"How A High-Profile Board Missed the Mark," Agenda (FT), Jennifer Williams-Alvarez, July 6, 2018
"The Age of Tech Superheroes Must End," The Wall Street Journal, Christopher Mims, June 7, 2018
"Upstart Exchange Blasts Nasdaq Plan to Boost Small-Stock Trading," The Wall Street Journal, Alexander Osipovich, April 23, 2018
“Adam J. Epstein: Board and Governance Issues for the 90 Percent,” The Corporate Board, Ralph Ward, Nov/Dec 2017
"In Battle For Silicon Valley’s Destiny, Shareholders Strike Back," San Francisco Chronicle, Thomas Lee, September 23, 2017
"Facebook Abandons Stock Plan Designed to Help Zuckerberg," San Francisco Chronicle, Thomas Lee, September 22, 2017
"Stretched Thin: Venture Capitalists Serve On Too Many Boards," San Francisco Chronicle, Thomas Lee, August 26, 2017
"Snap Makes Money For No One, Except Insiders," San Francisco Chronicle, Thomas Lee, August 5, 2017
"Uber Stayed Private, But Couldn’t Shield Finances or Failures," San Francisco Chronicle, Thomas Lee, June 23, 2017
“For Sane Investors, MuleSoft Could Be Prettier Picture than Snap,” San Francisco Chronicle, Thomas Lee, March 3, 2017
“Snap IPO Tests the Very Idea of Shareholder Democracy,” San Francisco Chronicle, Thomas Lee, March 1, 2017
"What All Aspiring IPOs Need to Know to Conquer Capital Markets," Business Confidential (Radio), January 13, 2017
“Verizon’s Offer for Yahoo: a Pyrrhic Victory for Wall Street,” San Francisco Chronicle, Thomas Lee, July 25, 2016
“Pay Attention To Corporate Governance, Micro-Cap Investors,” Planet Micro-Cap Podcasts, June 29, 2016
“CEOs Never Get Fired; They Pursue Other Opportunities,” San Francisco Chronicle, Thomas Lee, May 27, 2016
“Facebook’s Stock Plan is Bad Corporate Governance. Do You Care?,” San Francisco Chronicle, Thomas Lee, April 29, 2016
“Zenefits Struggles Show VC’s Are Not Paying Enough Attention,” San Francisco Chronicle, Thomas Lee, February 18, 2016
“For Yahoo to Survive, Founder Filo Needs to Speak Up,” San Francisco Chronicle, Thomas Lee, February 1, 2016
“Time for Jack Dorsey to Pick Twitter Over Square,” San Francisco Chronicle, Thomas Lee, January 25, 2016
“How Smart Emerging and Mid-Cap Companies Avoid Post-IPO Financing Pitfalls,” Business Confidential (Radio), May 21, 2015
“How Smart Emerging and Mid-Cap Companies Avoid Post-IPO Financing Pitfalls,” Directorship, May 15, 2015
“Appetite for Activism Driving Rise in Campaigns,” Growth Capital Investor, Joe Gose, May 15, 2015
“A Nuanced Look at Shareholder Activism,” ProfessorBainbridge.com, May 5, 2015
“Pre-IPO and Microcap Finance the Focus of Discussion Panels Announced for Growth Capital Expo 2015,” Yahoo! Finance, February 23, 2015
“Directors Forum 2015: Part 2,” Corporate Governance, James McRitchie, February 11, 2015
“Three Security Lessons of Sony’s Hack Attack,” Bloomberg TV, Mia Saini, December 19, 2014
“Forget the Gossip, These Are the Lessons of the Sony Hack,” Bloomberg Businessweek, Paul M. Barrett, December 16, 2014
“The Cybersecurity Myths That Small Companies Still Believe,” Bloomberg Businessweek, Paul M. Barrett, November 24, 2014
“Market Spasms Put ATM Issuers on Alert,” Growth Capital Investor, Joe Gose, October 21, 2014
“Coping with the Challenges of Small Companies,” Directorship, Jesse Rhodes, Sep/Oct 2014
“More Blue Collar Than Blue Chip,” Listed Magazine, Ken Mark, Summer 2014
“Women in Biotech: the Quiet Army of Board Members in Waiting,” Forbes, David Sable, May 15, 2014
“The Political Economy of Board Independence,” North Carolina Law Review, Urska Velikonja, May 2014
