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-Audio Kit Available Upon Request-
The Marriot Marquis
October 13-14, 2004
New York, NY
WEDNESDAY, OCTOBER 13, 2004
Registration, Breakfast & Networking
8:00 – 8:30 AM
Sponsored by ThinkEquity Partners
8:00 – 8:30 AM
Sponsored by ThinkEquity Partners
Opening Remarks & the State of the Market
8:30 – 9:00 AM
Steven Dresner, publisher of The PIPEs Report, opens the event with some brief remarks. The annual State of the Market presentation will then provide a backdrop for the event through an up-to-date analysis of what’s happening in the business of PIPEs.
SPEAKER: E. Kurt Kim, CEO, PrivateRaise
Sponsored by PrivateRaise
8:30 – 9:00 AM
Steven Dresner, publisher of The PIPEs Report, opens the event with some brief remarks. The annual State of the Market presentation will then provide a backdrop for the event through an up-to-date analysis of what’s happening in the business of PIPEs.
SPEAKER: E. Kurt Kim, CEO, PrivateRaise
Sponsored by PrivateRaise
The State of the Market
8:05 - 8:20 AM
Our annual state of the market includes statistics from PrivateRaise along with commentary on the latest trends in PIPEs and Registered Directs.
SPEAKER: KURT KIM, PrivateRaise
Sponsored by PrivateRaise
8:05 - 8:20 AM
Our annual state of the market includes statistics from PrivateRaise along with commentary on the latest trends in PIPEs and Registered Directs.
SPEAKER: KURT KIM, PrivateRaise
Sponsored by PrivateRaise
Finding & Evaluating Deals
9:10 – 10:00 AM
Veteran investors discuss how they evaluate deals. These panelists bring clarity to specifics such as how to structure transactions and trade securities.
MODERATOR: Jack Hogoboom, Lowenstein Sandler
PANELISTS: Stewart Flink, Crestview Capital; Larry Goldfarb, BayStar Capital; Paul Kessler, Bristol Group of Companies
Sponsored by Lowenstein Sandler
9:10 – 10:00 AM
Veteran investors discuss how they evaluate deals. These panelists bring clarity to specifics such as how to structure transactions and trade securities.
MODERATOR: Jack Hogoboom, Lowenstein Sandler
PANELISTS: Stewart Flink, Crestview Capital; Larry Goldfarb, BayStar Capital; Paul Kessler, Bristol Group of Companies
Sponsored by Lowenstein Sandler
Regulatory Issues: Enforcement, Investigations, & Fund Registration
What it All Means for the Business of PIPEs
10:10 – 11:00 AM
Our panel of legal experts and regulatory officials contemplate the environment on Wall Street. Detailed discussions about current issues, including proposed rule changes, market and exchange dynamics, and pending hedge fund registration, provide an overview of how the law influences the business of PIPEs.
How do recent regulatory activity and investigations impact the business? Will hedge fund registration affect the growth of PIPE funds?
MODERATOR: Samuel Krieger, Krieger & Prager
PANELISTS: Ele Klein, Schulte Roth & Zabel; Joe Price, NASD; Joe Smith, Feldman Weinstein; Michael Spolan, Michael Spolan & Associates
** Conference attendees should attend the Day Two Workshops for coverage of every legal and regulatory issue relevant to private investments in public equity. **
What it All Means for the Business of PIPEs
10:10 – 11:00 AM
Our panel of legal experts and regulatory officials contemplate the environment on Wall Street. Detailed discussions about current issues, including proposed rule changes, market and exchange dynamics, and pending hedge fund registration, provide an overview of how the law influences the business of PIPEs.
How do recent regulatory activity and investigations impact the business? Will hedge fund registration affect the growth of PIPE funds?
