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Marcum MicroCap Conference

Thursday, May 30, 2013
Grand Hyatt
109 E 42nd Street
New York, NY 10017
Agenda/Topics
 
  • Agenda
  • Expert Panel Topics
  • Presenting Company Schedule
 
7:30 am - 8:30 am   Registration
8:30 am - 9:00 am   Welcome and Opening Remarks

David Bukzin, Partner-in-Charge of Assurance Services, Marcum LLP
 Jeff Corbin, KCSA
Stan Wunderlich, Launchpad
9:00 am - 12:00 am   Panels and Company Presentations
12:00 pm - 1:30 pm   Lunch and Keynote Speaker

Introduction to Keynote Speaker:
Jeffrey Weiner, Managing Partner, Marcum LLP
Special Keynote Luncheon Speaker:
Steven Rattner, Chairman, Willett Advisors LLC
1:30 pm - 5:00 pm   Panels and Company Presentations
5:00 pm - 6:30 pm   Cocktails and Entertainment

Special Celebrity Guest:
Susie Essman
     
 
9:00 am - 10:00 am
Salon 1 		  Current Status of JOBS Act and Crowdfunding

Moderator:
Thomas Hanley, Stradley Ronan
Speakers:
Michael Littenberg, Schulte Roth & Zabel LLP
Kenneth Alberstadt, Akerman Senterfitt LLP
Cromwell Coulson, OTC Markets Group Inc.
Joseph Lucosky, Lucosky Brookman LLP
  • Most important features of SEC rulemaking and interpretations
  • How will the SEC Proposed Rule 506(c) permitting general solicitation, be used in practice
  • What are the risks to participants in offerings conducted by General Advertising
  • How are the states responding to the new rules
10:00 am - 11:00 am
Salon 1 		  Exploring Small IPOs, Follow-Ons, PIPEs, Registered Directs & Confidentially Marketed Public Offerings



Moderator:
Mitchell Truelock, Roth Capital Partners
Speakers:
Richard Friedman, Sichenzia Ross Friedman Ference LLP
Steven Uslaner, Littman Krooks LLP
Jonathan Rich, National Securities Corp
Richard Morris, Herrick Feinstein LLP
  • Trends in Fund Raising in Early Growth Companies
  • Advantages and Pitfalls of different types of structures
  • Investing in Early Stage Companies from a Portfolio Point of View
10:30 am - 11:30 am
Broadway Room		   Valuing Companies in the MicroCap Segment

Moderator:
Douglas Rogers, Merriman
Speakers:
Dennis Schall, Marcum LLP
Paul Marino, Marino & Associates
Raymond Ghelardi, GBQ Consulting LLC
Mitchell Brand, Otterbourg, Steindler, Houston & Rosen, P.C.
  • How to maximize returns in the Microcap Segment
  • How to value thinly traded companies
  • Valuation techniques and methodologies
  • Documenting valuations and interacting with auditors
11:00 am - 12:00 pm
Salon 1 		  Small-Cap Corporate Governance: Common Board Room Lapses that Make Financings Harder and Share Prices Lower



Moderator:
David Feldman, Richardson & Patel
Speakers:
Howard Yeaton, Financial Consulting Strategies LLC
Louis Taubman, Hunter Taubman Weiss LLP
Richard Anslow, Anslow & Jaclin LLP
Michael Tomasulo, AH&T Insurance
  • Avoiding the common pitfalls that small-cap directors are faced with
  • Making the right corporate finance and capital markets decisions
  • Practical guidance to optimize the decision making process
  • What are the telltale signs of good corporate governance in the microcap space
2:00 pm - 3:00 pm
Broadway Room		   After the Storm: What’s Next for Chinese Companies?

Moderator:
Crocker Coulson, CCG Investor Relations
Speakers:
Drew Bernstein, Marcum Bernstein & Pinchuk LLP
Jon Carnes, AlfredLittle.com
Dan David, GeoInvesting LLC
Victor Li, EJF Capital LLC
  • Why have some short sellers begun to take long positions in Chinese stocks?
  • What is the risk that Chinese branches of Big Four auditors will be deregistered?
  • How have recent Chinese IPOs conquered the fears of overseas investors?
  • What is the prospect for Chinese “go privates” to relist in China or Hong Kong?
  • How can a strategic investment or joint venture with overseas partner add credibility?
  • How should investors think about gaining China exposure via U.S., Hong Kong, or A-share markets?
2:00 pm - 3:00 pm
Salon 1 		  An Institutional Investors' View of the State of the Small Cap Financing Market

