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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...
The Road to Successful Financings Is Paved with Brutal Frankness
Small-cap companies raise $25-$40 billion every year in the equity capital markets, and every special situation fund manager that provides this growth capital would confide in private that most of the financings are needlessly dilutive. The systemic problem is that...
Sell-Side Equity Research Coverage: Clarifying Persistent CEO Misconceptions
One of the least understood aspects of shepherding a small-cap company is garnering and maintaining sell-side equity research coverage. The goal of this piece is to clear up commonly-held misconceptions. Attracting coverage Economics. One of the main reasons why...
Few Small-Cap CEOs Understand This Math, And It Costs Them Millions
As Small-Cap Institute, Inc. has discussed, there is widespread confusion among small-cap leaders on the subject of trading volume; i.e., where it actually comes from, where it doesn’t come from, and how to get more of it. One of the most insidious byproducts of this...
How Sell-Side Research Analysts Make Money: An Insider’s Primer for Small-Cap Officers and Directors
By Shawn SeversonSmall-cap officers and directors often understandably lack a thorough understanding of the “business” of sell-side equity research. Without an accurate rendering of the drivers and economics of the research business, it’s hard to have realistic...
5 Common Mistakes Small-Caps Make When Purchasing D&O Insurance
By Priya Cherian HuskinsD&O insurance, the insurance that is designed to respond when directors and officers are sued by plaintiffs or regulators like the Securities and Exchange Commission, is important for small cap companies. D&O insurance’s ability to do...

Moving Beyond 5 Common Cybersecurity Myths to the Real Goal: Resilience
Ben Cotton and Mike McGlynnCybersecurity is in the news daily due to high profile breaches at companies like Equifax, Marriott, Yahoo, and Sony. But despite endless media commentary and best practices memos from professional service firms, misinformation still reigns...

10 Social Media Ground Rules for Small-Cap CEOs
Social media is a vexing landscape for senior executives. There can be material benefits, but also equally daunting risks. As is evident from the fact that many Fortune 500 leaders don’t partake, there are no right answers. For those small-cap CEOs who are so...

Navigating the Twists and Turns of Director and Officer Risk Today
Priya Cherian HuskinsWhile it is true that large cap companies are sued more frequently than small cap companies, directors of small cap companies are right to be thoughtful about the litigation risks they face. What follows is a round-up of current issues. Securities...

Why Small-Caps Are Often A Better Target For Cyber Criminals
The overwhelming percentage of media coverage regarding cyber crime is on large-cap companies. While understandable, media focus distorts a reality that small-cap officers and directors are learning the hard way: small companies are often much more attractive targets to hackers than larger companies.