“Will the Government Rescue GM Again?” Bloomberg Businessweek, Paul M. Barrett, March 18, 2014
“Directors Forum 2014: Afternoon Sessions,” Corporate Governance, James McRitchie, February 4, 2014
“Governance Dysfunction and Small-Cap Companies,” Directorship, Jeff Cunningham, November 27, 2013
“Twitter vs. Wix: A tale of two IPOs,” The Times of Israel, David Shamah, November 13, 2013
“Advice for Startups Dreaming of an IPO,” Bloomberg BusinessWeek, Karen E. Klein, October 22, 2013
“The Two-Company CEO, Exotic but Not Extinct,” Agenda, Marc Hogan, October 14, 2013
“Firms Set Curbs on Trading,” The Wall Street Journal, Susan Pulliam and Rob Barry, July 29, 2013
“Adam Epstein and Tim Keating Discuss IPOs and JOBS Act,” MicroCapClub Radio, June 5, 2013
“Howrey’s Bankruptcy and Big Law Firms’ Small Future,” Bloomberg Businessweek, Paul M. Barrett, May 2, 2013
“Directors Take Shelter in Trading Plans,” The Wall Street Journal, Susan Pulliam and Rob Barry, April 25, 2013
“Book Review: The Perfect Corporate Board by Adam J. Epstein,” The Director’s Dilemma, Julie Garland McLellan, March 31, 2013
“What Directors of Small-Caps Need to Know: A Conversation With Third Creek Advisors’ Adam Epstein,” DealFlow Media, Dan Lonkevich, March 27, 2013
“Addressing the Unique Challenges of Small-Cap Corporate Governance,” Growth Capitalist, Brett Goetschius, March 15, 2013
“What the Board Wants to Know From Compliance,” Compliance Week, Joe Mont, March 12, 2013 (subscription only)
“One Size Corporate Governance Does Not Fit All,” ProfessorBainbridge.com, March 12, 2013
“MicroCapClub Interview with Adam Epstein Author of The Perfect Corporate Board,” MicroCapClub, February 22, 2013
“Book Review: The Perfect Corporate Board by Adam Epstein,” MicroCapClub, Ian Cassel, February 16, 2013
“Corporate Board Member and NYSE Euronext to Host Annual Risk Oversight Conference,” NYSE Euronext, February 11, 2013
“Practical Advice for the Perfect (Small-Cap) Corporate Board,” Board Performance Specialists, Karen Kane, February 11, 2013
“Advice for Pulling Off a Successful IPO,” Forbes, Tom Taulli, January 30, 2013
“Financing Small-Cap Companies: A Director’s Guide,” Corporate Governance, James McRitchie, January 28, 2013
“Firms Pushed to Step Up Oversight of Executive Trading,” The Wall Street Journal, Susan Pulliam and Rob Barry, January 23, 2013
“Adam J. Epstein (’90) publishes The Perfect Corporate Board: A Handbook for Mastering the Unique Challenges of Small-Cap Companies, McGraw-Hill,” Boston University School of Law, January 17, 2013
“Five Ways Boards Can Help Small-Cap Financings,” Boardroom INSIDER, Ralph Ward, January 8, 2013
“New Book Offers Guidance for Small-Cap Boards,” Agenda, Marc Hogan, January 7, 2013 (subscription only)
“Does the perfect corporate board exist? Here is your answer,” Reboot Partners, Dean DeBiase, January 7, 2013
“A Handbook for Small-Cap Corporate Boards,” Bloomberg Businessweek, Paul Barrett, December 28, 2012
“Third Creek’s Adam Epstein Publishes Book on How to Be a Director of a Small Company,” The DealFlow Report, December 17, 2012
“The Perfect Corporate Board: New Book Offers Help for the Director of a Small-Cap Company,” Commpro, Gene Marbach, November 27, 2012
5 Financing Mistakes Small-Caps Make, and the Industries That Hope It Continues, Small-Cap Institute, October 2018
Though you would never know it from reading The Wall Street Journal or watching CNBC, the industry of providing growth capital to small-cap companies is larger in many years than the IPO market.
