OTC Markets, New York
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
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.
Click on the session title below to view details. View agenda as a PDF here.
Breakfast and registration
Welcome to the forum
Ben Ashwell, editor, IR Magazine
Joseph Oltmanns, senior vice president, domestic corporate services, OTC Markets
SNAPSHOT: Impact of Mifid II – why having five analysts isn’t enough anymore
A short briefing to weigh up the pros and cons of company-sponsored research. Stay updated on the impact of global regulations on US companies and how changes to corporate access and research will affect IR teams.
Theodore O’Neill, chief executive officer, Litchfield Hills Research
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.
Ellen Cavaleri, director of investor relations, Kadmon
AJ Krick, chief financial officer, Smith-Midland
Joseph Oltmanns, senior vice president, domestic corporate services, OTC Markets
Jonathan Paterson, managing partner, Harbor Access
PRESENTATION: The value of corporate access – living in the Mifid II era
Kenneth Levy, vice president of investor relations, Iridium
PANEL: Getting sell-side coverage, expanding investor base with best practices and innovative approaches to targeting
At a time when fewer analysts are covering more companies, getting analysts engaged and expanding your investor base is tougher than ever before.
Noël Kurdi, director of investor relations, Nanobiotix
Loren Mortman, president, The Equity Group
Matthew Tractenberg, investor relations partner, Q4
David Whyte, chief executive officer and co-founder, Platform Group
Networking lunch and awards ceremony
PRESENTATION: Structuring an IR program – Resource allocation, priorities, challenges and lessons learned
Friederike Edelmann, director of investor relations, Criteo
PRESENTATION: Rebranding 101 – repositioning the company to attract the right investors
Jason Fooks, senior vice president of investor relations and marketing, Safehold
PANEL: Meet 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.
Evgeny Aleksandrov, founder and chief executive officer, Access Square (moderator)
James Harvey, international small cap portfolio manager, The Royce Funds
Steven Hill, senior portfolio manager – small cap, Foresters Investment Management
Keith Pinder, chief executive officer, Landon Capital
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.
Kristie Harkins, chief marketing officer, OTC Markets Group
Ian Koenig, senior vice president of strategic growth, Investis
Summary and networking drinks
Founder and chief executive officer
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.
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.
Each participant is someone with an established track record and a strategic IR role at a small or micro-cap company. This year’s attendees included:
|Attendee Company||Attendee Title||Attendee Company||Attendee Title|
|BTV||Account Executive||Safehold||Investor Relations|
|BTV||Account Executive||Safehold||Investor Relations|
|OTC Markets||Analyst, Compliance||Hudson Group||Investor Relations Officer|
|RPT Realty||Analyst, Corporate Financial||EnPro Industries||Manager of Strategy, Corp. Development & IR|
|OTC Markets||Associate Marketing||Intrado||Manager, Account|
|OTC Markets||Associate VP, Marketing||Zacks/SCR||Manager, Engagement|
|OTC Markets||Associate, Advisor Relations||The Royce Funds||Manager, International small cap portfolio|
|Victory Commercial Mgmt.||Associate, IR||Safehold||Manager, IR|
|OTC Markets||AVP, UX/UI Designer||Eventus Advisory Group||Managing Director|
|Sono Tek||CEO||Q4||Managing Director, Sales|
|Verb Technology||CEO||Noble Capital Markets||Managing Director, Technology|
|Q BioMed||CEO||HarborAccess||Managing Partner|
|Landon Capital||CEO||Weiskopf Silver & co||Managing Partner|
|Litchfield Hills Research||CEO||HarborAccess||Managing Partner|
|Stock Perks||CEO & Founder||FPI||Partner|
|Smith-Midland Corporation||CFO||Q4||Partner, IR|
|Phunware||CFO||The Equity Group||President|
|Irwin||Co – Founder & CEO||IHS Markit||Senior Associate|
|Irwin||Co – Founder & COO||Veeco Instruments||Senior Director, IR|
|Intro-Blue||Co – Founder, President||Foresters Investment Mgmt.||Senior Manager, small cap portfolio|
|Mithra Advisors||Consultant, Communications||Intrado||Senior OTC/TSXV/CSE Equities Specialist|
|Investis Digital||Specialist, Digital Strategy||Garrett Motion||Senior Manager, Financial Communications|
|Investis Digital||Director, Client Services, US||Laurel Hill Advisory Group||SVP|
|Grayscale||Director, Communications||OTC Markets||SVP, Domestic Corporate Services|
|OTC Markets||Director, Corporate Communications||Safehold||SVP, Investor Relations & Marketing|
|OTC Markets||Director & AVP||Titan International||SVP, Investor Relations & Treasurer|
|Bel Fuse||Director, Financial Reporting||Investis Digital||SVP, Strategic Growth|
|Grayscale||Director, Growth Marketing||The Equity Group||VP|
|NAPCO Security Technologies||Director, IR||Drive Shack||VP & Head of Investor Relations|
|Criteo||Director, IR||Bel Fuse||VP, Finance|
|Anterix||Director, IR||Investis Digital||VP, Client Partner|
|Kadmon||Director, IR||OTC Markets||VP, Corporate Relations|
|Constellium||Director, IR||OTC Markets||VP, Corporate Services|
|Nanobiotix||Director, IR||OTC Markets||VP, Corporate Services|
|Eventus Advisory Group||Director, Sales & Business||Iridium Communications||VP, IR|
|Kadmon||Executive Assistant||Telaria||VP, IR|
|Access Square||Founder & CEO||Q4||VP, Solutions Engineering|
|Safehold||Investor Relations||Glatfelter||VP, Treasurer|
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, we’re pleased to announce our winners.
