NIRI Cincinnati - Corporate Access & Investor Outreach
10.9.13
© Copyright 2013, The NASDAQ OMX Group, Inc. All rights reserved.
Chris Dearborn - Managing Director,
NASDAQ Market Intelligence Desk
Christopher Dearborn is a Managing Director on the Market Intelligence Desk at The NASDAQ OMX Group, Inc. In this role,
he is responsible for providing timely, accurate and objective market and trading-related information to NASDAQ-listed
companies.
A trading veteran, Mr. Dearborn has over two decades of equity market experience including floor and screen based trading,
giving him a deep understanding of the domestic and global equity markets.
Prior to joining NASDAQ, Mr. Dearborn was Director of Corporate Access for Phoenix Partners Group and Bay Crest
Partners, both boutique agency-only broker dealers. Earlier in his career, he was a senior partner at Van Der Moolen
Specialists, a NYSE specialist firm, where he was a market maker at the point-of-sale for allocated domestic and
international stocks including trading supervision, asset allocation, corporate initial public offerings, company buybacks and
mergers and acquisitions.
Mr. Dearborn graduated from the University of Dayton with a Bachelor of Arts in Political Science.
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© Copyright 2013, The NASDAQ OMX Group, Inc. All rights reserved.
MARKET INTELLIGENCE DESK
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Ability to inform management with insight
into factors driving stock performance
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Notify of unusual activity, providing realtime volume, block trade and price data
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Monitor technical indicators, options
activity, news, as well as peer and
broader market performance
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Access to proprietary trade data enables
our directors to provide accurate insight
into specific order-flow impacting stock
performance
•
Desk is staffed with veteran traders, stock
analysts, and market structure experts
that are adept at understanding market
trends and trading patterns
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AGENDA
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Corporate Access Defined
Types of Marketing
Corporate Access Participants
Investor Outreach & Targeting
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© Copyright 2013, The NASDAQ OMX Group, Inc. All rights reserved.
Corporate Access Defined
• Traditional Research Model vs. Current
• Sell Side Research Defined
• Rule Changes
• Buy Side Demand
• Corporate Access
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© Copyright 2013, The NASDAQ OMX Group, Inc. All rights reserved.
Types of Marketing
• Use of Management time
• Conferences (1:1’s)
• Non-Deal Roadshows
• Analyst Days
• On-Site Visits
• Conference Calls
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© Copyright 2013, The NASDAQ OMX Group, Inc. All rights reserved.
Corporate Access Participants
• Sell Side vs. Buy Side
• Meeting Structure
• Commission Structure (broker compensation)
• Coverage
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© Copyright 2013, The NASDAQ OMX Group, Inc. All rights reserved.
Investor Outreach & Targeting
• Current Holders
• Prospective Holders
• Investment Thesis
• Long/Short Investors (Hedge Funds)
• Broker Follow-Up
• Event Costs
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© Copyright 2013, The NASDAQ OMX Group, Inc. All rights reserved.
QUESTIONS & ANSWERS
NIRI Cincinnati - Corporate Access & Investor Outreach
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© Copyright 2013, The NASDAQ OMX Group, Inc. All rights reserved.
NIRI Cincinnati - Corporate Access & Investor Outreach
NASDAQ Contacts:
Chris Dearborn
Managing Director
NASDAQ OMX
646-441-5408
Chris.Dearborn@nasdaqomx.com
Stephen Chalmers
Managing Director
NASDAQ OMX
312-601-2177
Stephen.Chalmers@nasdaqomx.com
Rob Vanderheyden
Director
NASDAQ OMX
312-601-3512
Rob.Vanderheyden@nasdaqomx.com
© Copyright 2013, The NASDAQ OMX Group, Inc. All rights reserved.