The articles listed below are a small sample of our content.  Click the button below to view the expansive library available exclusively to SCI members.

PUBLIC CONTENT

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

Small-Cap Institute’s 2020 Diversity Report

Small-Cap Institute’s 2020 Diversity Report

by Small-Cap Institute Small-Cap Institute’s board diversity initiative is designed to educate small-cap boards about how to efficiently locate board candidates with greater thought diversity. Many experienced small-cap investors concur that boards that are comprised...

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Three Characteristics of Companies That Successfully Uplist

Three Characteristics of Companies That Successfully Uplist

In any given year, dozens of publicly traded companies move to Nasdaq and NYSE from other trading venues in the United States; i.e., they “uplist.”  Uplisting can be a transformative event for a publicly traded company for all the same reasons a traditional IPO can...

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Comprehensive Overview of Small-Cap Financing Structures

Comprehensive Overview of Small-Cap Financing Structures

By Adam J. Epstein[1]For 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 common types of small-cap equity and equity-linked...

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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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