Tuesday, November 1, 2011
8:00 - 8:45 AM
Registration, Breakfast & Networking
8:45 - 9:00 AM
The State of the Market
Speaker:
- BRETT GOETSCHIUS, DealFlow Media
9:00 - 9:50 AM
A New Era of PIPE Investing: Direct Investments, New Comp Structures for Fund Managers, PIPEs as Permanent Capital
This group of experts will discuss direct investments, new compensation structures for fund managers, PIPEs as a form of permanent capital, and where fund managers believe this new era of PIPE investing is headed
This group of experts will discuss direct investments, new compensation structures for fund managers, PIPEs as a form of permanent capital, and where fund managers believe this new era of PIPE investing is headed
Moderator:
- DAVID BORAL, John Carris Investments
Speakers:
- MICHAEL FINKELSTEIN, Whalehaven Capital
- DAVID KROIN, Great Point Partners
- MITCH LEVINE, Enable Global Capital
9:50 - 10:40 AM
Registered Directs, CMPOs, Follow-ons and Other Small Cap Capital Formation Tools
Registered Directs, CMPOs and follow-ons provide the benefits of private placements while meeting the regulatory and exchange requirements of public offerings. This panel explores the elements of these transactions, reasons why companies are utilizing these structures, and the future of the market.
Registered Directs, CMPOs and follow-ons provide the benefits of private placements while meeting the regulatory and exchange requirements of public offerings. This panel explores the elements of these transactions, reasons why companies are utilizing these structures, and the future of the market.
Moderator:
- ELE KLEIN, Schulte Roth & Zabel
Speakers:
- STUART BRESSMAN, Proskauer Rose
- RICHARD GORMLEY, Lazard
- MICHAEL MALINE, Goodwin Procter
- TRACEY ZACCONE, Paul, Weiss, Rifkind, Wharton & Garrison
10:40 - 11:00 AM
Networking Break
11:00 - 11:50 AM
New Regulations and Issues facing Small and Emerging Companies
This panel will focus on recently proposed legislation that will affect capital formation for small and emerging companies. This legislation will determine how these companies will be able to access capital going forward and what it will mean for the public markets.
This panel will focus on recently proposed legislation that will affect capital formation for small and emerging companies. This legislation will determine how these companies will be able to access capital going forward and what it will mean for the public markets.
Moderator:
- MARK WOOD, Katten Muchin Rosenman LLP
Speakers:
- STACIE MCGINN, Simpson Thacher & Bartlett LLP
- VINCENT MOLINARI, GATE Technologies
- DAVID PENTLOW, Katten Muchin Rosenman LLP
11:50 - 12:40 PM
Stock Lending, Equity Lines, Debt Investments and Peripheral Deal Structures for Investors
This panel tackles the key issues involved with these deal structures, while comparing what might be the wisest course of action in todays marketplace.
This panel tackles the key issues involved with these deal structures, while comparing what might be the wisest course of action in todays marketplace.
Moderator:
- RICK WERNER, Haynes and Boone
Speakers:
- ADAM CABIBI, Midsouth Capital
- PAUL GORSKI, Roswell Capital Partners
- MICHAEL HARTSTEIN, Palladium Capital Advisors LLC
12:40 - 1:40 PM
Networking Luncheon
1:40 - 2:30 PM
Understanding the Issues Relating to the Clearing of Securities and the DTC
This panel of experts will look at how the clearing of securities remains one of the greatest obstacles in the PIPE market today.
This panel of experts will look at how the clearing of securities remains one of the greatest obstacles in the PIPE market today.
Moderator:
- JUSTIN KEENER, JMJ Financial
Speakers:
- JOHN FIFE, Chicago Ventures
- STEVEN NELSON, Continental Stock Transfer
2:30 - 3:20 PM
How the 'Attack' on Reverse Mergers Might Affect Small Company Capital Formation
This session will gauge the possible impact on the marketplace for small companies looking at APOs as the path to going public. These panelists will dissect how recent news might have an effect going forward and to ensure that the information that investors receive is valid.
This session will gauge the possible impact on the marketplace for small companies looking at APOs as the path to going public. These panelists will dissect how recent news might have an effect going forward and to ensure that the information that investors receive is valid.
Moderator:
- ADAM GOTTBETTER, Gottbetter & Partners
Speakers:
- JUSTIN CANIVET, TSX / TSX Venture Exchange
- MARK ELENOWITZ, TriPoint Global Equities, LLC
- MITCH NUSSBAUM, Loeb & Loeb
3:20 - 3:40 PM
Networking Break
3:40 - 4:30 PM
Creative Structures for Getting Deals Done in a Challenging Environment
With recent market turmoil causing widespread change across every sector, this panel examines what has changed in deal structure and how deals are getting done in this new environment.
With recent market turmoil causing widespread change across every sector, this panel examines what has changed in deal structure and how deals are getting done in this new environment.