Boardroom Lessons from Theranos, Directorship, July/August 2018
If you come across a company that seems too good to be true, remember Theranos.
Uber’s Problems Should Forever Change the Way Smart Founders Think About Boards, Medium (guest post), June 18, 2018
Many founders do not realize the importance of boards, who need to bring strategy, accountability, and diversity of thought to their business. Most exemplary were the issues at companies like Uber or Theranos.
The Challenges of Small-Cap Governance, Directorship, May/June 2018
Cover Story: Here’s what you need to know before traveling the high-risk, high-reward path of small-cap company directorship.
ESG and Diversity Aren’t Buzzwords… They’re Good Business, Nasdaq MarketInsite, April 2018
Small-cap companies need to give more attention to environmental, social, and governance (ESG) policies and plan for diverse boardrooms.
Why Small-Cap Boards Should Adopt Stock Ownership Guidelines, Directorship, March/April 2018
The number of smaller public companies with SOGs for directors is comparatively small, but growing fast. Small-caps should get ahead of this curve.
Considerations for High-Growth Company Boards in the New Year, Directorship, January/February 2018
Governing pre-initial public offering (IPO) and small-cap public companies is a radically different challenge than governing enterprise-scale companies.
How Onboarding Helps Position Small-Cap Boards for Success, Directorship, November/December 2017
There is a reason every high-performing company takes director onboarding seriously: A little preparation goes a long way.
3 Reasons Small-Caps Should Actively Engage in Nasdaq's "Revitalize" Blueprint, Nasdaq MarketInsite, October 2017
Adam Epstein, Principal at Third Creek Advisors, discusses three capital markets challenges impacting small and medium growth companies.
More Middle-Market Companies Are Adding Women to Their Boards, Directorship, September/October 2017
What’s driving some middle-market companies to appoint female board members
Three Blunt Reasons Most People Don't Get A Board Seat, Directorship, July/August 2017
Even well-credentialed candidates in search of their first board seats can benefit from this advice.
Avoiding Common Mistakes When Purchasing D&O Insurance, Directorship, May/June 2017
Many companies that are small-cap or pre-IPO struggle with purchasing D&O liability insurance.
Memo To Small-Cap Boards: Don't Outsource Proxy Statements, Nasdaq MarketInsite, May 2017
It’s incumbent upon small-cap companies to communicate clearly about issues investors care most about.
Understanding the Advice of Boardroom Lawyers, Directorship, January/February 2017
Engaging corporate counsel is about more than avoiding culpability.
How Media Disaffection Hurts Small-Cap Companies, Directorship, November/December 2016
A plea to the U.S. business media to treat small-cap companies for what they are.
5 Things I Wish I Knew About Boards When I Was an Institutional Investor, MicroCapClub, November 2016
When Large and Small Worlds Collide, Directorship, September/October 2016
When considering small-cap board service, large-cap company professionals need to adjust their expectations.
A Buy-Side Perspective on Stock Ownership Guidelines, Nasdaq MarketInsite, August 2016
Silicon Valley’s Legendary Investors Are Stuck in the Past, Business Insider, July 25, 2016
An Epidemic of Value-Eroding Communication, Directorship, July/August 2016
Many small public companies waste valuable time meeting with and communicating to investors who can’t and won’t buy their stocks.
David Weild: The Father of the JOBS Act Has a Magic Bullet for Small-Caps, Directorship, May/June 2016
Commentary regarding changes that are needed to revitalize the capital markets for small-cap companies.
Board Composition From a Buy-Side Perspective, Nasdaq MarketInsite, May 2016
Corporate Governance Is Not One Size Fits All, Financier Worldwide Magazine, May 2016
When large-cap companies define what constitutes corporate governance issues, small-cap shareholders suffer.
Small-Cap Special Situation Hedge Funds Should Double Down On Corporate Governance, HFM Week, March 23, 2016
Small-Cap Boards: Follow the Numbers, Directorship, March/April 2016
Two statistics in particular emanating from 2015 should have small-cap board members’ attention.
