Growth Capital Investor Webinars

Subscribers to Growth Capital Investor enjoy complimentary access to our regular series of webcasts on issues and developments in emerging growth company finance.

Click here to view our schedule of upcoming programs.


Past Programs

Click on any of the titles to view a past program.


The "Holy Grail" of Micro-Cap CEOs and CFOs:
Knowing the Financing Terms… Long Before the Term Sheet Arrives

- October 10, 2013

Program highlights:

What micro-cap company wouldn't want to know the likely terms of their next financing before they even start looking for capital?

By analyzing the available data on the company and the market, issuers can reveal:

♦  What financing structure is most likely;
♦  What financing terms are most likely;
♦  How much money can realistically be raised; and
♦  What steps can be taken to positively impact those financing terms.:


♦  Adam Epstein, Principal, Third Creek Advisors



Public Solicitation of Private Offerings:
Implications of the SEC’s Repeal of the Marketing Ban for Reg D Deals

- July 25, 2013
Program highlights:

♦  The new rules for marketing private Rule 506(c) offerings to via the Internet, print,

telephone and public meetings

♦  How to certify accredited investors prior to accepting investment capital

♦  What issuers need to do to maintain their eligibility to conduct Rule 506(c) offerings

♦  Guilt by association: how the Bad Actor Rule will affect investor due diligence

♦  What pre-marketing filings are required for solicited offerings

♦  Form D compliance to stay out of the penalty box

♦  How to combine solicited offerings with reverse mergers and self-filings

♦  How to “flip” unsolicited Reg D offerings into 506(c) deals

♦  How to keep unsolicited Reg D and PIPE offerings compliant with the new accredited investor and Form D requirements

♦  When a 506(c) PIPE offering makes sense


♦  John Hogoboom, Member, Lowenstein Sandler

♦  Mark Wood, Partner, Katten Muchin Rosenman

♦  William Hicks, Member, Mintz Levin, Cohn, Ferris, Glovsky and Popeo



Negotiating with Hedge Funds:
Five Ways to Save Time, Money & Dilution

- April 25, 2013
Program highlights:

♦  For many hedge funds, their advantage starts before they ever meet with you.

♦  Why innocuous investor meetings are anything but innocuous.

♦  The mistake that every hedge fund counts on your company to make while negotiating and documenting the transaction.

♦  What to watch for in the critical post-financing period, when some of the most insidious mistakes are made.

♦  The main reason why amending the terms of a financing are so time-consuming and frustrating.


♦  Adam Epstein, Principal, Third Creek Advisors

♦  Joe Smith, Partner, Ellenoff Grossman & Schole

♦  Sara LaFever, Manager, PlacementTracker



At-the-Market Offerings:
What Issuers Need to Know

- Nov. 8, 2012
Program highlights:

♦  Maximizing the company’s flexibility to control the timing of sales, amount of sales and

minimum acceptable price

♦  Raising equity opportunistically, as-and-when-needed, to precisely match the sources and uses of funds

♦  Mitigating volatility by selling more shares during periods of stock price strength and slowing/halting sales during periods of stock price weakness

♦  Using the incremental nature of ATM sales to benefit from a rising stock price

♦  Using ATMs to significantly reduced overall costs of issuance over a traditional underwritten offering

♦  Putting a program in place relatively quickly with no road-show or other sales efforts required

♦  Avoiding required lock-ups from directors, officers or significant shareholders during an ATM offering period

♦  Establishing and maintaining a short-form S-3 registration and an effective shelf registration statement

♦  Conducting other equity offerings during an ATM offering period

♦  Managing Section 10b-5 liability during insider black-out periods and trading halts

♦  Managing costs and expenses splits between the issuer and the placement agent


♦  Greg Curhan, Managing Director, MLV & Co.

♦  Adam Epstein, Principal, Third Creek Advisors



The JOBS Act Implementation Update

- Oct. 11, 2012
Program highlights:

♦  What are the new “rules of the road” for research analysts to participate in capital

♦  How the SEC’s proposed rules for allowing public solicitation of private placements will transform the Reg D market for investors, placement agents and emerging growth companies.

♦  What to expect from upcoming proposals to permit equity-based crowdfunding.

♦  Details on additional implementation proposals currently under development at the SEC.


♦  John Hogoboom, Member, Lowenstein Sandler

 Tim Keating, CEO, Keating Capital

 David Weild IV, CEO, Capital Markets Advisory Partners