Small, micro and nano companies are subject to the same stresses on governance from the investment community, activists, proxy advisors and regulators as large companies but often are challenged for resources. Join us for a highly interactive session that is designed to provide practical guidance for directors and C-suite officers of small, micro and nano cap public companies on topics such as:
Greater effectiveness in your institutional shareholder relations
Recognizing an activist in your midst
Responding to a proxy campaign
Dealing with proxy advisors
Attracting and retaining qualified directors
Getting analyst attention
Engaging the right advisors
You¹ll hear from our panel of experts and also have an opportunity to network with other companies of similar size and take away useful contacts and materials targeted to your segment of the
Chief Operating Officer & Co-Founder, Alliance Advisors, MODERATOR
Joseph Caruso has been an active leader in the shareholder communications, intelligence, and advisory industries for both corporate issuers and mutual funds since 1995. In his role as client advisor, he has worked with hundreds of public companies and mutual funds collaborating with executive management and boards to craft shareholder engagement and outreach programs as well as advise on governance-related matters.
As chief operating officer and cofounder of Alliance Advisors and its affiliate company Alliance Shareholder Communications, Caruso leads the ongoing development and expansion of the firm's service offerings. Through his oversight of the marketing and business development teams, Alliance now maintains a 20% market share in its industry. He is also responsible for overseeing the executive management personnel and operations, including IT, facilities, and call center operations of Alliance Advisors and its affiliate Alliance Shareholder Communications. He serves the companies' nine-member board and participates in the strategic planning, operational, and finance committees.
Caruso earned a BS in Political Science and Business from St. John's University/The American University of Rome. He is a member of the Society for Corporate Governance and the National Association of Corporate Directors (NACD). He also serves as chairman for the Organization For Economic Growth, a New Jersey-based economic political action committee.
General Manager, Financial Communications & Capital Markets, New York, Edelman
Josh combines his background in finance, capital markets and public policy and corporate orientation to develop and lead integrated communications campaigns and investor relations programs.
Josh has extensive expertise advising C-suite executives and boards of directors on communications during sensitive situations, including shareholder issues, shareholder activism, IPOs, contested and friendly M&As, spin-offs, restructurings, bankruptcies, and other corporate crises.
Activism/Short Defense: Numerous behind-the-scenes preparedness and corporate defense assignments against activists for companies in the TMT, gaming, hospitality, consumer and industrial industries; Argo International and Voce Capital; Aurinia Pharmaceuticals and ILJIN; E.W. Scripps and GAMCO; Macquarie Korea Asset Management and Platform Partners; MDC Partners and Gotham City; Diamond Resorts and FrontFour Capital; Ascent Capital and GAMCO; Eros International and Knight Assets; Eros International and GeoInvesting; Elliott Management and Hess Corp.; Gaylord Entertainment and TRT Holdings; Ryman Hospitality and GAMCO; Higher One and Brave Warrior.
Crisis and Corporate Issues: SeaWorld reputational programs; Philips reorganization; Kerzner International ownership transition; One&Only hurricane response; Opryland flood; EveryWare Global bankruptcy and shareholder litigation; RHI Entertainment pre-packaged reorganization; TiVo and DISH patent litigation; GM Bondholders and GM’s reorganization plan; BearingPoint bankruptcy; Graham Packaging reorganization; Neff Corp. reorganization.
Transactions: ScottsMiracle-Gro/Sunlight Supply; Diamond/Apollo, TiVo/Rovi, Tribune Media/Real Estate transactions; MultiPlan/Hellman & Friedman/Starr/Carlyle, Ascent Capital/MONI, Shutterstock/Flashstock, Starz/Lionsgate, Gaylord/Marriott, Tenaska/US Powergen; Primedia/TPG Capital; Diamond Resorts/Pacific Monarch/Intrawest; Ascent Media/Deluxe Entertainment; Ascent Media/Monitronics; Neff/Lightyear Capital.
Leadership Transitions: Argo International management transition; SeaWorld CEO transition; Immunomedics CEO transition; Diamond Resorts Board changes; Philips Healthcare CEO transition; TiVo CFO transition; Gaylord Entertainment leadership changes; AgroFresh CEO and CFO transitions.
IPOs/Spinoffs: Liberty Media/Starz; Cablevision/AMC Networks; Stonegate Mortgage; Diamond Resorts; Eros International; Resolute Energy; LG Display; EveryWare Global; Boise Paper; Fortis Inc.; RHI Entertainment; Hughes Telematics; Ascent Media.
Josh joined Edelman after more than 13 years at Sloane & Company, where he was a Managing Director and head of the capital markets and investor relations practice. Prior to joining Sloane & Company, Josh was a founding partner of Vistance Group, a boutique corporate communications firm, and a senior member of Fleishman Hillard’s corporate communications practice.
Josh graduated with honors from Washington University in St. Louis.
KAI LIEKEFETT is a partner in New York and chairs Sidley’s Shareholder Activism practice. He is one of very few lawyers in the world who devote 100% of their time to activism defense and proxy fights. He has more than 18 years of experience in corporate law in New York, London, Germany, Hong Kong and Tokyo. In the last five years, Kai has been involved in nearly 50 proxy contests, more than any other defense attorney in the world.
Kai has been named a “2019 Dealmaker of the Year” by The American Lawyer for the Wynn Resorts proxy contest. He has been recognized in the 2017, 2018 and 2019 editions of Chambers USA as one of only seven leading attorneys for Corporate/M&A: Takeover Defense.
He frequently teaches classes on shareholder activism, including at Harvard University and speaks regularly on panels around the world.
Kai is frequently interviewed and quoted as a thought leader by the national and international media, including CNN, The Wall Street Journal, CNBC, The New York Times, Bloomberg, Reuters, Financial Times, USA Today, Forbes, Law360 and The Deal. He sits also on the advisory board of the New York Chapter of the National Association of Corporate Directors (NACD).
Kai holds a Ph.D., magna cum laude, from Freiburg University; an EMBA, summa cum laude, from MÃ¼nster Business School and an LL.M., James Kent Scholar, from Columbia Law School. He was in the top 0.1% nationwide in his First Legal State Exam (J.D. equivalent) and in the top 1.5% nationwide in his Second Legal State Exam in Germany.