IR Magazine Forum – Small Cap
Trends and best practices

Ellen Cavaleri is Director of Investor Relations at Kadmon, a biopharmaceutical company in New York where she manages investor, sell-side and corporate communications, including during the company’s 2016 IPO. Prior to Kadmon, Ellen was a senior associate at the Corkery Group, a health communications firm, where she advised Gilead Sciences on its communications strategy. Ellen graduated magna cum laude from Vanderbilt University.

Friederike Edelmann joined Criteo’s investor relations team in January 2015. She’s responsible for Criteo’s institutional investor program in North America.

Before joining Criteo, Ms. Edelmann was with cyber-security company Finjan as Director Investor Relations. Prior to that, she was VP Investor Relations at beauty company Coty where she was responsible for the company’s IPO in 2013. From 2002 to 2012, Ms. Edelmann was with SAP, where she headed SAP’s communication with socially responsible investors (SRI) and the company’s individual investor program. Prior that, she was with insurance company Mannheimer Versicherung as Specialist Investor and Public Relations, technology start-up InterComponentWare as Head of Public and Investor Relations, and SAP’s consulting partner RealTech holding several positions in marketing, public relations and investor relations.

Ms. Edelmann received a Bachelor of Business Administration – Dual Degree from Accadis Business School in Germany and Florida Atlantic University (FAU) as well as a Master’s Degree from GSBA Zurich, Switzerland. She holds a Certificate in Investor Relations from New York University (NYU).

Jason Fooks is the Senior Vice President of Investor Relations & Marketing since Safehold’s (NYSE: SAFE) IPO in June 2017 and subsequent rebranding in February 2018. He is also the Senior Vice President of Investor Relations & Marketing at iStar (NYSE: STAR), SAFE’s founder and external manager, and has worked there since 2006. Fooks is responsible for communicating the company’s strategy, growth opportunities, and business initiatives to shareholders and the investor community. Prior to that, he worked in Capital Markets Intelligence at Thomson Financial (now NASDAQ) from 2003 to 2006. Fooks received an MBA from the Columbia Business School at Columbia University and received a BA in Economics from Brandeis University. Fooks has worked in the financial markets for the entirety of his career and is a long standing member of the National Institute of Investor Relations (NIRI).

Kristie Harkins is OTC Markets Group’s Chief Marketing Officer. She is responsible for continuing the transformation of the OTC Markets Brand and stewardship of all its marketing and PR initiatives. Kristie brings over 15 years of advertising experience from her tenure at Saatchi & Saatchi, a preeminent global advertising agency. In her previous account leadership roles she partnered with industry giants including Procter & Gamble, Novartis and GSK, as well as smaller challenger brands, on all facets of their consumer communication. Kristie received her bachelor’s degree from Siena College.

James Harvey has over 20 years of experience investing in the global small cap space. He has met with over one thousand CEO’s, CFO’s, company founders, entrepreneurs, board members and investor relations heads from more than 60 countries across developed and emerging markets. He has a strong familiarity with local business dynamics and market structures around the world. He holds a bachelor’s degree from the State University of New York at Albany and a Masters of Business Administration from New York University. Mr. Harvey is a CFA® charterholder.

Steven is a Senior Portfolio Manager on the U.S. Equities team at FIMCO and joined the firm in 2002. Previously, he was an investment banker specializing in M&A for Credit Suisse, HSBC and UBS Warburg. Steven has been in the financial services industry since 1992. He graduated magna cum laude from the University of California at San Diego with a B.A. in mathematics. He has an M.B.A. in finance from the Wharton School at the University of Pennsylvania.

As a founding member of Investis Digital’s North American operations, Ian is an integral member of the executive management team. Instrumental in growing Investis Digital’s US revenue more than twenty-fold over the past four years, Ian also continues to help shape overall market strategy and identifying new products for unmet client and market needs.

As a digital advisor and trusted partner to many of Investis Digital’s strategic accounts, including The Estee Lauder Companies, WWE, Jet.com, and Apollo Global Management, Ian excels at understanding and identifying complex digital needs for sophisticated companies, both large and growing, and delivers them in a manner that leads to future collaboration.

