Growth Capital Expo Agenda

Registration desk open for badge pickup and on-site registration.

Brett Goetschius, Growth Capital Expo Co-chair and Publisher, Growth Capitalist.

Adam Epstein of Third Creek Advisors, the man who “wrote the book” on small cap corporate governance, will deliver a keynote address on how emerging growth executives and their boards can avoid the most common mistakes made when raising capital and interacting with investors. Having co-managed one of the most active hedge funds focused on the […]

An overview of Reg A deal activity data, plus offering cost, timeline and company benchmarks from early deals. David Bukzin, Marcum; David Gosselin, dbbmckennon;  Rod Turner, Manhattan Street Capital; John Lowy, Olympic Capital Group

Reg A versus other alternative public offering options. Choosing advisers and preparing the company for an offering. Tier 1 versus Tier 2. Filing Form 1-A; using EDGAR; preparing the offering circular; escrow and subscription agreements; other filing exhibits. Avoiding SEC review delays. Neil Levine, Friedman LLP, Mike Tomasulo, AHT Insurance; Lou Taubman, Hunter Taubman; Lou Bevilacqua, Digital Offering

Marketing your deal while staying on the right side of new solicitation rules. Testing the waters, deal marketing communications and solicitations of interest, building the book, and converting commitments to capital. Proven methods for attracting investors via online solicitation, third-party promotional campaigns, and road shows. David Weild IV, Weild & Co.; Darren Marble, CrowdFundX; Mark Elenowitz, BANQ; Damon […]

Post-offering listing and filing requirements, transfer and custodial issues, options for secondary liquidity and follow-on offerings. Maintenance of shareholder records; electronic trading and DTC eligibility; depositing share certificates in brokerage accounts; FINRA 15c2-11 approval; OTC and other trading venue options. Making sure your public shares can and do trade. Margaret Rosenfeld, Smith Anderson; Joseph Oltmanns, OTC Markets […]

The founder of XTI Aircraft on raising capital via the Reg A+ process, and what it takes to attract retail investors to invest in a development stage company.

Kick off the Expo with a pool-side reception open to all attendees.

Registration desk open for badge pickup and on-site registration.

Brett Goetschius, Growth Capital Expo Co-chair and Publisher, Growth Capitalist.

A wide-ranging discussion of deal activity, pricing and structure trends in registered offerings: RDOs, CMPOs, Rights Offerings and Follow-ons; unregistered offerings: PIPEs and Equity-linked Debt; and equity draw-down facilities: ATMs, Equity Lines and Tranched Deals. Margaret Rosenfeld, Smith Anderson; Richard Kreger, Source Capital; Lance Kimmel, SEC Law Firm

David Weild IV of  Weild & Co., the “father of the JOBS Act”,  will address what remains to be done by Congress and federal regulators to promote small growth company capital formation, and what can be accomplished if issuers and service providers start to “Think different.”

Top securities defense attorneys on trends in civil and criminal securities litigation including the SEC’s Micro Cap Task Force, fund management expense accounting fraud, online general solicitation, offshore penny stock promotion, and SEC administrative court procedures. Jacob Frenkel, Shulman Rogers; Nick Morgan, Zaccaro Morgan; Tom Sporkin, BuckleySandler; Leslie Hakala, K&L Gates

Noted investor and author David Morgan discusses the role of precious metals in the modern investor’s portfolio.

What emerging growth company CFOs and audit committees need to know about PCAOB audit enforcement trends; income recognition for smaller reporting companies; “Lite” accounting regimes for Reg A and crowdfinanced companies. Michael Cohen, Friedman LLP; Corey Fischer, Weinberg & Co.; Shane Garbutt, Shane P. Garbutt, PLLC

Join us for Expo’s big night of networking and socializing before heading out on the town.

Registration desk open for badge pickup and on-site registration.

What issuers need to know in the age of online investor relationships; legal liability for security breaches; protecting your brand and IP from cyber-thieves. Dennis Gustafson, AHT Insurance; Ray Aghaian, Kilpatrick Townsend & Stockton; Allison Bender, Hogan Lovells  

A panel of veteran microcap activists discuss what attracts them to their targets; how activist campaigns in microcap companies differ from large cap campaigns; issuer strategies toward activists that work; and an update on recent SEC queries into group activity among activists. Ele Klein, Schulte Roth & Zabel; Andrew Shapiro, Lawnsdale Capital Management; Paul Kessler, Bristol Capital Advisors; Ted […]

Robert C. Clarke, BioAgronomics Renowned cannabis author, researcher and ethnobotanist Robert Connell Clarke will explore the cannabis sector’s evolution from the black market to the present-day gray area of state regulation, and onward toward the future under federal legalization.  

Advances in research into the 85 cannabinoid compounds found in marijuana have documented many potential therapeutic applications. This panel of leading researchers and drug development company executives discuss the latest discoveries of these compounds’ interactions with the human endocannabinoid system, and the implications for new drug development. Seth Yakatan, Kalytera Therapeutics; Dr. Mowgli Holmes, Phylos Bioscience; Dr. […]

Investment and new business formation in the legal cannabis market is creating demand for economic activity and consumer behavior data tools that address this virtually unknown and quickly evolving sector. Giadha DeCarcer, New Frontier Holdings; Daniel Yazbeck, MyDx, Inc.; Steve Albarran, Confident Cannabis; Steve Janjic, Amercanex  

Legal risk is the primary risk for investors in quasi-legal marijuana market. This panel of attorneys active in representation of marijuana-related businesses will address the state of the law and offer strategies to mitigate legal liability when operating in this fast-changing and often conflicting legal environment. Marc Ross, Sichenzia Ross Friedman Ference; Brian Vicente, Vicente Sederberg; Amanda […]

Brett Goetschius, Growth Capital Expo Co-chair and Publisher, Growth Capitalist