From their website under corporate services:
Public Company Services
Employee Stock Option & Purchase Plans
Celadon’s Public Company Services Division assists public companies with the administration of their employee stock option (ESOP), stock purchase (ESPP) and stock repurchase programs. Acting as a preferred or captive broker, we assign a dedicated professional to each account, who takes the time to understand the needs of the company and its key employees.
Celadon can (a) ensure Pre-Clearance of Employee trades with our clients or (b) rapidly alert a designated person at those public companies to officer, director and employee trades in the company’s stock. We can also monitor sales by spouses and other family members, as well as family trusts, partnerships and other entities. At all times, we report transactions to our public company clients with the applicable CIK and CCC codes and monitor compliance with any pre-clearance procedure your company has implemented. By collecting this information and getting it to our clients quickly (in most cases, within hours), we make it easier for them and their insiders to comply with the requirements of the Sarbanes-Oxley Act and file their SEC Forms 4 and 5. In sum, we can minimize unpleasant surprises, giving our clients greater control over insider transactions in their company’s stock as well as easing their SEC reporting burdens.
Stock Repurchase
Through a tender offer, or purchases in the open market, Celadon can help public companies manage and customize the execution of their stock repurchase programs. We offer highly attentive services, including prompt communication with our clients, designed to minimize market impact while executing orders, large and small.
Note: We do not provide legal or accounting advice. Attorneys, accountants or other professional advisors should be consulted as to the filing requirements of the Securities & Exchange Commission or any other regulatory or governmental entity.
Market Making for Public Company Clients
Celadon’s market-making experience can help public companies improve market liquidity and depth, as well as maintain orderly markets in their stock. We make two-sided markets in select stocks as a service to clients, and we accurately represent orders at all times. A client’s ability to execute at the best Bid or Ask price always comes first. In our market-making, as in all our agency trading, Celadon executes orders while keeping client identity and order size anonymous.
... And under investment banking:
Investment Banking
Celadon assists emerging growth companies by providing the personalized guidance, in-depth analysis, and innovative structuring necessary to successfully raise capital in today’s challenging financial markets. Specializing in the complex capital needs of small growth companies with undervalued or undiscovered market potential, Celadon’s Investment Banking Division brings a broad range of expertise focused on the particular needs of our clients.
Whether raising capital for clients in a private placement, an initial public offering (IPO), or a secondary offering, we work collaboratively with publicly traded and private companies to find solutions that help them prosper,
Celadon utilizes a wide range of financial instruments including convertible debt, debt with warrants, common equity, and preferred equity to raise capital suitable to each client’s specific requirements. With a global perspective, we seek to structure financial packages that both meet the needs of the company and present favorable opportunities for investors. We also provide a broad range of consulting services to assist our investment banking clients in achieving their goals as their structure and requirements change over time.
For more information, please e-mail investmentbanking@celadonfinancial.com or call us at 973-701-8033.