Moderator:
- JACK HOGOBOOM, Lowenstein Sandler
Speakers:
- STEVEN HART, Octagon Capital Partners
- WILLIAM HICKS, Mintz Levin
- STEVEN SKOLNICK, Lowenstein Sandler
4:30 - 5:20 PM
Happy Hour - Sponsored by
This panel discusses the industrys increasingly innovative use of social media, and the regulatory hurdles that these new uses face in marketing deals and promoting stocks.
Moderator:
- TRACEY ZACCONE, Paul, Weiss, Rifkind, Wharton & Garrison
Speakers:
- STEVEN ANGEL, MDM Worldwide Solutions
- CROCKER COULSON, CCG Investor Relations
- RICH FRIEDMAN, Sichenzia Ross Friedman Ference
5:30 - 7:00 PM
Cocktail Reception
Wednesday, November 2, 2011
8:00 - 9:00 AM
Registration, Breakfast & Networking
9:00 - 9:50 AM
The Impact of Dodd-Frank on PIPE Investing, Venture Capital, and Fund Reporting
The passing of a financial reform bill will have a widespread impact on all aspects of the Wall Street community. This panel covers the new Dodd-Frank legislation and how it will affect new investments, institutional investment funds and venture capital.
The passing of a financial reform bill will have a widespread impact on all aspects of the Wall Street community. This panel covers the new Dodd-Frank legislation and how it will affect new investments, institutional investment funds and venture capital.
Moderator:
- RICHARD SWANSON, Arnold & Porter, LLP
Speakers:
- SAM KRIEGER, Krieger & Prager
- STEVE NELSON, The Nelson Law Firm, LLC
9:55 - 10:45 AM
Discussion of the BX Venture Market vs. OTC Markets vs. The Bulletin Board
This panel examines the structure of these three marketplaces and how they will affect market makers and investors that trade small and micro-cap securities on various platforms.
This panel examines the structure of these three marketplaces and how they will affect market makers and investors that trade small and micro-cap securities on various platforms.
Moderator:
- ROBERT CASTLE, Northland Capital Markets
Speakers:
- CROMWELL COULSON, OTC Markets
- BOB MCCOOEY, NASDAQ OMX Group
10:45 - 11:05 AM
Networking Break
11:05 - 11:55 AM
Litigation Involving Chinese Issuers
This session discusses due diligence techniques, differences in reporting practices, working with third-party experts, and various ways to assess companies within the context of reframing the Chinese issuer marketplace for new primary market transactions and secondary trading opportunities.
This session discusses due diligence techniques, differences in reporting practices, working with third-party experts, and various ways to assess companies within the context of reframing the Chinese issuer marketplace for new primary market transactions and secondary trading opportunities.
Moderator:
- CARYN SCHECHTMAN, DLA Piper
Speakers:
- DAVID BUKZIN, Marcum LLP
- XIAOMIN CHEN, DeHeng Law Offices
- HOWARD PRIVETTE, Paul Hastings
12:00 - 1:00 PM
How to Trade Halted Stocks and Dealing with Trading in Illiquid Stocks
This panel will look at how to best determine the value of illiquid or halted securities, the legalities of trading these securities and what it all means to your portfolio.
This panel will look at how to best determine the value of illiquid or halted securities, the legalities of trading these securities and what it all means to your portfolio.
Moderator:
- DAN LONKEVICH, DealFlow Media
Speakers:
- DAVE DONOHOE, Donohue Advisory Associates LLC
- LOU TAUBMAN, Hunter Taubman Weiss LLP
1:00 - 2:00 PM
Networking Luncheon
2:05 - 2:55 PM
Re-IPO Techniques including Follow-ons, Delistings/Relistings and ADRs
This segment focuses on delisting shares on a US market and subsequent relisting on a foreign market, conducting ADR issuances, and completing fully-marketed follow-on offerings in order to repackage a company as a re-IPO.
This segment focuses on delisting shares on a US market and subsequent relisting on a foreign market, conducting ADR issuances, and completing fully-marketed follow-on offerings in order to repackage a company as a re-IPO.
Moderator:
- JOE SMITH, Ellenoff, Grossman & Schole
Speakers:
- JEFF HOUSTON, GBH CPAs
- THOMAS FOLEY, Xpert Financial
3:00 - 3:55 PM
How Investors in PIPEs should be Positioned to Raise Capital from Pensions, Trusts and Non-Fund of Fund Institutions
This panel will discuss some smart alternatives for raising capital and the most pressing issues that investors encounter in today's climate to access non-institutional funds.
This panel will discuss some smart alternatives for raising capital and the most pressing issues that investors encounter in today's climate to access non-institutional funds.
Moderator:
- ARIEL IMAS, du Pasquier & Co., Inc.
Speakers:
- BRAD ACKERMAN, Hull Capital Management
- CHRISTOPHER COLLEGE, Stifel Nicolaus Weisel
- Additional Panelists TBA
4:00 PM
Closing Remarks
Register Now
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