Meritage Hospitality Group
NAPCO Security Technologies- WINNER
Hersha Hospitality Trust
Meritage Hospitality Group
ReproMed Systems- WINNER
The IR Magazine editorial team reviews all submissions, selects finalists in each category and sends judges those submissions. Judges review submissions for finalists individually. 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. For more information please contact [email protected]
Please find the bios of the Judges below:
Alexandra Deignan, Head of Investor Relations, Lazard
Alexandra Deignan is Head of Investor Relations at Lazard Ltd (NYSE: LAZ) based in New York. She has more than 20 years of experience in investor relations and strategic finance. Prior to Lazard, she developed and led investor relations programs for Schnitzer Steel Industries in the metals and mining industry and Curtiss-Wright Corporation in the aerospace and defense industry. Previously, she worked in the investment banking division of Salomon Smith Barney in the oil and gas group where she was responsible for executing global M&A and capital raising transactions. She holds an MBA from New York University and a Bachelors from the University of Texas at Austin.
Carol DiRaimo, Investment Relations Executive
Carol DiRaimo most recently served as Chief Investor Relations & Corporate Communications Officer at Jack in the Box Inc. from July 2008 until August 2019. Previously, she was Vice President of Investor Relations for Applebee’s International, Inc., where she was employed for 14 years and served in a variety of capacities, including financial planning & reporting, treasury and corporate analysis, before heading the investor relations function. Carol has over 30 years of experience in the restaurant industry and six years of public accounting experience at Deloitte. Carol has received numerous awards, including being named one of the top 30 global investor relations professionals over the past 30 years by IR Magazine in 2018. IR Magazine has honored Carol six times as Best Investor Relations Officer in the U.S. for a small- to mid-cap company. In 2017, Jack in the Box received awards for Best Overall Investor Relations Program (mid-cap) and Best in Sector: Consumer Discretionary by IR Magazine. In 2017 and 2018, Jack in the Box Inc. was recognized as one of the magazine’s Global Top 50 IR programs. Institutional Investor has named Carol to its All-America Executive Team 12 times, ranking her as the Best Investor Relations Officer by the sell-side for six consecutive years (2013 – 2018) as well as the Best Investor Relations Officer by the buy-side in 2016 and 2017. Institutional Investor also recognized Jack in the Box Inc. as one of America’s Most Honored Companies for five consecutive years (2015 – 2019).
Carol graduated summa cum laude from the University of Missouri with a BS in accountancy, and received a Bronze Medal on the CPA exam in 1983. She also earned an Executive Fellows MBA from Rockhurst University in Kansas City in 2004. From 2006 to 2011, Carol served on the Board of Directors of the National Investor Relations Institute. She has also served on the Board of Trustees of Rockhurst University from 2010 until 2019, and continues to serve on its audit committee.
Sri Maddipati, Vice President, Treasurer and Investor Relations, CMS Energy
Srikanth (Sri) Maddipati is Vice President, Treasurer and Investor Relations for CMS Energy and its principal subsidiary, Consumers Energy. He was elected to the position in 2016. He is responsible for managing corporate liquidity, financing and treasury operations, and maintaining relationships with investors, banks and rating agencies. He is also the Chair of the Benefit Administration Committee, which is responsible for the investment management of the employee benefit plans, including pension, 401(k), health care and life insurance. Maddipati joined CMS Energy in 2014 as Assistant Treasurer. In this position, Maddipati was credited with improving the company’s financial ratings and rating-agency relationships and reducing operating costs. He previously served as a Vice President in the Financial Institutions Group, Investment Banking, at Goldman Sachs in New York, N.Y. Maddipati also serves on the Investment and Finance Committee of the Ann Arbor Area Community Foundation and the advisory committee for the Ann Arbor Public Schools Education Fund. Maddipati earned a bachelor’s degree in engineering, and master’s degrees in engineering and business administration, from the University of Michigan.
