Capital Markets Update
35th Annual Roth Conference
The Ritz Carlton, Laguna Niguel, Dana Point, CA
March 14, 2023
Oded Har-Even moderated the "Capital Markets Update" at the 35th Annual Roth Conference on March 14, 2023 at 8:00am PST. Sullivan also sponsored the panel.
The update featured a panel comprised of Wes Cummins, CEO of 272 Capital, Andrew Hall, Managing Partner of Nasdaq, David Enzer, Managing Director of ROTH MKM, and Bob Johnston, Managing Director of Herald Investments. They discussed the options, as well as the benefits and detriments and highlighted what to be aware of.
Topics covered included:
- Market and share prices remain volatile yet overall market sentiment has improved and opened the door to a number of financing options
- Equity shares, convertible debt, structured notes, ELOCs, ATMs, FPAs, IP loans are common and offer issuers more capital markets options
- Creative financing solutions, some which can be done in parallel can be pursued
- These solutions often receive scrutiny from the SEC and Exchanges over regulations and continued listing requirements