The Special Equities Group

A Division of Bradley Woods & Co. Ltd.

25+ Years of Micro-Cap Advisory Work & Investing

SEG Strategy

Unique Companies with Strong Leadership

SEG partners with select companies that have disruptive technologies, products and/or services, matched with committed, passionate management teams. This approach has proven to be a successful formula for our corporate clients, SEG, and our investors.

A Commitment to Success

The typical micro-cap company needs many years to be successful. This requires access to capital and expertise in navigating the capital markets. SEG has over 25+ years of experience focusing exclusively on the micro-cap sector.

Investment in our Clients

We make principal investments in companies we love; we nurture our clients, advise them, provide them bridge capital and, when necessary, guide them through the up-list process and beyond.

SEG Up-List Expertise

SEG has successfully executed up-lists for the past decade. Our deep-rooted experience and network of dedicated investors are a critical asset in the up- list and capital raising process. An up-list is pivotal for attracting institutional and retail investors, who often cannot purchase OTCBB stocks.

The up-list is the culmination of a lengthy process, in which SEG works alongside the company to tackle issues throughout the process and beyond, such as:
  • Restructuring the cap table

  • Satisfying minimum bid requirements

  • Meeting minimum net equity requirements

  • Strategic introductions to Board members, C-suite executives, and IR/PR firms

  • Increase investor awareness

  • Capital raises post up-list

SEG Up-Lists:

Up-list to Nasdaq

June 2013

Up-list to Nasdaq

March 2014

Up-list to NYSE AMEX

March 2014

Up-list to Nasdaq

July 2014

Up-list to Nasdaq

October 2016

Up-list to Nasdaq

November 2016

Up-list to Nasdaq

November 2018

PIPE Transaction Activity – 2002 to Present

Rank Placement Agent Total Number Total Dollars ($M) Avg. per Placement ($M)
1 H.C. Wainwright 132 $1,279 $9.6
2 Maxim Group, LLC 53 $383 $7.10
3 A.G.P./Alliance Global Partners 39 $386 $9.91
4 Roth Capital Partners, LLC 21 $555 $26.42
5 The Special Equities Group 19 $221 $11.63
6 Ladenburg Thalmann & Co., Inc. 12 $112 $9.33
7 Kingswood Holdings 11 $87 $8.75
8 Fordham Financial Management 7 $278 $29.50
9 Aegis Capital 6 $62 $10.33
10 JonesTrading Institutional Services 5 $48 $9.71

**All transactions executed through The Special Equities Group affiliated broker dealer

*** All Data Excludes Confidentially Marketed Public Offerings (CMPOs) and ATM's

The SEG Team

Joe Reda

Founder/Partner

Jonathan Schechter

Partner

Andrew Arno

Vice Chairman/Partner

Tyler Berry

Senior VP - Capital Markets

Michael Scrobe

VP - Capital Markets

Linda Mackay

Senior VP - Corporate Client Services

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