Welcome to the post conference wrap up…..
Stephen Bonebrake (Sanders Morris Harris) Aaron Lucchetti (The Wall Street Journal)
Noreen M. Culhane (NYSE) John McGonegal (AMEX), Anne Moulier (AIM)
R.Cromwell Coulson (OTCQX)
Peter Shea (Daniel Stewart & Co,NOMAD) William O’Brien (NASDAQ)
Douglas Ellenoff (Ellenoff Grossman & Schole)
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INTRODUCTORY REMARKS: Stephen W. Bonebrake,Sanders Morris Harris Inc., Managing Director, Equity Capital Markets
MODERATOR: Aaron Lucchetti, The Wall Street Journal, Staff Reporter
PANELISTS:
Alternative Investment Market (AIM) & London Stock Exchange (LSE)
Anne Moulier, Business Development Manager-AmericasAmerican Stock Exchange (AMEX)
John McGonegal, Senior Vice President, EquitiesNASDAQ Stock Market Inc. (NASDAQ)
William O'Brien, Senior Vice President, New Listings Corporate Client GroupNew York Stock Exchange (NYSE)
Noreen M. Culhane, Executive Vice President, Global Corporate Client GroupOTCQX & Pink Sheets
R. Cromwell Coulson, Chairman & CEODaniel Stewart & Co., (NOMAD)
Peter Shea, ChairmanEllenoff Grossman & Schole LLP
Douglas S. Ellenoff, Managing Partner, Corporate and Securities
POST CONFERENCE MATERIALS:
Presentations
Sanders Morris Harris Introductory Remarks
by Stephen Bonebrake, Managing Director, Equity Capital Markets
Alternative Investment Market (AIM) and London Stock Exchange (LSE)
by Anne Moulier, Business Development Manager-Americas
American Stock Exchange (AMEX)
by John McGonegal, Senior Vice President Equities
NASDAQ Stock Market Inc. (NASDAQ)
by William Obrien, Senior Vice President, New Listings Corporate Client GroupNew York Stock Exchange (NYSE)
by Noreen M. Culhane, Executive Vice President, Global Corporate Client Group
OTC-QX & Pink Sheets LLC
by R. Cromwell Coulson, Chairman & CEO
Webcast
To hear the conference by webcast, http://www.wsw.com/webcast/smh2/
If you have a problem with the webcast, please click here http://www.wsw.com/help/Photographs
Event Program
Biographies of all Panelists
DISCLAIMER
Neither the moderator nor the panelists are employees of or affiliated with Sanders Morris Harris Inc. The opinions expressed by the moderator and panelists are solely his/her own and do not necessarily reflect those of Sanders Morris Harris Inc. Sanders Morris Harris Inc., its affiliates, and employees are not in the business of providing legal or tax advice. Investments and services are offered through Sanders Morris Harris Inc., member NASD/SIPC. Any mention of securities named in this document is neither a recommendation nor a solicitation. Daniel Stewart & Company is authorized and regulated in the United Kingdom by The Financial Services Authority for designated investment business and is a member of the London Stock Exchange.
CO-HOSTS
Daniel Stewart & Company Plc.
Daniel Stewart & Co is a UK integrated investment bank focusing on smaller quoted and unquoted companies. They offer a full range of investment banking services including research, corporate broking, investor relations programmes, M & A advice, corporate finance, and debt advisory to smaller quoted companies, along with both primary and follow-on fund raising and share trading facilities. Daniel Stewart is a regulated broker and nominated advisor (NOMAD) on the Alterative Investment Market.
Corporate Finance. Specialises in servicing the needs of growing companies at every stage of their development. They have a strong track record in advising and assisting their clients, both at IPO and beyond. Daniel Stewart assumes full responsibility for all aspects of deal management and execution, allowing their clients to devote their time to running their business. Additionally, they provide a highly effective interface between their client, regulatory authorities and otheradvisers. As a result of meticulous due diligence, their ratio of transactions completed to those undertaken is very high.
Corporate Brokering. Corporate Broking provides the link between the Corporate Finance department's transaction and advisory services, and the placing power of the Institutional Sales team. The team ensures that they effectively communicate their clients’ message to the market, ensuring an effective long-term relationship and support from shareholders when required.