MODERATOR: Samuel Krieger, Krieger & Prager
PANELISTS: Ele Klein, Schulte Roth & Zabel; Joe Price, NASD; Joe Smith, Feldman Weinstein; Michael Spolan, Michael Spolan & Associates
** Conference attendees should attend the Day Two Workshops for coverage of every legal and regulatory issue relevant to private investments in public equity. **
Networking Break
11:10 – 11:30 AM
11:10 – 11:30 AM
Investing in PIPE Funds
11:40 – 12:30 PM
As a hybrid equity strategy, PIPEs are difficult to define. This panel of up-and-coming fund managers addresses commonly asked questions about the fundraising process and contemplates PIPEs as a unique asset class.
MODERATOR: Dan Burstein, Millennium Technology Ventures
PANELISTS: Mitch Levine, Enable Capital; Andy Reckles, PEF Advisors; Kurt von Holzhausen, National Hall Capital; Steven Winters, Gemini Investment Strategies.
11:40 – 12:30 PM
As a hybrid equity strategy, PIPEs are difficult to define. This panel of up-and-coming fund managers addresses commonly asked questions about the fundraising process and contemplates PIPEs as a unique asset class.
MODERATOR: Dan Burstein, Millennium Technology Ventures
PANELISTS: Mitch Levine, Enable Capital; Andy Reckles, PEF Advisors; Kurt von Holzhausen, National Hall Capital; Steven Winters, Gemini Investment Strategies.
Lunch & Conference Keynote
12:40 – 1:50 PM
Mr. Ellis, author of 10 books including Winning the Loser’s Game, is a recognized expert on investment management and former Managing Partner of Greenwich Associates. Join us to hear Charles share his thoughts and gain valuable insight into the world of institutional investing.
Attendees will receive a signed copy of his latest book, Capital: The Story of Long-Term Investment Excellence.
KEYNOTE SPEAKER: Charles Ellis, Author & Founder, Greenwich Associates
Sponsored by Richardson & Patel
12:40 – 1:50 PM
Mr. Ellis, author of 10 books including Winning the Loser’s Game, is a recognized expert on investment management and former Managing Partner of Greenwich Associates. Join us to hear Charles share his thoughts and gain valuable insight into the world of institutional investing.
Attendees will receive a signed copy of his latest book, Capital: The Story of Long-Term Investment Excellence.
KEYNOTE SPEAKER: Charles Ellis, Author & Founder, Greenwich Associates
Sponsored by Richardson & Patel
Investing in Micro Caps
2:00 – 2:50 PM
Thousands of companies trade in the sub-$100 million market cap range. Learn how this group of experienced investors and issuers counsel negotiate transactions for less liquid companies.
MODERATOR: Greg Sichenzia, Sichenzia Ross Friedman Ference
PANELISTS: David Grin, Laurus Capital Management; David Firestone, Mercator Advisory Group; Corey Ribotsky, The NIR Group; Troy Rillo, Cornell Capital Partners
Sponsored by Sichenzia Ross Friedman Ference
2:00 – 2:50 PM
Thousands of companies trade in the sub-$100 million market cap range. Learn how this group of experienced investors and issuers counsel negotiate transactions for less liquid companies.
MODERATOR: Greg Sichenzia, Sichenzia Ross Friedman Ference
PANELISTS: David Grin, Laurus Capital Management; David Firestone, Mercator Advisory Group; Corey Ribotsky, The NIR Group; Troy Rillo, Cornell Capital Partners
Sponsored by Sichenzia Ross Friedman Ference
Networking Break
3:00 – 3:30 PM
3:00 – 3:30 PM
Investment Banking
3:40 – 4:30 PM
Our banking panel discusses how a changing Wall Street has influenced customary practices such as finding and placing deals.
MODERATOR: Michael Finkelstein, Stonestreet
PANELISTS: Stuart Bressman, Brown Raysman Millstein Felder & Steiner; Richard Gormley, SG Cowen Securities; Michael Jacks, The Shemano Group; Deborah Quazzo, ThinkEquity Partners
Sponsored by Stonestreet LP
3:40 – 4:30 PM
Our banking panel discusses how a changing Wall Street has influenced customary practices such as finding and placing deals.