Every Small-Cap Makes At Least 4 Of These 10 Critical Financing Mistakes, Growth Capital Investor, March 1, 2016
Taking Risk Management Clues From Small-Cap Companies, Directorship, January/February 2016
Small-cap companies make up the majority of American businesses, and many thrive despite long odds. Explore what enterprise risk managers could learn from these companies.
The Time is Now for Small-Cap FCPA Compliance, Nasdaq Amplify, Fall/Winter 2015
This content is only available to Nasdaq issuers within the Nasdaq.net ecosystem.
Small-Cap Governance’s ‘Aha!’ Moment?, Directorship, November/December 2015
What if boards of small-cap companies could be seen as a means of adding value?
A One-Size-Fits-All Approach to Corporate Governance Is Poorly Conceived, The Business Times (Singapore), October 9, 2015
The focus on issues faced by directors of large firms fails to take into consideration how SMEs work and their challenges.
Buy-Side Memo to Small-Cap CEOs: Hire In-House Counsel ASAP, Directorship, September/October 2015
Consider these five reasons small, public companies should hire in-house counsel.
Internal Audit and SOX on a Budget, Directorship, July/August 2015
Small-cap companies have limited budgets, but every company can afford to set the right tone.
Cybersecurity Insurance 101: Focus on What’s Excluded, Directorship, May/June 2015
Issues that small-cap boards should keep in mind when considering cybersecurity insurance.
Shareholder Activism Redux: The Good, Bad and Ugly, Corporate Governance, April 30, 2015
Inside the New American College of Governance Counsel, Directorship, March/April 2015
ACGC’s goal is to promote the highest professional standards in the field of corporate governance.
A Conversation with Boris Feldman: Iconic Silicon Valley Securities Litigator, Directorship, Jan/Feb 2015
The Board’s Role in Avoiding Common Post-Financing Mistakes, Directorship, Nov/Dec 2014
It’s a mistake for boards to end their oversight of micro- and small-cap financings when the money is in the bank.
Thinking Strategically About Cyber Risk – A Conversation with the Hon. Tom Ridge, Directorship, Sep/Oct 2014
Investor Meetings: When Board Deference Can Be Fatal, Directorship, July/August 2014
Sometimes CEOs of micro- and small-cap companies lack appreciable experience running public companies. Boards all too often overlook the same when it comes to financings and investor meetings.
A Conversation with Scott Kupor: Small-Cap Capital Formation, Directorship, May/June 2014
A Conversation with Keith E. Gottfried, Proxy Contest Defense Counsel, Directorship, March/April 2014
A Big Reason Small-Caps Undertake Bad Financings: Board Composition, Corporate Governance, February 5, 2014
A Big Reason Why Small-Cap Companies Undertake Bad Financings Every Day: Board Composition, Directorship, Jan/Feb 2014
Many micro- and small-cap companies are serial capital raisers, yet often lack any board members with capital markets or corporate finance experience.
A Small-Cap Conundrum: Purchasing Legal Services Without In-House Counsel, Directorship, Nov/Dec 2013
Directors should consider the following insights into common circumstances involving legal services.
A Conversation with IPO Icon Lise Buyer, Directorship, Sept/Oct 2013
Shareholder Activism Creates Unique Challenges for Smaller Companies, Directorship, July/Aug 2013
Small public companies must consider additional factors when dealing with activist investors.
10 Lessons Learned from Interviewing Hundreds of Micro-Cap CEOs, MicroCapClub, June 17, 2013
Audit Firm Selection: Think Like an Institutional Investor, Directorship, May/June 2013
With so many choices, how can the audit committees of small public companies efficiently weigh their options? One way to simplify the process is to think like an institutional investor.
Are Venture-Backed Companies Keeping Pace, Directorship, March/April 2013
The average venture-backed IPO company needs to build a solid board pre-IPO, with newly public companies facing more serious challenges than ever before and very little room for error as fewer companies go public.
The Broken Small-Cap Market Undermines the Recovery, Bloomberg Businessweek, March 11, 2013
Trading Volume: The Unsung Enterprise Risk of Small-Cap Companies, Directorship, Jan/Feb 2013
The more trading volume a small-cap stock has, the easier it is to attract investors.
