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 a lunchtime awards ceremony specifically tailored to small cap companies. The awards categories offer companies the opportunity to nominate, free of charge, for aspects of IR including best investor engagement and best investor relations (by market cap; micro and small-cap). More details 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 2020-2021
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
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 www.niri.org/certification.
To inquire about speaking at the 2020 forum, please contact [email protected] or call +44 20 3865 8103
Founder and chief executive officer
Director of investor relations
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.
Director of investor relations
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).
Senior vice president of investor relations and marketing
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).
Chief marketing officer
OTC Markets Group
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.
International small cap portfolio manager
The Royce Funds
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.
Senior portfolio manager – small cap
Foresters Investment Management
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.
Senior vice president, strategic growth
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.
Chief financial officer
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.
Director of investor relations
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.
Vice president of investor relations
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.
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).
Chief executive officer
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.
Senior vice president, domestic corporate services
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.
Chief executive officer
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.
Investor relations partner
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.
CEO and co-founder
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.
Each participant is someone with an established track record and a strategic IR role at a small or micro-cap company. 2019 attendees included:
|Job title||Company||Job title||Company|
|Analyst, corporate financial||RPT Realty||Executive assistant||Kadmon|
|CEO||Q BioMed||Investor relations||Safehold|
|CEO||Verb Technology||Manager of strategy, corp. development and investor relations||EnPro Industries|
|CFO||Smith-Midland Corporation||Manager, international small cap portfolio||The Royce Funds|
|CFO||Phunware||Manager, investor relations||Safehold|
|Co-founder, president||Intro-Blue||Senior director, investor relations||Veeco Instruments|
|Director, financial reporting||Bel Fuse||Sr. manager – IR & financial communications||Garrett Motion|
|Director, investor relations||Criteo||SVP, investor relations & marketing||Safehold|
|Director, investor relations||NAPCO Security Technologies||SVP, investor relations & treasurer||Titan International|
|Director, investor relations & corporate communications||Anterix||Vice president of finance||Bel Fuse|
|Director, investor relations & corporate communications||Kadmon||VP, investor relations||Iridium Communications|
|Director, IR||Constellium||VP, investor relations||Telaria|
|Director, IR||Nanobiotix||VP, treasurer||Glatfelter|
"The discussion on research options was great"
"The Forum was truly focused on small cap and micro cap, which is hard to find elsewhere. All the attendees including the speakers, panelists and audience are navigating same challenges and excitements, therefore even the sideway chat was very open and helpful. "
"The networking was great, as were the speakers. IR Magazine is savvy to shine light on what is usually an overlooked sector in small caps. "
"The event was very well organized, and incorporated a cross-section of experts that spoke to various aspects of IR."
"Great to spend some time with people at different ends of the IR experience spectrum, looking at how they approach challenges in the role"
"Fabulous opportunity to talk about topical issues relevant to IR professionals across sectors and to share ideas and experiences"
"Very interactive, I liked the opportunities to discuss in the groups"
"Always a really good event to attend. It's a good mix of subjects. Particularly liked the addition of the best practice case studies - it's always really valuable to hear the first hand experiences of others and some hints and tips of what works well and what doesn't"
"I like the intimate nature of the event as well as the interactive agenda"
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.
Details about the 2020 nomination process and deadlines will be announced shortly.
For our small cap awards, companies are given the opportunity to submit written entries, free of charge, to be put forward to a panel of expert judges made up of investment professionals and IR Magazine editorial members.
The judging process is made up of three simple phases:
Phase one: The IR Magazine editorial team reviews the entries and produces the shortlist.
Phase two: The shortlisted entries are shared with an independent judging panel of industry experts. The judges review each shortlisted entry and select their top two picks.
Phase three: The judges come together for a discussion to select the winners.
The judges’ votes are not made public, but their comments may be published in articles or reports after the event.
Details of the judging panel will be announced closer to the 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 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.
BTV is a TV production and Digital Marketing Agency that helps issuers increase brand awareness to a national retail and institutional investor audience through unique services including:
BTV – Business Television, a half-hour weekly investment program, profiling emerging Canadian and US companies brings investors information for their portfolio. With Hosts, Taylor Thoen and Jessica Katrichak, BTV is broadcast on BNN Bloomberg, US-Biz TV and Air Canada and interviews top analysts plus showcases companies at their location for an insightful business perspective.
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TV Branding / Awareness Ads – creative company spots broadcast on BNN Bloomberg and US Bloomberg.
For more information please visit www.b-tv.com
About Q4 Inc.
Q4 is a leading global provider of cloud-based investor relations and capital market solutions. Q4 empowers customers to be leaders in IR through innovative technology and exceptional customer service. Our comprehensive portfolio of communications and intelligence solutions, including websites, webcasting, stock surveillance, and IR Desktop arm industry professionals with the tools and insights required to run award-winning IR programs, make more effective decisions, and better engage with the investors. Q4 has offices in New York, Chicago, Toronto, Copenhagen, and London.
For more information visit www.q4websystems.com
Founded in 1969, NIRI is the professional association of corporate officers and investor relations consultants responsible for communication among corporate management, shareholders, securities analysts and other financial community constituents. NIRI is the largest professional investor relations association in the world with more than 3,300 members representing over 1,600 publicly held companies and $9 trillion in stock market capitalization.
For more information, please visit www.NIRI.org
The ‘corporate’ rate is reserved for IR professionals at publicly listed companies only. All others should book under the ‘non-corporate’ rate.
Please note that these are our early-bird prices and any bookings made after August 14, 2020 will be charged at the standard rate. If you have any questions, please contact Priscilla Lim at [email protected] or +44 20 8004 4989.
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