Moderator:
Richard Serrano, Brean Capital LLC
Speakers:
Edward Kovary, EarlyBirdCapital Inc.
Justin Keener, JMJ Financial
Joshua Silverman, Iroquois Capital
Adam K. Stern, CEO of SternAegis Ventures and Head of Private Equity Investment Banking at Aegis Capital
  • What are the driving forces of institutional investor’s activity?
  • Recent performance of small cap stocks and the effect on financing activity
  • What are the challenges financiers and institutional investors are facing today and through 2013?
  • What does the future hold for the microcap market
3:00 pm - 4:00 pm
Salon 1 		  Investor Communication in the Age of Social Media

Moderator:
Bradley Smith, PR Newswire
Speakers:
Thomas Runzo, Equisolve
David Gentry, RedChip Companies
Deborah Meshulam, DLA Piper
Jeff Corbin, KCSA
  • What you can and cannot say or do
  • Implementing effective shareholder targeting Strategies
  • Building liquidity in a micro cap stock
  • Methods to communicate with shareholders and prospective shareholders
4:00 pm - 5:00 pm
Salon 1 		  Evaluating Pre Approval and Pre Revenue Life Science Companies

Moderator:
James Alfaro, Maxim Group
Speakers:
Marc Manuel, Magna Group
Adam Gottbetter, Gottbetter Capital
Graig Suvannavejh, MLV & Co
Obed Cepeda, Bishop Rosen
Suraj Kalia, Northland Capital Markets
  • The importance of understanding the core science or technology
  • History and experience of CEO and management team
  • Analyzing expenditures and burn – administrative vs. scientific
  • Depth of Company’s IP, Probability of post approval adoption, and other concerns
     
Estate 1 - Imperial
 
9:00 am - 9:30 am Aspen Group Inc. (ASPU)   1:30 pm - 2:00 pm ThermoEnergy Corporation (TMEN)
 
9:30 am - 10:00 am MGT Capital Investments Inc.(MGT)   2:00 pm - 2:30 pm Sutor Technology Group Limited (SUTR)
 
10:00 am - 10:30 am Hennessy Advisors, Inc. (HNNA)   2:30 pm - 3:00 pm Abtech Holdings, Inc. (ABHD)
 
10:30 am - 11:00 am MVC Capital, Inc.   3:00 pm - 3:30 pm Kenactiv Innovations, Inc. (OPHI)
 
11:00 am - 11:30 am Rimrock Gold (RMRK)   3:30 pm - 4:00 pm Terra Tech Corp (TRTC)
 
11:30 am - 12:00 pm Keating Capital, Inc. (KIPO)   4:00 pm - 4:30 pm Glyeco Inc. (GLYE)
 
12:00 pm - 1:30 pm Lunch   4:30 pm - 5:00 pm Universal Business Payment Solutions Acquisition Corp (UBPS)
 
Estate 2 - Morosco
 
9:00 am - 9:30 am Texas Rare Earth Resources Corp (TRER)   1:30 pm - 2:00 pm Acorn Energy, Inc. (ACFN)
 
9:30 am - 10:00 am Lightbridge Corporation (LTBR)   2:00 pm - 2:30 pm GreenHunter Energy, Inc. (GRH)
 
10:00 am - 10:30 am Trio Resources Inc. (TRII)   2:30 pm - 3:00 pm TBD
 
10:30 am - 11:00 am OTC Markets Group Inc (OTCM)   3:00 pm - 3:30 pm Puresafe Water Systems Inc (PSWS)
 
11:00 am - 11:30 am WidePoint Corporation (WYY)   3:30 pm - 4:00 pm Axion Power International, Inc. (AXPW)
 
11:30 am - 12:00 pm Document Security Systems, Inc. (DSS)   4:00 pm - 4:30 pm Pulse Seismic Inc. (PLSDF)
 
12:00 pm - 1:30 pm Lunch   4:30 pm - 5:00 pm Profire Energy, Inc. (PFIE)
 
Estate 3 - Plymouth
 
9:00 am - 9:30 am Orient Paper, Inc.(ONP)   1:30 pm - 2:00 pm Digital Cinema Destinations Corp (DCIN)
 