Communicating with the Street: Addressing Small-Cap Challenges, Directorship, Nov/Dec 2012
Many small-cap companies struggle to effectively communicate with the Street.
Noteworthy Legal Issues for Pre-IPO and Small-Cap Directors, Directorship, May/June 2012
The legal implications of current events for directors of pre-IPO and small-cap companies.
The Constraints of Thin-Cap Company Boards, Directorship, March/April 2012
The role of the board is different for small-cap companies, where the line separating governance from management issues isn’t so bright.
ERM: The Elephant in the Room, Directorship (online), July 20, 2011
Boards are destined to underperform if they don’t understand the risks they are asked to monitor.
Risk Mitigation on a Budget, Directorship (online), May 2, 2011
Directors have multiple opportunities for risk management education, from formal classes to casual networking.
Social Media and Compliance, Directorship (online), January 24, 2011
Companies must be cautious that the information disseminated by employees on both company and personal social media pages complies with federal securities laws.
Upcoming Speaking Engagements
Upcoming Speaking Engagements
Small-Cap Summit, October 21, 2019 Austin, TX
Previous Speaking Engagements
Previous Speaking Engagements
Private Corporate Event, November 26-27, 2018, Dallas, TX
FEI: The Nexus Between Growth and Storytelling, November 15, 2018, Phoenix, AZ
NACD 2018 Global Board Leaders Summit, September 29, 2018, Washington, DC
Private Corporate Event, September 23, 2018, Las Vegas NV
BDO, Future CFO Roundtable, September 19, 2018, San Jose, CA
Elevating Private Company Board Performance in the Age of Disruption, September 12, 2018, Palo Alto, CA
NACD Entrepreneurial Board Forum, July 9, 2018, San Francisco, CA
HAX Start-Up Exit Master Class, June 19, 2018, San Francisco, CA
Nasdaq Facebook Live, June 5, 2018, New York, NY
The Conference Board Webcast, June 4, 2018, New York, NY
EY Growth Markets Webcast, May 24, 2018, New York, NY
Private Corporate Event, May 1-2, 2018, Dallas, TX
SEC Market Structure Roundtable, April 23, 2018, Washington, DC
BDO Board of Directors Forum, January 24, 2018, Dallas, TX
BDO Board of Directors Forum, January 23, 2018, Houston, TX
BDO Board of Directors Forum, December 11, 2017, Los Angeles, CA
Private Corporate Event, November 2, 2017, Dallas, TX
BDO Board of Directors Forum, October 10, 2017, Boston, MA
Global Board Leaders' Summit, October 1-4, 2017, National Harbor, MD
Private Corporate Event, June 6, 2017, Los Angeles, CA
Private Corporate Event, May 3, 2017, Dallas, TX
Private Corporate Event, May 17, 2017, Seattle, WA
Private Corporate Event, March 22, 2017, Palo Alto, CA
Private Corporate Event, February 9, 2017, Palo Alto, CA
Small-Cap Boards: Realities & Strategies for Capital Structuring, January 19, 2017 (BDO Webinar)
Smarter Growth Really Starts in the Boardroom, January 18, 2017, San Francisco, CA
Private Corporate Event, December 6-7, 2016, Los Angeles, CA
Private Corporate Event, December 6, 2016, Dallas, TX
Nasdaq Amplify Small-Cap Shareholder Activism, October 5, 2016 (webinar)
MicroCap Leadership Summit, September 22, 2016, Chicago, IL
Global Board Leaders’ Summit, September 17-20, 2016, Washington, D.C.
LD Micro Summit, September 6, 2016, San Francisco, CA
Nasdaq Amplify State of the Capital Markets, August 26, 2016 (webinar)
NACD Director Professionalism, August 15-16, 2016, Laguna Beach, CA
Private Corporate Event, June 8, 2016, Los Angeles, CA
NACD Director Professionalism, June 13-14, 2016, Chicago, IL
NACD Advanced Director Professionalism, June 16-17, 2016, Chicago, IL
Growth Capital Expo, May 3-5, 2016, Las Vegas, NV
Private Corporate Event, April 25-26, 2016, Dallas, TX
NACD Director Professionalism, February 29 – March 1, 2016, Las Vegas, NV
NACD Advanced Director Professionalism, December 7-8, 2015, Scottsdale, AZ
LD Micro, December 1, 2015, Los Angeles, CA
PLI Directors’ Institute on Corporate Governance, November 23, 2015, New York, NY
Private Corporate Event, October 26-27, 2015, Dallas, TX
SIAS Global Corporate Governance Conference, October 12-13, 2015, Singapore
Global Board Leaders’ Summit, September 26-29, 2015, Washington, D.C.
