Conference Profile
More than 70% of U.S. public companies fall in the "Micro Cap" designation. Most of these companies
struggle to meet the challenges of complying with a regulatory scheme designed for significantly larger
public companies with significantly greater resources.
In an attempt to obtain refuge from the increasing regulatory requirements, including the Sarbanes-Oxley Act of 2002, a large number of micro cap companies have gone private or retreated to the Pink Sheets. Should your company join them or are there better options for your company's stakeholders?
The 2005 BayHill Micro Cap Conference answers this question and addresses the foremost concerns of Micro Cap CEOs and CFOs: "What are the Alternatives to De-listing?", "How can we Achieve Regulatory Compliance Economically?", and "What if our Company Won't be Ready for the 2006 Sarbanes-Oxley deadline?".
Industry insiders such as Robert Robotti, Byron Roth, and John Wall will provide insights from the perspective of the SEC, institutional investors, and small cap companies. The conference's small work group sessions let you interact with legal, finance, audit and public communication experts who will outline detailed options for growth and a build a clear roadmap for compliance.
Wednesday October 5, 2005
Optional Golf or Tour of Utah Olympic Facilities
12:00 - 5:00 PM
Pre-Registration
4:00 - 7:00 PM
Welcome Reception & Networking
5:00 - 7:00 PM
Thursday, October 6, 2005
Registration, Breakfast & Networking
7:15 - 8:00 AM
Welcome "Setting Your Future Course - Grow, De-list or ?"
8:00 - 8:15 AM
BayHill will introduce a roadmap outlining the information you will need to make an appropriate decision for your company - should you focus on growth, pursue de-listing, or consider other alternatives?
Keynote Address "How Will New SEC Regulations Hit Micro Cap Companies?"
Keynote Speaker: Robert Robotti, Robotti & Company and Member of the SEC Advisory Committee on Smaller Public Companies
Mr. Robotti will provide an overview of the regulatory landscape and explain the intensity and urgency for change in the micro cap market resulting from public and government pressures. Specific compliance requirements will be discussed and timing for implementation.
Break & Networking
9:00 - 9:15 AM
Breakout Sessions
9:15 - 10:30 AM
Growth-1 "Leveraging Your Public Entity as an Asset for Growth"
Rapid and sustained growth is the investor-friendly alternative to going private or listing on the Pink Sheets. BayHill will outline a model for growth that transforms a micro cap's public listing from a liability into a strategic asset.
Compliance-1 "SOX Compliance - Section 404 Compliance"
This session will identify the key requirements for complying with the rapidly approaching SOX internal control obligations and ways to economically address getting your company to the right level.
Breakout Sessions (Sessions "Growth-1" and "Compliance-1" Repeated)
10:30 - 11:30 AM
Lunch & Keynote
11:30 - 1:00 PM
Keynote "What Makes a Micro Cap Attractive to Institutional Investors?"
Keynote Speaker: Byron Roth, Chairman & CEO, Roth Capital Partners
Over the last 10 years, Roth Capital has raised more than $6.4 billion for micro cap companies and currently leads the nation in both number of PIPE transactions and dollar volume. Byron Roth will explain what investors want from micro cap companies and what you need to do to improve your company's prospects for funding.
Breakout Sessions
1:00 - 2:00 PM
Growth-2 "How to Access Appropriate Funding"
Knowing where to shop your company will save you time and help you find more than just money. The speaker will discuss how to identify the right kind of funding for your company and how to leverage intangible value brought by an investment partner.
Compliance-2 "SOX Compliance - Legal Requirements"
This session will provide an overview of legal requirements applicable to micro cap companies. It will also address what changes are required should you migrate to the Nasdaq small cap market.
Break & Networking
2:00 - 2:15 PM
Breakout Sessions (Sessions "Growth-2" and "Compliance-2" Repeated)
2:15 - 3:15 PM
Break & Networking
3:15 - 3:30 PM
Breakout Sessions
3:30 - 4:30 PM
Growth-3 "Insiders Guide to Listing on AMEX or NASDAQ"
To take advantage of being public and create greater liquidity for your shareholders moving your company toward national listing is important. What are the requirements to list your company on AMEX or NASDAQ and what is the right path for your company?
Compliance-3 "Establishing Appropriate Corporate Governance Practices - Why Should Directors, Officers and Shareholders be Concerned?"
This session presents a view of how your board and management team needs to be structured to address the web of regulatory requirements, including SOX, and how requirements may differ by trading market. You should take away key recommendations and practices that need to be adopted by your company.
Break & Networking
4:30 - 4:45 PM
Breakout Sessions (Sessions "Growth-3" and "Compliance-3" Repeated)
4:45 - 5:45 PM
Cocktail Reception & Networking
5:45 PM -
Friday, October 7, 2005
Breakfast & Networking
7:15 - 8:00 AM
Keynote Address "The Diary of a Breakout Micro Cap"
8:00 - 8:45 AM
Keynote Speaker: John Wall, Founder & CEO of Vista Corporation & Wall Data
John Wall has founded and grown two successful public companies in the past 15 years. Mr. Wall will describe how the market has changed for small cap companies during that time and articulate his vision for growing Vista Corporation within the framework of new regulations.
Break & Networking
8:45 - 9:00 AM
Breakout Sessions
9:00 - 10:00 AM
Growth-4 "How to Build Institutional Support for Your Stock"
Have institutional investors abandoned the micro cap market? BayHill Group introduces a non-sales approach to Investor Relations that delivers highly targeted institutional investors interested in micro cap companies.
Compliance-4 "SOX Compliance - Managing the Financial Reporting and Audit Processes"
A significant issue for companies is how to manage auditor independence and still receive advice on addressing complex transactions and accounting policies. This session will provide an overview of how some companies are reconciling this problem and still keeping appropriate relationships with accounting firms.
Break & Networking
10:00 AM - 10:15 AM
Breakout Sessions (Sessions "Growth-4" and "Compliance-4" Repeated)
10:15 - 11:15 AM
Lunch & Networking
11:30 - 12:30 PM
Breakout Sessions
12:30 - 1:30 PM
Growth-5 "Straight facts on When to Use a PIPE Transaction"
When is a PIPE an appropriate funding tool? What is the upside and where are the potential pitfalls of a PIPE transaction?
Compliance-5 "What if We Won't be Compliant Before January 1, 2006 - Options for Going Private or to the Pink Sheets"
Many public firms simply won't be ready to implement the internal control requirements of the Sarbanes-Oxley Act. The speaker will describe options for moving your company to the Pink Sheets for later recovery or taking the company private.
Break & Networking
1:30 - 1:45 PM
Breakout Sessions (Sessions "Growth-5" and "Compliance-5" Repeated)
1:45 - 2:45 PM
Summary "Now You Decide - Stay Public or Go Private?"
2:45 - 3:00 PM
Scheduled One-on-One sessions (Optional)
3:00 PM -
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