June 5, 2018, New York, NY

Nasdaq Facebook Live

Adam J. Epstein was live in Nasdaq’s Times Square studio, discussing how U.S. small-caps are impacted by a one-size-fits-all market structure and unique investor communication challenges.

Watch the recorded video here.

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June 4, 2018, New York, NY

The Conference Board Webcast

Seven out of ten US public companies have a market capitalization of less than $500 million and, consequently, employ the majority of the country’s public company board members. However, most governance resources are directed toward large-cap boards—whereas small-cap directors, with fewer resources, fewer advisors, and more tenuous balance sheets, can have much greater sway over their companies’ successes or failures.

Author Adam J. Epstein will discuss his handbook for small-cap company directors, detailing the challenges they face, the important differences between small-cap and large-cap governance, and tips to help small-cap company directors govern effectively.

Join this webcast and receive best practice tips for:

• Supervising corporate finance at small-cap companies;
• Hiring/managing professional service providers for small-cap companies; and
• Overseeing capital market engagement at small-cap companies.

Who Should Attend: Current and prospective board members of public companies; CEOs and other C-suite executives and management; Governance professionals; Attorneys

Complimentary external guest registration is available. View the event on-demand here.

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May 24, 2018, New York, NY

EY Growth Markets Webcast

The transition from private company to public enterprise is a complex undertaking. Between understanding regulations, preparing for transparency and navigating costs, C-suite executives can lose sight of other critical preparations that contribute to a successful IPO.

Join us for a candid conversation across a variety of issues to consider in your IPO preparation, including:

• Preparing to make critical capital markets decisions
• Strategies for approaching and appealing to Wall Street analysts and institutional investors
• Avoiding pitfalls that can negatively impact the IPO process and transformation into public company

See full information here.

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April 23, 2018, Washington, DC
SEC Roundtable: "Challenges in Market Structure Performance of Thinly-Traded Exchange-Listed Equity Securities"

A discussion of 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.

Panelists included:
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

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January 24, 2018, Dallas, TX
BDO Board of Director's Forum
Middle Market Capital Formation

We invite you to attend our exclusive Board of Directors Forum. This event hosted by BDO USA, LLP features an intimate group format providing a platform for Board Members to discuss hot topics currently impacting their corporate governance roles.

Unlike for large public companies, capital formation for middle market companies is a minefield for the unwary. Varying degrees of trading liquidity, equity research coverage, and C-Suite and director experience often lead to equity capital market transactions that are sometimes needlessly dilutive. Our impressive panel of Adam Epstein of Third Creek Advisors and Julie Silcock of Houlihan Lokey’s Southwest Investment Banking will bring seasoned buy-side and sell-side perspectives to the issue in order to facilitate a robust, informative, and interactive debate.

We hope that you will join fellow directors to engage with our panelists and each other.

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January 23, 2018, Houston, TX
BDO Board of Director's Forum
Middle Market Capital Formation

We invite you to attend our exclusive Board of Directors Forum. This event hosted by BDO USA, LLP features a group format providing a platform for Executives and Board Members to discuss hot topics currently impacting their corporate governance roles.

Unlike for large public companies, capital formation for middle market companies is a minefield for the unwary. Varying degrees of trading liquidity, equity research coverage, and C-Suite and director experience often lead to equity capital market transactions that are sometimes needlessly dilutive. Our impressive panel of Adam Epstein of Third Creek Advisors and Sanjiv Shah of Simmons & Company International, Energy Specialists of Piper Jaffray will bring seasoned buy-side and sell-side perspectives to the issue in order to facilitate a robust, informative, and interactive debate.

We hope that you will join fellow directors to engage with our panelists and each other.

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