Adam J. Epstein of Third Creek Advisors to Speak at SEC Market Structure Roundtable

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San Francisco, Calif. April 18, 2018—Adam J. Epstein, founder of Third Creek Advisors, LLC, will be a panelist at the Securities and Exchange Commission (SEC) Roundtable On Market Structure For Thinly-Traded Securities at the SEC’s headquarters in Washington, D.C. on April 23, 2018.  The purpose of the event is to discuss the challenges faced by participants in the market for thinly-traded exchange-listed securities and potential improvements that might be considered to the market structure for these securities.

The roundtable will open with remarks from Brett Redfearn, Director, Division of Trading and Markets.  Following, Mr. Epstein will be speaking on the panel entitled “Challenges in Market Structure Performance of Thinly-Traded Exchange-Listed Equity Securities.” The roundtable will be open to the public and webcast live on SEC.gov.

“Illiquidity is a dire problem for thousands of public companies in the United States; it negatively impacts capital formation, job growth, and, ultimately, innovation,” commented Mr. Epstein. “I applaud the SEC for its diligence in addressing this issue in such a fulsome fashion, and I’m honored to participate.”

When: Monday, April 23, 2018, 9:30 a.m. 

Where: Securities and Exchange Commission, Multi-Purpose Room LL-006, 100 F Street, NE, Washington, D.C. 20549

Topic: “Challenges in Market Structure Performance of Thinly-Traded Exchange-Listed Equity Securities”

Panelists:
Steve Cavoli, Senior Vice President, Virtu Financial
Adam J. Epstein, Founder, Third Creek Advisors, LLC
Brian Fagen, Head of Execution Strategy, Deutsche Bank
Bryan Harkins, E.V.P. and Head of U.S. Markets, CboeBZX
Frank Hathaway, Chief Economist, Nasdaq
Ovi Montemayor, Managing Director, Financial Markets Services, TD Ameritrade
Ari Rubenstein, CEO, GTS Securities
Jason Vedder, Director of Global Trading & Operations, Driehaus Capital Management

Comments from the Public Are Welcomed
Members of the public who wish to provide their views on the topic may submit comments electronically or on paper.  Please submit comments using one method only.  Information that is submitted will become part of the public record of the roundtable and posted on the SEC’s website.  All comments received will be posted without change.  Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make publicly available.

Electronic Comments:
Use the SEC’s Internet submission form or send an email to rule-comments@sec.gov .
Paper Comments:
Send paper comments to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, D.C. 20549-1090.

All submissions should refer to File Number 265-31, and the file number should be included on the subject line if email is used.

About Third Creek Advisors, LLC

Third Creek Advisors, LLC partners with CEOs and boards to help them master the small-cap issues institutional investors care most about. Third Creek’s founder, Adam J. Epstein, co-managed a special situation hedge fund that invested in more than 500 small-cap financings. Epstein is the author of The Perfect Corporate Board: A Handbook for Mastering the Unique Challenges of Small-Cap Companies (McGraw Hill, 2012), and contributing author to The Handbook of Board Governance: A Comprehensive Guide for Public, Private and Not for Profit Board Members (Wiley, 2016).  In June 2017, The Perfect Corporate Board was the “#1 Best Seller” in the corporate governance vertical on Amazon.com.  For more information and exclusive content visit http://www.thirdcreekadvisors.com, or connect on LinkedIn.

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ADAM J. EPSTEIN

A globally recognized small-cap expert, Mr. Epstein has advised, governed, and invested in hundreds of small-cap companies. His capital markets and corporate governance acumen are products of a singular perspective – a former corporate attorney, operating executive, institutional investor, and, now, board advisor. As Bloomberg Businessweek commented regarding Mr. Epstein’s category-defining corporate governance book, “attention, directors of small-cap companies. Help is on the way.” 

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