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Posts by Rob Leggat

Rob Leggat is a Managing Director on Westwicke's institutional marketing team. He has extensive experience with the life sciences, medical technology, and services/HCIT verticals within the healthcare market. He has a BA in government from Dartmouth College.

5 Ways Experience Drives Strategic IR Best Practices

Posted on February 26th, 2019. Posted by

Investor Relations

At Westwicke, an ICR Company, we know what constitutes investor relations (IR) best practices for one important reason: as former investors, bankers, analysts, and salespeople, we have the experience to understand information flow dynamics on Wall Street and the proven strategies. We have discussed specific best practices of a good IR strategy at length – sometimes in broad strokes and other times in greater detail. Every once in a while, however, it is important to pick your head up out of the trees and view the forest to get a sense of the prevailing buy-side perspective on IR and confirm that your intuition is in fact correct. I recently came across a global buy-side survey conducted by Rivel Research Group that underscores our qualitative expertise on IR strategy with quantitative measures. It is important for management teams of publicly traded companies to consider these buy-side perspectives as they approach IR.

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A New Approach to Corporate Access and Investor Targeting

Posted on April 25th, 2018. Posted by

A New Approach to Corporate Access and Investor Targeting

The newly implemented MiFID II regulation, aimed at improving fairness and transparency in financial markets, may bring about important changes in the way many publicly traded companies in the United States introduce themselves to desirable investors.

In a post-MiFID II environment, it is imperative that management teams of public healthcare companies take a proactive approach to shareholder targeting and their corporate-access strategy.

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MiFID II: New EU Regulations Will Have a Huge Global Impact

Posted on July 25th, 2017. Posted by

MiFID II is a term you are bound to hear more often over the second half of 2017. It is the European Union’s Markets in Financial Instruments Directive II, a financial services regulation in the EU that will unbundle broker/dealer research and corporate access services from execution services. It is scheduled to become effective on January 3, 2018.

As an executive of an American public healthcare company, you might be asking yourself why you need to be aware of a European regulation. The answer: Because many major institutions operate on a global basis, the impact, while initially centered in Europe, will ultimately be felt in all corners of the global financial markets.

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Four Considerations For Your Non-Deal Road Show Strategy

Posted on March 15th, 2017. Posted by

Four Considerations For Your Non-Deal Road Show Strategy

There’s never a better time than the present to chart your investor interaction strategy over the coming months. What investors do you still need to meet with this year – including follow-ups to initial meetings you’ve already held, and meetings with new investors with whom you haven’t yet connected?

Do you have plans for which conferences to attend, new KOLs to contact, or for attracting new sell-side research?

Of course, all of this consideration needs to be prioritized within the context of your company’s upcoming catalysts: clinical trial progress, data readouts, product approvals, product launches, potential financings, growth target bogeys, and other various metrics investors will use to gauge your progress.

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ATM Financing: 6 Considerations for Public Companies

Posted on October 19th, 2016. Posted by

ATM Financing: 6 Considerations for Public Companies

As an executive, you understand the importance of formulating a long term capital sourcing strategy that will provide you the cash necessary to support your company’s growth. You are constantly asked in investor meetings: “How much cash do you have on the balance sheet?” “How long will that last you?” So how do you prepare to ensure that your business remains well capitalized?

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Investment Banks: Finding the Best Syndicate Group for You

Posted on July 6th, 2016. Posted by

Investment Bank Syndicate Groups

If you are a healthcare company executive who is contemplating, in the process of, or has completed an IPO, chances are you have met with a number of investment banks. In these meetings, each bank shows a varying number of league tables that position the bank in a positive light relative to its peers. The data presented is useful for finding banks active in your space, but the parameters defining the table can be adjusted to portray any institution in a position of relative strength. The bottom line is that investment banks are good at what they do, and all of their bankers are bright, diligent, capable, client-focused, and extremely hard-working professionals. Without these attributes, they would not be in such a role.

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Non-Deal Road Shows: A Leading Investor’s Top 5 Tips

Posted on March 2nd, 2016. Posted by

As an institutional sales person covering the Boston region for over 15 years, I have sat through countless non-deal road show meetings with investors. The best-managed and most insightful meetings I witnessed were with a small-cap growth portfolio manager who ran over $4 billion in mutual fund assets.

While past posts on non-deal road shows have addressed their benefits, and on how to make them effective for the company seeking investment, this time I would like to consider the long-term investor’s perspective. What are their expectations and what do they hope to accomplish through these meetings? I have summoned the views of the previously mentioned PM and would like to share them with you:

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