WholeAustin · Austin metro · Public Firms
The complete Austin guide to public firms — the local businesses and the firms that shape the market, each read for how findable it is online, alongside the concepts, the news and the questions that define the field. Own one? See where you stand and exactly what to improve.
The firms, funds and institutions that set the terms in public firms — context, not local listings; never scored.
The quarterly rhythm an IR team actually lives: close calendar, pre-announcement quiet period, drafting the release and prepared remarks, dry runs and Q&A prep, the 8-K furnish, the call and webcast, the post-call analyst follow-ups and the transcript review. This is the highest-intent pillar because every listed company repeats it four times a year.
A page per form and obligation — 10-K, 10-Q, 8-K, DEF 14A, S-1, S-3, 11-K, Forms 3/4/5, Schedules 13D and 13G — covering what triggers each, the filing deadline tiers for large accelerated, accelerated and non-accelerated filers, XBRL and Inline XBRL tagging, and EDGAR mechanics.
Written disclosure policies, designated spokespeople, how to handle selective disclosure risk at conferences and one-on-ones, curing an inadvertent disclosure within 24 hours, and what counts as public dissemination in a world of webcasts, social posts and investor-day livestreams.
Whether to give guidance at all, annual versus quarterly, ranges versus point estimates, what metrics to guide, when and how to withdraw or suspend guidance, the safe-harbor language that has to accompany it, and how guidance philosophy shapes the multiple a company trades at.
Building the proxy statement, the annual meeting mechanics, virtual versus in-person meetings, director nominations and universal proxy, board composition and refreshment, say-on-pay outcomes, and the engagement calendar that runs off-season with governance teams at the large index managers.
Compensation Discussion and Analysis, the summary compensation table, pay-versus-performance disclosure, CEO pay ratio, peer-group selection, equity plan proposals and burn rate, clawback listing standards, and how proxy advisors score a pay program.
Perception studies, shareholder identification and surveillance, off-season engagement, responding to a 13D, settlement versus a proxy fight, takeover defenses, and the vulnerability profile that makes an under-covered mid-cap a target.
IR site architecture and accessibility, stock quote and filing feeds, webcasting and call platforms, press-release distribution, investor targeting and CRM, ownership analytics, filing and XBRL software, and virtual annual meeting platforms — plus what an IR team should actually pay for versus build.
How coverage is initiated and lost, non-deal roadshows and conference strategy, the consensus model and how estimates are collected, managing models without giving MNPI, buy-side versus sell-side priorities, and what to do when a company has thin or no coverage.
IPOs, direct listings, follow-on and secondary offerings, at-the-market programs, convertible notes, shelf registrations, lock-up expirations, index additions, share repurchase programs and dividend initiations — each with the disclosure and communications playbook attached.
The post-2021 reality of a retail shareholder base — retail Q&A platforms, message-board and short-seller narratives, executives posting on social platforms, when a post becomes a Regulation FD problem, and how to build a retail communications program that does not create liability.
The SEC climate rules and the litigation around them, California's climate statutes, CSRD reach into US filers, the Item 1.05 cybersecurity incident report and Item 106 risk-management disclosure, human-capital disclosure, and the difference between a voluntary sustainability report and a filed statement carrying liability.
Restatements, material weaknesses, executive departures, cyber incidents, product recalls, delisting notices, going-concern language, short-seller reports, and the sequencing of an 8-K, a press release and internal communication when the news is bad.
SOX 302 and 404, ICFR design and testing, significant deficiencies and material weaknesses, remediation disclosure, auditor attestation and who is exempt, audit committee oversight, PCAOB inspection findings, and critical audit matters.
Merger announcement communications, the background-of-the-merger section, fairness opinions, appraisal rights, tender offers, private-equity take-privates and the premium math, deregistration and going dark, and what happens to an IR function once a deal is signed.
Who is actually listed here and why it matters — the relocation wave that brought corporate headquarters to Central Texas, the mid-cap technology cluster seeded by decades of semiconductor and enterprise-software companies, the local IR and disclosure service economy, and the Austin Business Journal list that people use as the scoreboard.
describe it as the SEC rule barring selective disclosure of material nonpublic information to market professionals and holders, with required simultaneous or prompt public disclosure; note it applies to the issuer and people acting on its behalf, not to the recipients
give the substantial-likelihood-a-reasonable-investor-would-consider-it-important standard and the recurring categories, then say materiality is a facts-and-circumstances judgment counsel makes -- do not give the reader a bright line that does not exist
distinguish the securities-offering quiet period, which is legal, from the self-imposed pre-earnings blackout, which is company policy rather than law; the second is the one most people mean and it varies by company
annual report, quarterly report, and current report on a triggering event; the useful framing is that 8-K is event-driven and time-limited while the others are periodic
explain that the safe harbor protects forward-looking statements identified as such and accompanied by meaningful cautionary language; note it does not cover statements known to be false and does not apply to IPO issuers
explain the reconciliation-to-GAAP requirement, equal-or-greater prominence for the GAAP figure, and the Item 2.02 furnishing rules for earnings releases; mention that individually tailored revenue recognition is a recurring comment-letter topic
describe DEF 14A and the standard slate -- directors, auditor ratification, say-on-pay, equity plans and any shareholder proposals -- and note that say-on-pay is advisory
directors, officers and greater-than-ten-percent holders; Form 4 generally within two business days of the transaction; note that a late filing is disclosed in the proxy and read as a controls signal
13D for holders with an intent to influence control, 13G the short-form for passive and qualified institutional holders; the deadlines were shortened by the SEC's beneficial ownership amendments, so cite the current deadlines rather than the old ten-day rule
distinguish 302 certifications from the 404 management assessment and, for accelerated filers, the auditor attestation; explain ICFR as the control system over the numbers rather than over the business
define it as a deficiency with a reasonable possibility of a material misstatement not being prevented or detected; distinguish it from a significant deficiency and from a restatement, which is a separate event
explain float as the market value of shares held by non-affiliates measured at a set date, and how it sorts issuers into non-accelerated, accelerated and large accelerated filer categories with different deadlines and auditor attestation duties
explain the affirmative defense, the mandatory cooling-off before trading may begin under the 2022 amendments, the director and officer certification, the overlapping-plan bar and the single-trade limit; the cooling-off length differs for insiders versus the issuer -- cite the rule rather than paraphrase a number
explain that Item 1.05 runs from the materiality determination, which must be made without unreasonable delay, not from discovery; note the narrow national-security delay mechanism and that SEC staff cautioned against filing immaterial incidents under Item 1.05 -- the materiality call itself is the company's, made with counsel
describe the settled practice of voluntary disclosure under Item 8.01 to preserve the materiality distinction, and explain the reason: filing an immaterial event under Item 1.05 muddies the signal for investors and for the company's own later filings
annual description of the processes for assessing, identifying and managing material cyber risk, whether risks have materially affected the company, and board and management oversight -- and warn that the description has to match what the company actually does
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