9:30 am - 10:00 am Asure Software Inc (ASUR)   2:00 pm - 2:30 pm WaveFront Technology Solutions, Inc. (WFTSF)
 
10:00 am - 10:30 am DDD USA Inc. (LON: DDD)   2:30 pm - 3:00 pm Wonder Int'l Education & Inv. Group (WIEI)
 
10:30 am - 11:00 am Max Sound Corporation (MAXD)   3:00 pm - 3:30 pm Augme Technologies, Inc. (AUGT)
 
11:00 am - 11:30 am SED International Holdings, Inc. (SED)   3:30 pm - 4:00 pm Envision Solar International, Inc. (EVSI)
 
11:30 am - 12:00 pm Single Touch Systems, Inc. (SITO)   4:00 pm - 4:30 pm Blue Calypso Inc. (BCYP)
 
12:00 pm - 1:30 pm Lunch   4:30 pm - 5:00 pm Professional Diversity Network LLC (IPDN)
 
Estate 4 - Uris
 
9:00 am - 9:30 am CytoSorbents Corporation (CTSO)   1:30 pm - 2:00 pm Oculus Innovative Sciences, Inc. (OCLS)
 
9:30 am - 10:00 am Vasomedical, Inc. (VASO)   2:00 pm - 2:30 pm Caliber Imaging & Diagnostics Inc (LCDX)
 
10:00 am - 10:30 am LeMaitre Vascular (LMAT)   2:30 pm - 3:00 pm Pharmagen, Inc. (PHRX)
 
10:30 am - 11:00 am Rexahn Pharmaceuticals Inc.(RNN)   3:00 pm - 3:30 pm Northwest Biotherapeutics, Inc. (NWBO
 
11:00 am - 11:30 am BioDrain Medical Inc (BIOR)   3:30 pm - 4:00 pm Atossa Genetics, Inc. (ATOS)
 
11:30 am - 12:00 pm Unilife Corporation (UNIS)   4:00 pm - 4:30 pm Provectus Pharmaceuticals Inc. (PVCT)
 
12:00 pm - 1:30 pm Lunch   4:30 pm - 5:00 pm Verastem Inc (VSTM)
 
Estate 5 - Julliard
 
9:00 am - 9:30 am ImmunoCellular Therapeutics, Ltd. (IMUC)   1:30 pm - 2:00 pm Cleveland BioLabs, Inc. (CBLI)
 
9:30 am - 10:00 am Cel-Sci Corp. (CVM)   2:00 pm - 2:30 pm Galena Biopharma, Inc. (GALE)
 
10:00 am - 10:30 am CytRx Corporation (CYTR)   2:30 pm - 3:00 pm TBD
 
10:30 am - 11:00 am DURECT Corporation (DRRX)   3:00 pm - 3:30 pm International Stem Cell Corporation (ISCO)
 
11:00 am - 11:30 am TBD   3:30 pm - 4:00 pm Prima BioMed LTD (PBMD)
 
11:30 am - 12:00 pm DelMar Pharmaceuticals, Inc. (DMPI)   4:00 pm - 4:30 pm Pressure BioSciences, Inc. (PBIO)
 
12:00 pm - 1:30 pm Lunch   4:30 pm - 5:00 pm Targeted Medical Pharma (TRGM)
 
Estate 6 - Carnegie
 
9:00 am - 9:30 am NeoStem, Inc. (NBS)   1:30 pm - 2:00 pm NanoViricides, Inc. (NNVC)
 
9:30 am - 10:00 am Amarantus BioScience, Inc. (AMBS)   2:00 pm - 2:30 pm LCA-Vision Inc. (LCAV)
 
10:00 am - 10:30 am Synthetic Biologics Inc (SYN)   2:30 pm - 3:00 pm BioRestorative Therapies, Inc. (BRTXD)
 
10:30 am - 11:00 am Sirona Biochem Corporation (SBM)   3:00 pm - 3:30 pm AdCare Health Systems Inc. (ADK)
 
11:00 am - 11:30 am Health Revenue Assurance Holdings Inc. (HRAA)   3:30 pm - 4:00 pm Stellar Biotechnologies, Inc. (KLH)
 
11:30 am - 12:00 pm Can-Fite BioPharma (CANFY)   4:00 pm - 4:30 pm MediFocus, Inc. (MFS)
 
12:00 pm - 1:30 pm Lunch   4:30 pm - 5:00 pm Verenium Corp (VRNM)
 
