UpListing.com
UpListing.com was established to do things differently.
Locations in Toronto, New York City, and the EU – UpListing.com provides strategic consultative advisory to public and private companies in the implementation of their capital markets objectives and listing on an Internationally Recognized Stock Exchange.
Together UpListing.com and management will develop a comprehensive plan and timeline that meet your company’s capital market needs and growth objectives. We then deploy the resources and methodologies the UpListing.com team has developed and honed over its decade’s long experience to help C-Suite executives successfully navigate to the next level, a senior exchange listing. We are experts in facilitating capital attraction, enhanced liquidity and higher company valuations.
Relationships Matter. The principals, contributors and advisory board of UpListing.com are industry professionals with extensive backgrounds in the global capital markets. Our value add to clients is our Wall Street and stock exchange relationships to simplify an ever-increasing demanding and rigorous exchange review process ensuring listing requirements are successfully met.
We are shareholder centric. We work closely with company management and the Board of Directors leveraging our broad array of relationships in the strategic planning process delivering investment banking, legal, audit and other professional introductions to complete the capital raising and uplisting processes.
About Us
Learn More
Before you get started with your uplist, we encourage each company to visit the relevant senior exchange website(s) to learn more about listing requirements and what is expected once listed: shareholder, liquidity, size of company and governance requirements all play key qualitative and quantitative roles.
About Us
FAQ
What does it mean when a company wants to uplist?
The answer is dependent on your relationship to the company that is undertaking the uplist. If you are a member of management or the board of directors then, it means trading your company shares on a senior level exchange such the NASDAQ or NYSE simultaneous with a positive company event(s). If you are the shareholder it means increased liquidity, positive news and the ability to deposit shares with greater ease. In both cases an uplist is positive forward movement for the company, its management, and its shareholders.
What exchange should our company list on?
The second most asked question is what exchange is the best exchange for me: At Uplisting.com we like to complete an exchange analysis during due diligence based on Quantitative and Qualitative items found in company filings and speaking with the C-Suite. We also encourage the company to meet with representatives from both exchanges (which we can set up) to determine which is the best exchange for your company.
Are there basic requirements a company should have before an uplist? If so, what are they?
Yes, each exchange has a set of rules, regulations, and basic requirements prior to uplisting. In general, though the most important quantitative requirements to keep in mind are stock price, number of shareholders and stockholder’s equity.
What is the cost to uplist my company?
Each exchange has a fee to uplist and submit an application. We further advise company’s that legal, audit and consultants will be an additional cost and fees can vary from company to company depending on how prepared the company is to uplist.
What is corporate governance? Why is it mandatory?
Corporate governance is the system of rules, practices, and processes by which a company is directed and controlled. Corporate governance essentially involves balancing the interests of a company’s many stakeholders, such as shareholders, management, customers, suppliers, financiers, regulatory authorities and the community.
Historically, the main direct contribution of exchanges to corporate governance has been listing and disclosure standards and monitoring compliance. Stock exchanges have established themselves as promoters of corporate governance recommendations for listed companies; thus, making it mandatory for the reasons mentioned above.
How long does it take to uplist an issuer/ company?
Each company is different. Based on preparedness and meeting the requirements an company can uplist in as little as four to six weeks. If there are requirements that have to be met then the process may take longer. We can supply you with a review of your company to give you a better idea how long it will take you to uplist.
Do I have to put out a news release or file disclosure with a regulator declaring our intention to uplist?
Many companies disclose their intentions to uplist as a courtesy to their key stakeholders and shareholder base but it is not required.
We completed a reverse merger transaction – how does that affect our uplisting? Does it affect our listing on a senior exchange?
Under the new rules, Nasdaq, NYSE, and NYSE American have imposed more stringent listing requirements for companies that become public through a reverse merger. Specifically, the new rules would prohibit a reverse merger company from applying to list until:
- The company has completed a one-year “seasoning period” by trading in the U.S. over-the-counter market or on another regulated U.S. or foreign exchange following the reverse merger, and filed all required reports with the Commission, including audited financial statements.
- The company maintains the requisite minimum share price for a sustained period, and for at least 30 of the 60 trading days, immediately prior to its listing application and the exchange’s decision to list.
Under the rules, the reverse merger company generally would be exempt from these special requirements if it is listing regarding a substantial firm commitment underwritten public offering, or the reverse merger occurred long ago so that at least four annual reports with audited financial information have been filed with the SEC.
