on +1 212 430 6861.

Venue and location

This year’s forum is hosted by OTC Markets and will take place at their corporate headquarters, in New York City:

OTC Markets
300 Vesey Street
New York
NY 10282

Looking for the perfect place to stay before or after the event? Why not try our exclusive HotelMap to browse real-time room rates of hotels close in proximity to OTC Markets.

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NIRI IRC® credential

Holders of the NIRI IRC® credential can earn up to 4 professional development units (PDUs) per day. IRC-credentialed speakers may also earn PDUs. More information is available at

Book your place

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]

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