OTC Markets Group Inc. (OTCQX: OTCM)
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1 OTC Markets Group Inc. (OTCQX: OTCM) Bea Ordonez, Chief Financial Officer Daniel Zinn, General Counsel September 2017
2 EXECUTIVE SUMMARY Mission Create better informed & more efficient financial markets Strategy Share information widely through open networks that foster transparency; Connect broker-dealers, organize markets and inform investors; & Deliver elegant, reliable and cost effective subscription-based technology solutions Results Gross Revenues of 50.25M (TTM) Income from Operations of 18.01M (TTM) Operating Profit Margin of 36% (TTM) 9% Quarter Over Quarter Revenue Growth 17% Quarter Over Quarter Operating Income Growth 2
3 CONNECTING BROKERS, ORGANIZING MARKETS, INFORMING INVESTORS RECOGNITION Market Data Q Revenues of 5.52M or 40% of total, 5% vs p/y quarter OTC Link ATS Q Revenues of 2.50 M or 18% of total, 6% vs p/y quarter Best ATS Client Service Fund Technology & Wall Street Letter Awards Corporate Services Q Revenues of 5.75M or 42% of total, 21% vs p/y quarter OTC Compliance Analytics Product "Most Innovative Market Data Project (Vendor)" 2017 Inside Market Data/Inside Reference Data Awards OTC Compliance Data File product Best Real-Time Market Data Initiative 2016 Inside Market Data/Inside Reference Data Awards 3
4 CORPORATE SERVICES: OUR MARKETS We organize 10,000 securities into three markets to better inform investors The Best Market Established, investor-focused U.S. and global companies High financial standards, best practice corporate governance and compliance with U.S. securities laws Current public reporting Penny stocks, shells and companies in bankruptcy cannot qualify for OTCQX The Venture Market Early-stage and developing U.S. and international companies Current public reporting and an annual verification and management certification Must meet $0.01 bid test and may not be in bankruptcy The Open Market Allows broker-dealers to electronically trade all types of companies Companies not providing adequate information to investors No minimum financial standards Investors should research and exercise caution 4
5 REGULATORY & LEGISLATIVE DEVELOPMENTS Blue Sky Recognition Limitations if not Blue Sky Compliant Broker-dealer cannot distribute research No transactions in managed accounts No advice or solicitation relating to the security Rescission risk Improving Access to Capital Bill Will expand Regulation A+ to allow SEC reporting companies the opportunity to take part in this important form of online capital raising On September 5, the bipartisan bill, sponsored by Representative Sinema and Representative Hollingsworth, passed in the House of Representatives with a vote of 403 to 3 5
6 OVERVIEW FOR INVESTORS 14 million 11.4 million million $30.70 # of shares authorized # of shares outstanding 8/31/17 # of diluted shares outstanding 8/31/17 current market price 9/19/17 $32.25 $ % million 52 week high 9/13/17 52 week low 11/23/16 TTM Stock Price Performance Market Capitalization 6
7 SELECTED FINANCIAL DATA 7
8 KEY METRICS AS AT JUNE 30, diverse broker dealers 20,625 professional users 16,204 non professional users 413 securities trading a total of $222.4 billion TTM to 6/30/17 access our market data access our market data 355 companies OTCQX Best Market $1.39 trillion 969 securities $60.0 billion 50 Graduates total market cap OTCQX companies 912 companies OTCQB Venture Market total market cap OTCQB companies to a National Securities Listing TTM to 6/30/17 8
9 REVENUE, EBITDA, OPERATING & NET INCOME 9% CAGR 15% CAGR 16% 14% CAGR 17% 8% CAGR 9
10 CAPITAL ALLOCATION STRATEGY Invest in products and technologies that will deliver long term sustainable growth in earnings and FCF per share Grow dividend as income, cashflows increase and utilize buybacks to offset the dilutive impact of our equity compensation program 16% CAGR IN RESPECT OF TOTAL CASH RETURNED TO SHAREHOLDERS 10
11 SELECTED FINANCIAL DATA 2012 TO 2017 (TTM) Year Ended December 31 & TTM to June 30,
