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Succeeding with Small Cap Equity Financings

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Our next Transactions Affinity Group Meeting on February 28th at Quadrus Conference Center.

What are the challenges in implementing a small/micro cap equity financing in the public markets today and how best to overcome them in? Who are the key investor groups in this segment, how have they changed over time and what are the implications for issuers?

Gain insights from two CFOs, both FEI members, who recently completed equity financings, Mitch Levine, CFO OncoCyte (AMEX:OCX) and Jim Sullivan, CFO, MoSys (NASDAQ:MOSY). Jim and Mitch will provide insights on how they succeeded in their most recent financing and on financing strategies for small/micro caps in general. Mitch, having had an extensive prior career in a hedge fund, will also provide particularly valuable insights into this key investor base.

Learning Objectives:

  • Insights on realities of raising capital in the public markets by small/micro caps
  • Financing strategies for small/micro caps
  • Insights on the evolving investor base focused in the small/micro cap segment, including hedge funds



Mitch Levine

Mitch Levine joined OncoCyte as Chief Financial Officer in November 2017. Prior to joining OncoCyte, Mr. Levine was the Managing Partner of Kirby Cove Capital Advisors, which provides consulting services to international life sciences investment funds regarding collaboration and investment in US-based life sciences companies. In 2002, Mr. Levine founded Enable Capital Management and grew the firm into one of the largest and most respected brands globally in alternative finance. Its flagship fund, Enable Growth Partners, provided growth capital to more than 500 private and publicly traded companies, catalyzing transformative corporate innovation, job growth, and economic expansion in technology, life sciences, consumer products, and energy. Prior to founding Enable, Mr. Levine was a founding member of The Shemano Group, a leading San Francisco-based investment bank that focused on the capital needs of growth companies. He has also worked at Bear Stearns and Lehman Brothers. Mr. Levine received his BA from the University of California, Davis.

OncoCyte is focused on the discovery, development and commercialization of novel, non-invasive, liquid biopsy diagnostics for the early detection of cancer.


James Sullivan
CFO & VP of Finance

Mr. Sullivan brings over 20 years of financial management and accounting experience to MoSys. Prior to joining MoSys, he was Chief Financial Officer and VP of Finance for Apptera, a venture-backed startup which provides technology for voice advertising, search and commerce. Previously, he was Chief Financial Officer and VP of Finance for 8X8, a publicly held company which develops and markets voice over Internet protocol telephone service and technology. Prior to this role, he was Chief Financial Officer at Netergy Microelectronics, a subsidiary of 8X8, which provided voice and video semiconductors and related communication software to original equipment manufacturers and other semiconductor companies. Mr. Sullivan also held various positions with PricewaterhouseCoopers LLP. Mr. Sullivan holds a bachelor of science in accounting from New York University, Stern School of Business and is a Certified Public Accountant.

MoSys, Inc. is a fabless semiconductor company enabling leading equipment manufacturers in the networking and communications markets to support the continual increase in Internet users, data and services.


Jennifer McFarlane

Jennifer McFarlane serves as a Board Director and Advisor to clean tech companies, having played C-level roles in both public and venture-backed companies. Most recently she was CFO, NEXTracker, subsidiary of Flex and the global leader in solar trackers. Prior executive positions included CFO, LanzaTech a global leader in biochemicals, CFO, Zyomyx, and Executive Director at ASX-listed Southern Pacific Petroleum. Previously, Ms. McFarlane was an international investment banker for 10 years including at Salomon Brothers. She holds an MBA from Stanford GSB and BSc/LLB from University of New South Wales, Australia. Jennifer is a member of the Council on Foreign Relations and has been awarded the Centenary Medal by the Prime Minister of Australia.

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Event Information

6:00 PM – 8:00 PM
Quadrus Conference Center
2400 Sand Hill Road
Menlo Park CA 94025

Networking with drinks and light fare, followed by discussion.

Please arrive early for registration!


Meal Type

Heavy Appetizers


CPE Credits

One and a half (1.5) CPE credits available. Field of Study: TBD

FEI is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Questions regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website,



Registration is closed, please contact Micky at [email protected] for questions.