AJ Krick is the Chief Financial Officer & Head of Investor Relations at Smith-Midland Corporation (OTCQX: SMID). AJ is a licensed CPA with 15 years of experience working with executives and management teams to improve processes and provide cost savings. He holds a Bachelor of Business Administration degree in Accounting from James Madison University. AJ is currently a member of the OTCQX Advisory Council.

Noël Kurdi joined Nanobiotix in 2016 with a diverse background in investor relations, capital markets, and financial communications. Prior to joining the Nanobiotix team, Noël worked at the Trout Group where she provided strategic investor relations counsel to US based and multinational biotech companies seeking access to the US and international capital markets. She has strong relationships with local and international investors as well as the sell-side and investment bank community.

Prior to joining Trout, Noël worked in Equity Sales at Brean Capital providing investment trends and market insights covering equities in healthcare (med-tech/bio-tech), utilities, and energy sectors to institutional clients in the US and Europe. She previously held investor relations and business development roles at J.C. Flowers & Co., W. P. Carey, and AIG Global Real Estate Group where she participated in the successful sale of AIG’s multi-billion dollar international fund platform.

Noël holds an MBA in Finance and Marketing from the Fordham Graduate School in Business and a BBA in International Business and Marketing from The George Washington University. She is a member of the National Investor Relations Institute and is also a committee member of Seeds of Peace, a non-profit, non-political organization that helps children from regions of conflict learn the skills of making peace.

Kenneth Levy is the Vice President, Investor Relations for Iridium Communications Inc., the only company that offers truly global voice and date coverage. In this role, Mr. Levy is responsible for leading institutional outreach and investor communications for the company, as well as delivering market intelligence and financial analysis to Iridium’s executive leadership team. Mr. Levy began his career in the capital markets with work in structured financial derivatives and as an equity analyst. He earned a Master of Business Administration from the University of North Carolina at Chapel Hill and a BBA from the University of Texas at Austin.

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 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.

Joseph Oltmanns leads the Domestic Corporate Services group at OTC Markets. In this role, he works with public and private companies to better understand their needs and objectives to maximize investor engagement. Prior to OTC Markets, Joe was Director of Listing & Client Services at NYSE Amex where he consulted with various companies seeking to list on a national exchange. Joe has an MBA from Fordham University and a BS from Villanova University.

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.

Keith Pinder has been a senior executive for several Investor Relation Firms over the last 7 years. Currently the Chief Executive Officer of Landon Capital where he provides a plethora of publicly traded companies a quantitative process to help them increase exposure.

Mr. Pinder is also a published author or the book, Nothing Moves Unless It’s Sold. In this book he details this quantitative sales approach that he utilizes to create exposure for his clients. Keith Pinder is a public speaker on sales, branding, corporate messaging and strategy. He holds a B.A in Business at Morgan State University. Born in Baltimore MD, He has now resided in Atlanta where he founded Landon Capital.

Matt Tractenberg has been a senior executive providing finance and Investor Relations services to public companies, including Cisco Systems and Belden, for more than 20 years. Currently, Matt is the Investor Relations Partner at Q4, delivering IR advisory services to clients through an innovative solution titled the IR Success Platform. Previously, he served as the Vice President of Investor Relations at WestRock, US based provider of paper and packaging solutions with sales exceeding $20 billion annually.

Mr. Tractenberg has held a variety of finance roles and IR roles at companies across a variety of sectors including technology, industrial, and basic materials. He is a regular public speaker on corporate strategy, financial market structure, and corporate positioning. He holds a B.S. in Accountancy and an MBA specializing in Financial Management & Markets. Born and raised in New York, he now lives in Atlanta with his wife Paige and two children.

David is a capital markets professional with experience in both investment banking and institutional equity sales. Prior to Platform Group, he spent several years on the equity sales & trading desk at Credit Suisse focusing on connecting public companies with institutional investors. David co-founded the company after witnessing the difficulty that companies experience in accessing meaningful data and engaging with investors. David is a CFA Charterholder and graduated from Wilfrid Laurier University with a BBA in Finance & Economics.

Ben Ashwell is the 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.