NACD Director Professionalism, August 17-18, 2015, Laguna Beach, CA
Financial Times Outstanding Director Exchange, June 9, 2015, Palo Alto, CA
NACD Advanced Director Professionalism, June 1-2, 2015, Philadelphia, PA
AICPA CFO Conference, May 13, 2015, Denver, CO
Business Confidential, May 21, 2015 (Radio)
American Bar Association Business Law Section, April 17, 2015, San Francisco, CA
Growth Capital Expo, April 12, 2015, Las Vegas, NV
NACD Director Professionalism, March 23-24, 2015, Miami, FL
27th Annual ROTH Conference, March 8, 2015, Laguna Niguel, CA
Small-Cap Boards and their Unique Challenges, February 25, 2015, Portland, OR
CDF Directors Forum, January 25-27, 2015, San Diego, CA
The Rising Tide of Shareholder Activism, December 15, 2014 (webinar)
NACD Director Professionalism, December 8-9, 2014, Palm Beach, FL
LD Micro Conference, December 1, 2014, Los Angeles, CA
Summit Conference for Officers and Directors, December 4, 2014, Deer Valley, UT
NACD Board Leadership Conference, October 12-14, 2014, National Harbor, MD
NACD Director Professionalism, August 14-15, 2014, Dana Point, CA
NACD Small-Cap Forum, July 17, 2014, San Francisco, CA
Society of Corporate Secretaries & Governance Professionals, June 25-28, 2014, Boston, MA
NACD Director Professionalism, June 9-10, 2014, Chicago, IL
LD Micro Conference, June 3-4, 2014, Los Angeles, CA
IPO Boot Camp, April 29, 2014, Las Vegas, NV
Special Event, April 8, 2014, Dallas, TX
Small-Cap Governance Forum, April 10, 2014, San Antonio, TX
NACD Director Professionalism, April 3-4, 2014, Houston, TX
CDF Directors Forum, January 29-31, 2014, San Diego, CA
NACD Director Professionalism, December 9-10, 2013, Miami, FL
Summit Conference for Officers and Directors, December 5-6, 2013, Deer Valley, UT
LD Micro Conference, December 3-5, 2013, Los Angeles, CA
NACD Board Leadership Conference, October 13-15, 2013, National Harbor, MD
Growth Capitalist, Holy Grail for Micro-Cap CEOs & CFOs, October 10, 2013 (webinar)
NACD Director Professionalism, August 15-16, 2013, Newport Beach, CA
Society of Corporate Secretaries & Governance Professionals, July 10-13, 2013, Seattle, WA
NACD Director Professionalism, June 10-11, 2013, Boston, MA
Growth Capitalist, Negotiating with Hedge Funds, April 25, 2013 (webinar)
Corporate Board Member, Risk Oversight in the Boardroom, April 9, 2013, New York, NY
NACD Master Class, February 27-28, 2013, Scottsdale, AZ
NACD Director Professionalism, February 25-26, 2013, Scottsdale, AZ
KPMG Global Enterprise Institute, February 6, 2013 (webinar)
CDF Directors Forum, January 27-29, 2013, San Diego, CA
The DealFlow Conference, December 18, 2012, New York, NY
Growth Capital Investor, ATM Offerings, November 8, 2012 (webinar)
NACD Board Leadership Conference, October 14-16, 2012, National Harbor, MD
NACD Diversity in the Boardroom, September 11, 2012, Seattle, WA
CDF To the Brink & Back: Life at a Small Cap, April 26, 2012, La Jolla, CA
CDF Directors Forum, January 22-24, 2012, San Diego, CA