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PUBLIC CONTENT

The Systemic Dilemma for Small-Cap Service Providers

The Systemic Dilemma for Small-Cap Service Providers

A recent piece in The Wall Street Journal eluded to a fascinating insight: “Companies appear to avoid hiring auditors that have a history of critical audits at other companies…”  Every experienced investor knows that this phenomenon is not solely limited to auditing....

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CEO Corner with Garry Ridge, CEO of WD-40 Company

Small-Cap Institute's Amanda Gerut interviews WD-40 CEO, Garry Ridge. Mr. Ridge is president and chief executive officer of the WD-40 Company (NASDAQ:WDFC). WD-40 Company is the maker of the ever-popular WD-40, as well as 3-IN-ONE Oil, Solvol and Lava heavy duty hand...

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SCI Insights: Candid, Off the Record Q&A with an Institutional Investor & Board Member

SCI Insights: Candid, Off the Record Q&A with an Institutional Investor & Board Member

Public company boards, whether they are listed or not, are supposed to be selected predominantly by independent board members that make up the nominating/governance committee of a board. Sadly, in most small-cap companies, it’s the CEO who personally selects board members. Since board members are supposed to oversee the manner in which the CEO and others operate the company, it’s a glaring problem, as friends don’t typically do a great job objectively overseeing their friends.
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An M&A Process That Creates Value: What Every CEO Should Know (Part 1 of 3 – Planning and Strategy)

An M&A Process That Creates Value: What Every CEO Should Know (Part 1 of 3 – Planning and Strategy)

Organic growth can be slow and hard to come by. In sectors that are periodically most affected by political uncertainty, trade disputes, and other geopolitical changes, customers can end up deferring their buying decisions, which makes new revenue elusive. In other instances, revenue expansion requires substantial investment in R&D that may not pay off for years. Sometimes, growth is constrained by the inability to attract needed talent or the absence of important intellectual property. With growth an imperative, some small-cap CEOs turn to mergers and acquisitions (M&A) as a solution.
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What Most Small-Cap Leaders Get Wrong About Trading Volume

What Most Small-Cap Leaders Get Wrong About Trading Volume

Few things matter more to thousands of small-cap companies than trading volume. And yet, few aspects are more misunderstood. This article discusses five critical concepts about trading volume that small-cap officers and directors routinely misunderstand, hurting shareholders in the process (including, financings, M&A, where trading volume comes from, and where it doesn’t come from).
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SUBSCRIBER CONTENT

Comprehensive Overview of Small-Cap Financing Structures

Comprehensive Overview of Small-Cap Financing Structures

Comprehensive Overview of Small-Cap Financing Structures[1] By Adam J. EpsteinFor both new and experienced small-cap officers and directors, the menu of potential financing structures can be somewhat intimidating.  The purpose of this article is to explain the most...

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Why Investors Care So Much About Who Is On Your Board

“… [E]xecutives who view boards as a nuisance only undermine themselves and the company’s prospects for long-term growth.” Larry Fink, CEO, BlackRock (January 2018) “… [T]he long-term prosperity of millions of American workers, retirees and investors depends on the...

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Non-Deal Roadshows: A Primer

by James CarbonaraWhat is an NDR (non-deal roadshow)A non-deal roadshow, or NDR, is a series of investor meetings not associated with an active deal or active financings. That said, if you raise money in the future, investors you meet with on an NDR are potentially...

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Selecting ATM Bankers

At-the-market offerings (ATMs) are unique financing mechanisms, because stock is sold intraday – without a fixed price – into the natural flow of trading.  Unlike other financing mechanisms, ATMs provide issuers with a high degree of control over the timing, size, and...

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