Ben Ashwell, 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.
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.
CEO Clips are short company video profiles broadcast to a large audience of investors on TV and 15+ financial sites including Reuters, Yahoo! Finance, Bloomberg and Stockhouse.com. More than 2000 companies have been featured.
TV Branding / Awareness Ads – creative company spots broadcast on BNN Bloomberg and US Bloomberg.
For more information please click here
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
Investis Digital is an award-winning digital communications company. Founded in 2000, the company combines effective storytelling and engaging digital experiences with world-class performance marketing and cutting-edge technology to help businesses communicate clearly and authentically with any audience. Investis Digital’s 2,000 global clients, including Ascential, ASOS, Rolls-Royce, Tarte, Fruit of the Loom, and Wyndham trust the Investis Digital team of more than 550 employees to deliver stronger relationships with audiences and improved ROI through its Connected Content™ approach. For more information, please visit https://www.investisdigital.com.
Irwin is the only IR software platform specifically designed for small and mid-cap companies. Irwin’s suite of targeting, monitoring, and CRM tools are used by CFOs and IROs across a variety of sectors including energy, mining, pharmaceuticals, cannabis and consumer goods. Our customers have significantly improved their ability to attract new investors (both institutional and retail), in order to diversify their shareholder base. Irwin stands apart from other IR platforms due to a laser sharp focus on differentiated data, ease of use, cost effectiveness, and the ability to get your company in front of the best investors.
For more information, please visit https://www.getirwin.com
Landon Capital is a strategic Investor Relations firm that assists emerging growth companies by increasing shareholders and building relationships on Wall Street. We design customized programs to increase the market’s interest in your company. Our focus is creating relationships with Retail Brokers, Institutional and Family Offices that are capable to become a substantial equity partner with your public company.
Our process helps emerging growth companies establish an imprint that is one of a kind. Your business needs a solid and fundamental message to stay visible and attractive for investors seeking to invest in your company. This is because Investors take a keen interest in matching with a company whose values are matched with their own.
Our Management Team is made up of experts whose passion is to see its client be successful. We make our clients’ needs our top priority. Our team has a level of knowledge in many sectors like healthcare, technology/media/telecom, consumer products and financial services. At Landon Capital, our core skillset and capabilities are strategic IR counsel that includes issue management, transaction support, crisis communications and shareholder outreach.
Our delivery is the secret sauce, meaning that our process is quantitative. Every business uses a Sales Pipeline process to facilitate the achievement of desired results, except for the public traded equity portion of that business. Landon Capital applies a pipeline process for your company’s equity: We provide monthly data on dials, connects, presentations, conference calls and reported buying interest. We provide a sales pipeline outreach platform for small and micro-cap companies and ETF’s with repeated, personalized, educated, and professional contacts. Our process works by providing access to long-term, sophisticated shareholders through their trusted advisors.
For more information please visit: https://www.landoncapital.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.
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
Intrado Digital Media connects people and organizations at the right time and in the right ways, making mission-critical communications more relevant, engaging, and actionable.
Our suite of solutions advances the way companies engage with employees, customers, investors, and the media with the world’s only end-to-end communications workflow that allows you to listen, create, connect, deliver, amplify, and measure.
IR communications solutions:
· GlobeNewswire Distribution
· Webcasting and Streaming
· IPO Packages
· Whistleblower Hotline
Learn more at www.intrado.com/digital-media
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
SmartMoneyMatch connects the global investment community.
It’s free to use and offers the following opportunities. Go to:
• SmartMoneyMatch.com/investments to browse and to list investment products.
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Additionally, all users have a company and a personal profile page where their activities or offerings—as an asset manager, investor, or service provider—are displayed.
Register now free on https://www.SmartMoneyMatch.com
Given the scarcity of clear disclosures from small cap...
Some feel regulation offers opportunities for small caps...
By adhering to high governance standards, small-caps...
TRENDS AFFECTING IR AT SMALLER COMPANIESDownload your free briefing pack here
This year’s forum is hosted by OTC Markets and will take place at their corporate headquarters, in New York City:
300 Vesey Street
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.