Estate 7 - Alvin
 
9:00 am - 9:30 am PAR Technology Corporation (PAR)   1:30 pm - 2:00 pm Direct Insite Corp. (DIRI)
 
9:30 am - 10:00 am Bridgeline Digital, Inc. (BLIN)   2:00 pm - 2:30 pm Towerstream Corporation (TWER)
 
10:00 am - 10:30 am GSE Systems Inc. (GVP)   2:30 pm - 3:00 pm Sysorex Global Holdings Corp (SYRX)
 
10:30 am - 11:00 am USA Technologies Inc. (USAT)   3:00 pm - 3:30 pm Elephant Talk Communications Corp. (ETAK)
 
11:00 am - 11:30 am Santeon Group, Inc. (SANT)   3:30 pm - 4:00 pm NetDimensions (NETDY)
 
11:30 am - 12:00 pm Transwitch Corporation (TXCC)   4:00 pm - 4:30 pm Naked Brand Group Inc (NAKD)
 
12:00 pm - 1:30 pm Lunch   4:30 pm - 5:00 pm SNAP Interactive, Inc. (STVI)
 
Estate 8 - Edison
 
9:00 am - 9:30 am OncoSec Medical Incorporated (ONCS)   1:30 pm - 2:00 pm TBD
 
9:30 am - 10:00 am Chanticleer Holdings Inc (HOTR)   2:00 pm - 2:30 pm Chromadex Corp (CDXC)
 
10:00 am - 10:30 am Rocky Mountain Chocolate Factory Inc. (RMCF)   2:30 pm - 3:00 pm Cell Therapeutics Inc. (CTIC)
 
10:30 am - 11:00 am RiceBran Technologies (RIBT)   3:00 pm - 3:30 pm CopyTele, Inc. (COPY)
 
11:00 am - 11:30 am True Drinks Holdings, Inc. (TRUU)   3:30 pm - 4:00 pm VolitionRX Limited (VNRX)
 
11:30 am - 12:00 pm DS Healthcare Group, Inc. (DSKX)   4:00 pm - 4:30 pm Vapor Corp. (VPCO)
 
12:00 pm - 1:30 pm Lunch   4:30 pm - 5:00 pm Galaxy Gaming Inc (GLXZ)
 
Estate 9 - Broadway
 
9:00 am - 9:30 am Cyalume Technologies Holdings, Inc. (CYLU)   1:30 pm - 2:00 pm Heska Corp (HSKA)
 
9:30 am - 10:00 am DecisionPoint Systems Inc (DPSI)   2:00 pm - 2:30 pm PANEL
 
10:00 am - 10:30 am Fusion Telecommunications Int'l, Inc. (FSNN)   2:30 pm - 3:00 pm PANEL
 
10:30 am - 11:00 am PANEL   3:00 pm - 3:30 pm Boldface Group Inc. (BLBK)
 
11:00 am - 11:30 am PANEL   3:30 pm - 4:00 pm NTS Communications , Inc. (NTS)
 
11:30 am - 12:00 pm SearchCore Inc (SRER)   4:00 pm - 4:30 pm RiT Technologies Ltd. (RITT)
 
12:00 pm - 1:30 pm Lunch   4:30 pm - 5:00 pm CUI Global Inc. (CUI)
 
Estate 10 - Winter Garden
 
9:00 am - 9:30 am Alteva, Inc. (ALTV)   1:30 pm - 2:00 pm CAS Medical Systems Inc. (CASM)
 
9:30 am - 10:00 am CIBT Education Group Inc (MBA)   2:00 pm - 2:30 pm The LGL Group, Inc. (LGL)
 
10:00 am - 10:30 am Coronado Biosciences Inc (CNDO)   2:30 pm - 3:00 pm Cancer Genetics, Inc. (CGIX)
 
10:30 am - 11:00 am SG Blocks, Inc. (SGBX)   3:00 pm - 3:30 pm China Distance Education Holdings Limited (DL)
 
11:00 am - 11:30 am Innovative Food Holdings Inc. (IVFH)   3:30 pm - 4:00 pm Lattice Inc. (LTTC)
 
11:30 am - 12:00 pm The Hackett Group, Inc. (HCKT)   4:00 pm - 4:30 pm New Western Energy Corp (NWTR)
 
12:00 pm - 1:30 pm Lunch   4:30 pm - 5:00 pm TBD