12 MANAGEMENT R. Cromwell Coulson President, CEO & Director Matthew Fuchs EVP Market Data Lisabeth Heese - EVP Issuer & Information Services Michael Modeski President OTC Link Bea Ordonez CFO Jason Paltrowitz EVP Corporate Services Daniel Zinn General Counsel Cromwell is a strong advocate of improving access to capital for small companies, supporting a diverse ecosystem of broker-dealers, and empowering investors with information. He is a member of the FINRA Market Regulation Committee. After acquiring OTC Markets' predecessor business, the National Quotation Bureau, Cromwell has led the transformation of the OTC markets. Prior to OTC Markets Group, Cromwell was a trader and portfolio manager at Carr Securities Corporation, an institutional broker-dealer, where he specialized in distressed and value-oriented investments. Matthew leads the product development, distribution and sales of market data at OTC Markets Group. Prior to joining OTC Markets Group, he served in a number of financial technology roles at the National Research Exchange, Bearing Point and Arthur Andersen. Lisabeth (Liz) has built a team responsible for: collecting and maintaining market data for over 5,000 issuers; development, sales and support of issuer-related products and services; and, monitoring issuer compliance with Company policies and procedures. Prior to joining OTC Markets, Liz spent 11 years at NASDAQ, serving as a Product Manager in the Trading and Market Services Division. Mike manages and oversees OTC Link ATS an SEC. Along with the operation of trading services, he also handles new product development. Mike is a member of the Board of Directors of the Securities Traders Association of New York (STANY). Previously, Mike served as the Director of Broker-Dealer Execution Services and Sales at Citigroup and the Director of Execution Services at Lava Technology, a division of Citigroup. Before working at Citigroup, Mike was the Director of OTC Equities at FINRA and held several management positions at Pershing. Bea is responsible for managing the accounting and finance teams at OTC Markets. Along with overseeing OTC Markets investor relations strategy. Prior to joining OTC Markets, Bea served for 13 years as COO and Managing Director at Convergex Group, a global brokerage and trading-related services provider. Prior to this Bea served as CFO at G-Trade Services, a broker-dealer then owned by Credit Lyonnais Securities Asia, providing global execution and clearing services. Earlier in her career, Bea worked at Marsh & McLennan and held tax consultant roles at both Price Waterhouse (now PWC) and Arthur Andersen. Jason is responsible for all international and domestic corporate services, new business and relationship management. Prior to joining OTC Markets, Jason was Managing Director and Segment Head at JP Morgan Chase. Jason started his career at BNY Mellon serving in multiple senior management positions, most notably as Head of M&A for the Financial Markets and Treasury Services Sector and 11 years in the Depositary Receipt Division as the Head of the Global Capital Markets Group. Dan leads the company's regulatory and policy making efforts and is often a speaker on over-thecounter equity markets. Prior to joining OTC Markets Group in 2010, he served as outside counsel to OTC Markets, as a partner at The Nelson Law Firm LLC. Previously, Dan worked in the corporate office of AIG. 12
13 NOTE ON FORWARD LOOKING STATEMENTS & NON GAAP INFORMATION Forward Looking Statements: Information set forth in this presentation contains forward-looking statements, which involve a number of risks and uncertainties that could cause our actual results to differ materially from those reflected in the forward-looking statements. Forward-looking statements can be identified by use of the words expect, project, may, might, potential, and similar terms. OTC Markets Group Inc. ( OTC Markets Group, we or the Company ) cautions readers that any forward-looking information is not a guarantee of future performance and that actual results could differ materially from those contained in the forward-looking information. Forward-looking statements involve a number of risks, uncertainties or other factors beyond OTC Markets Group s control. These factors include, but are not limited to, the risk factors described in the Risk Factor section of the Company s Annual Report for the year ended December 31, 2016, available on the Company s website. We undertake no obligation to revise or publicly release the results of any revision to these forward-looking statements. Given these risks and uncertainties, readers are cautioned not to place undue reliance on such forward-looking statements. We undertake no obligation to update any forward-looking statement, whether as a result of new information, future events or otherwise. Non GAAP Financial Measures: During this presentation references to financial measures includes references to non- GAAP financial measures. We provide a reconciliation between GAAP and non-gaap financial information in our annual earnings press release, available on our website. 13
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