Can Uplisting.com help identify Board of Director nominee candidates?
As a result of the services we provide we, from time to time, come in contact and meet qualified candidates that have relevant experience at the senior exchange level. We would be pleased to discuss with you and make introductions to qualified board members as needed.
We are “approved” to list on a senior exchange – now what?
This is a question that every CEO will face from his shareholders the next trading day. The simple answer is to “act” like a senior exchange level company while paying close attention to shareholder expectations.
Managing Partner and Founder
Todd Heinzl
Managing Partner and Founder of UpListing.com, Todd has over 30 years of experience in the investment, merchant banking, and financial services industry. In 2016, Todd launched Uplisting.com whose primary focus is advising companies that have demonstrated the commitment and potential to be listed on an international recognized senior exchange.
Todd is a member of the Royal Canadian Military Institute (RCMI); the National Association of Corporate Directors (NACD – NY USA); European Corporate Governance Institute (ECGI – Brussels, Belgium); Singapore Institute of Directors (SID – Singapore); and Institute for Mergers & Acquisitions (IMA – Vienna, Austria), and more recently the Association for Certified Fraud Examiners.
Todd earned his designation as a Certified Investment Manager (CIM) from the Canadian Securities Institute and achieved his Fellow of Canadian Securities Institute (FCSI) fellowship designation.
Managing Partner
Jonathan Blum
Jonathan has 30 years of client advisory and fund-raising experience on Wall Street. During that time, Jonathan has been responsible for advising and financing a broad array of emerging growth public and private companies to help achieve their capital market objectives.
Jonathan has a distinguished career with notable investment banks. Recently, Jonathan was Head of Investment Banking at Dawson James Securities, a boutique investment bank raising capital for emerging growth companies with a life sciences focus. Prior to Dawson James, Jonathan was Managing Director, Investment Banking at WestPark Capital.
Previously, Jonathan was a Partner and Head of the Investment Banking practice at Jesup & Lamont Securities, a New York based boutique banking firm. Jonathan was a Managing Director at Prudential Securities Incorporated responsible for the firm’s Real Estate, Energy and Consumer M&A practices. Before joining Prudential Securities, Jonathan was a Director of M&A at Salomon Smith Barney.
Jonathan’s career was further augmented as a consultant at Bain & Co., a top strategic consulting firm based in Boston.
Jonathan graduated summa cum laude with a B.S. in finance from Boston University and received an M.B.A. with distinction from the Harvard Business School.
Managing Partner
Jonathan Blum
Jonathan has 30 years of client advisory and fund-raising experience on Wall Street. During that time, Jonathan has been responsible for advising and financing a broad array of emerging growth public and private companies to help achieve their capital market objectives.
Jonathan has a distinguished career with notable investment banks. Recently, Jonathan was Head of Investment Banking at Dawson James Securities, a boutique investment bank raising capital for emerging growth companies with a life sciences focus. Prior to Dawson James, Jonathan was Managing Director, Investment Banking at WestPark Capital.
Previously, Jonathan was a Partner and Head of the Investment Banking practice at Jesup & Lamont Securities, a New York based boutique banking firm. Jonathan was a Managing Director at Prudential Securities Incorporated responsible for the firm’s Real Estate, Energy and Consumer M&A practices. Before joining Prudential Securities, Jonathan was a Director of M&A at Salomon Smith Barney.
Jonathan’s career was further augmented as a consultant at Bain & Co., a top strategic consulting firm based in Boston.
Jonathan graduated summa cum laude with a B.S. in finance from Boston University and received an M.B.A. with distinction from the Harvard Business School.
Advisory Board
The UpListing.com Advisory Board is an amalgamation of experienced professionals who bring unique knowledge and skills in order to more effectively guide our organization. Our Advisory Board serves to make recommendations, providing key information and materials to the mandates and assignments UpListing undertakes. The Advisory Committee plays an important business development role as well as providing a fresh perspective on any regulatory, compliance, or business challenges that may come from time to time.
Partnerships
Become an UpListing.com champion.
Join our community of partners and collaborate on we do best, providing strategic consulting for companies wishing to enter global capital markets. With a close network of professionals, knowledgeable skill sets, and insights, coupling with UpListing.com, partners are equipped to better serve their client base.