MODERATOR: Michael Finkelstein, Stonestreet
PANELISTS: Stuart Bressman, Brown Raysman Millstein Felder & Steiner; Richard Gormley, SG Cowen Securities; Michael Jacks, The Shemano Group; Deborah Quazzo, ThinkEquity Partners
Sponsored by Stonestreet LP
Closing Remarks
4:40 – 5:00 PM
Day One wraps up with closing remarks from our conference chairman and key event sponsors.
4:40 – 5:00 PM
Day One wraps up with closing remarks from our conference chairman and key event sponsors.
The PIPEs Conference Cocktail Reception
5:15 - 6:45 PM
Join us to network with the industry’s leading dealmakers. If you are a public company looking for financing or just looking to meet investors, you won’t want to miss this cocktail reception. While you’re building your rolodex, you’ll be entertained by one of the greatest guitarists in the country! Virtuoso Anthony Mazzella will be dazzling us with his style of modern guitar.
"The new generation of guitar hero!"
— Billboard Magazine
"One of the top ten guitarists in the country!"
— Guitar One Magazine
"Masterful skill and talent. The energy emanating from him and his instrument was felt throughout the room."
— The New York Times
5:15 - 6:45 PM
Join us to network with the industry’s leading dealmakers. If you are a public company looking for financing or just looking to meet investors, you won’t want to miss this cocktail reception. While you’re building your rolodex, you’ll be entertained by one of the greatest guitarists in the country! Virtuoso Anthony Mazzella will be dazzling us with his style of modern guitar.
"The new generation of guitar hero!"
— Billboard Magazine
"One of the top ten guitarists in the country!"
— Guitar One Magazine
"Masterful skill and talent. The energy emanating from him and his instrument was felt throughout the room."
— The New York Times
THURSDAY, OCTOBER 14, 2004
Breakfast & Networking
8:00 – 8:30 AM
8:00 – 8:30 AM
Workshop: What Issuers Need to Know
8:30 – 10:15 AM
Workshop leader James Tanenbaum will take us on a tour of PIPEs by exploring industry terminology and all the things companies and their counsel should keep in mind when consummating deals.
Sponsored by Morrison & Foerster
8:30 – 10:15 AM
Workshop leader James Tanenbaum will take us on a tour of PIPEs by exploring industry terminology and all the things companies and their counsel should keep in mind when consummating deals.
- Developments in PIPEs & Registered Direct Offerings
- Terms of PIPE Transactions
- Closing Conditions and Considerations
- P.O.V. of NASD and the SEC
- Shaping your Clients’ Expectations
- Pros & Cons of Registered Directs
- Things your Clients will Want to Know
Sponsored by Morrison & Foerster
Networking Break
10:15 – 10:30 AM
10:15 – 10:30 AM
Workshop: What Investors Need to Know
10:30 – 12:15 PM
Active investor counsel Perrie Weiner leads this technical workshop to bring clarity to the issues affecting anyone who invests in PIPE transactions. Investors, bankers, and securities attorneys will benefit from this concentrated legal and investment workshop.
Sponsored by Piper Rudnick
10:30 – 12:15 PM
Active investor counsel Perrie Weiner leads this technical workshop to bring clarity to the issues affecting anyone who invests in PIPE transactions. Investors, bankers, and securities attorneys will benefit from this concentrated legal and investment workshop.
- Proposed Registration for Hedge Funds
- SEC Investigation Into Hedge Funds and Brokerage Houses
- Regulation SHO
- Naked Shorting Litigation
Sponsored by Piper Rudnick
Closing Remarks
12:30 – 12:45 PM
The conference wraps up with closing remarks from our conference chairman and key event sponsors.
12:30 – 12:45 PM
The conference wraps up with closing remarks from our conference chairman and key event sponsors.
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