Tailored to community banks looking to enhance value and increase visibility for their shareholders. Listen in as OTC Markets and FIG Partners walk you through the opportunities other banks have gained by trading on the OTCQX market.
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Enhance your visibility via OTCQX in 2018
1. Enhance your Visibility via OTCQX
in 2018
Laura Hamilton, Associate Vice President, OTC Markets Group
Mike Acampora, Senior Vice President, FIG Partners
Troy N Carlson, Senior Vice President, FIG Partners
December 6, 2017
2. OTC MARKETS GROUP INC. (OTCQX: OTCM)
2
To create better informed and more efficient financial markets
Our Mission
OTC Markets Group Inc. (OTCQX: OTCM) operates the OTCQX® Best Market, the OTCQB®
Venture Market, and the Pink® Open Market for 10,000 U.S. and global securities.
Through OTC Link® ATS, we connect a diverse network of broker-dealers that provide liquidity and
execution services. We enable investors to easily trade through the broker of their choice and
empower companies to improve the quality of information available for investors.
OTC Link ATS is an SEC registered Alternative Trading System, operated by OTC Link LLC, member
FINRA/SIPC and SEC regulated ATS.
What We Do
3. FIG PARTNERS
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FIG Partners’ Corporate & Private Client Services provides best-in-class, buy and sell strategies to meet the
liquidity needs of bank executives, directors and individual shareholders.
As a leading market maker in community bank stocks, our team is in daily contact with large institutional and
individual investors active in your shares. These relationships enable us to effectively buy or sell large blocks
of shares without effecting the market price of the stock.
FIG’s trading desk, combined with the experience of the Private Client Services team, delivers the best
possible trading execution in any market with an exceptional level of client service. We provide a range of
services to manage concentrated stock positions. We have significant expertise in stock and options trading,
stock buybacks, Rule 144 and 10b5.1 transactions.
We’re focused on helping you realize the value you’ve built in your company’s shares.
Corporate & Private Client Services
5. OUR MARKETS
We organize 10,000 securities into three markets to better inform investors
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The Best Market
• Established, investor-focused U.S. and global companies
• High financial standards, best practice corporate governance and
compliance with U.S. securities laws
• Current public reporting
• Penny stocks, shells and companies in bankruptcy cannot qualify for
OTCQX
The Venture Market
• Early-stage and developing U.S. and international companies
• Current public reporting and an annual verification and management
certification
• Must meet $0.01 bid test and may not be in bankruptcy
The Open Market
• Allows broker-dealers to electronically trade all types of companies
• Companies not providing adequate information to investors
• No minimum financial standards
• Investors should research and exercise caution
6. CHALLENGES BANKS, BROKERS, AND INVESTORS
FACE TRADING ON PINK VS. OTCQX/OTCQB
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• Pink peer group - bankrupt, financially distressed, and penny stock companies
• Issues depositing pink securities – forms must be completed for FINRA if traded on
Pink
• Liquidity
• Accessing current financial information
• No Penny Stocks allowed on OTCQX market – reduces risk and volatility of stock
• No Blue Sky Recognition on Pink
7. RAISING CAPITAL AND ATTRACTING NEW
INVESTORS
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• Trade on an SEC established public market – helps when registering an equity line
financing
• Use stock as a currency
• Trading Visibility – how to access institutional and high net worth individual bank
stock investors
• Brokerage Firms – how to accept shares for deposit by shareholders
9. BLUE SKY FOR SECONDARY TRADING
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Limitations if not Blue Sky Compliant
• Broker-dealer cannot distribute research
• No transactions in managed accounts
• No advice or solicitation relating to the security
• Rescission risk
Blue Sky Manual Exemption
• Transactional exemption
• Company information in a “nationally
recognized securities manual”
• Working with NASAA & states to have
OTCQX and OTCQB recognized as
manuals
10. PROCESS OF MOVING TO OTCQX
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• Consult Corporate Sponsor (i.e. FIG Partners)
• Submit OTCQX Application
• Upload Previous Two Years of Financial Reports
• Begin Trading on OTCQX
12. Laura Hamilton
Associate Vice President
OTC Markets Group
212.896.4482
laura@otcmarkets.com
Mike Acampora
Senior Vice President
FIG Partners
904.354.0441
macampora@figpartners.com
Troy N Carlson
Senior Vice President
FIG Partners
917.828.6200
tcarlson@figpartners.com