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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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