Institutional Sales. The Institutional Sales team have excellent relationships with the majority of institutional investors dealing in the small and mid cap sector, and are responsible for the execution of primary and secondary issues. Virtually all of their primary and secondary issues have comfortably outperformed the market. Their Institutional sales team speaks directly to all UK small cap fund managers, and all the venture capital trusts
Sales Trading & Dealing. Daniel Stewart has an integrated Sales Trading & Dealing function. They strive to provide a high quality, innovative service to their clients, responding quickly to changing market conditions.
Research. Daniel Stewart provides comprehensive, quality research on individual stocks, as well as providing sector-based analysis. They adopt a proactive approach to publishing research, as opposed to the maintenance driven approach of other houses. Insightful, themed research is produced in order to generate interest at times other than the results announcements. They also provide independent coverage on non-house stocks, offering ideas for their investor base as well as providing insight into competitors of their corporate clients for comparable purposes. The quality of research was recognised at the 2005 Aim Awards where Daniel Stewart was shortlisted for the “Best Research” Award.
For more information go to www.danielstewart.co.uk
Sanders Morris Harris Investment Banking
INTEGRATED RESOURCES. COMMOM SUCCESS.
Our Mission is to Collaborate with growing middle market companies by deploying our integrated investment banking resources to foster their financial and strategic success.
Investing In Common
We actively invest through firm managed accounts and client accounts in essentially all of our transactions.
Extensive Distribution Network Supports All Transactions
Our extensive distribution network is comprised of our Institutional Group, Middle Markets Group and our nationwide retail brokerage network.
Execution
Unlike many of SMH's larger Wall Street and commercial banking competitors, senior members of the team are substantively involved in every aspect of the client's transaction backed by a deal team of talented and capable individuals.
Post Offering Support
Sanders Morris Harris offers post transaction support through Equity and Fixed Income Research as well as through our institutional Sales and Trading platform.Experienced Team
The Sanders Morris Harris Investment Banking group has a high concentration of Managing Directors with significant Wall Street experience who remain deeply involved in all phases of transaction execution.Middle-Market Expertise
The Sanders Morris Harris Investment Banking Group was formed to provide sophisticated corporate finance talent and capabilities to the middle-market.Full Service Investment Banking
The firm provides a full spectrum of investment banking services, including raising capital, research coverage, creating liquidity, trading and market making,financial-advisory services in connection with merger and acquisitions, restructuring and recapitalizations; sales support, and investor conferences.Location
Headquartered in New York with regional offices in Los Angeles and Houston, we service clients nationally and internationally from all three office locations.For more information go to www.smhib.com
PARTNERS
Analytics
Dealogic is a global financial services software firm providing information systems and relationship & transaction management solutions for the investment banking industry. Dealogic’s platform of products has been developed to address the specific needs of capital markets and investment banking professionals. Drawing on industry expertise gained through customer relationships spanning more than 15 years and with history of success Dealogic has become renowned for delivering quality products globally and has customers in over 30 countries. www.dealogic.comDirectors & Boards
Directors & Boards, celebrating its 30th year as the leading magazine of thought leadership for corporate governance, reaches thousands of directors, board members, C-suite executives and trusted advisers to the board with its quarterly insights and advisories. Its quarterly sister publication, Boardroom Briefings, offers peer-to-peer guidance on topics of enduring concern to board members with in-depth analysis of trends and developments having an impact on senior executive management best practices and compliance. www.directorsandboards.comMedia The Wall Street Transcript
The Wall Street Transcript believes that a company's senior management, and its CEO in particular, is one of the key determinants of performance for the company's stock. Therefore, The Wall Street Transcript group of services is dedicated to enhancing information flows between company management and investors.Wall Street Webcasting - Communicating over the Internet. Webcasting for this event is provided by Wall Street Webcasting - which for 5 years has been providing comprehensive webcasting services for financial events. WSW webcasts analyst conferences for over 30 investment banks, and provides the webcast facility for company analyst days. From its studio in NYC, WSW also offers custom video webcasts for companies and research analysts looking to communicate in high-definition video across the web. www.wsw.com