PRA Generic Clearance - Questions for Houston Event (Final)

Proposed Registration and Polling Questions

University of Houston Event (August 27, 2022)

1. Email

2. Where are you located?

(City + State)

3. Gender

   • Male

   • Female

   • Nonbinary

4. Do you identify as any of the following?

(Select all that apply)

• African-American/Black

• Hispanic/Latino

• Asian

• Native American/Alaska Native

• Native Hawaiian/Pacific Islander

• White

• LGBTQ+

• Veteran

1. What is your professional focus within the capital formation ecosystem?

(Select all that apply)

• Founder/Entrepreneur/Business Leader

• Investor

• Attorney/Accountant/Professional Advisor

• Government

• Community/Nonprofit Leader

• Academia/Researcher

• Advocacy/Trade Association

• Other: _____

1. Do you identify as any of the following?

(Select all that apply)

• Woman-owned business or its investor

• Minority-owned business or its investor

• Located in or investing in a rural community

• Located in or investing in an area recently impacted by natural disasters

1. Which segment of the capital formation life cycle is your primary focus?

   • Small and emerging (e.g., Angel, Pre-Seed, Seed)

   • Mature and later-stage (e.g., Series A-C+)

   • Smaller public company (pre- or post-IPO)

2. What kind of educational or informational resources on capital raising would be most helpful?

   • Question & Answer Format

   • Glossary

   • Infographic

   • Brief Overviews

   • Videos

   • Other [with blank field to include additional input]

3. We want to hear from you! Please share questions or suggested topics of discussion for the panelists.

[open space for questions]

10. Have you raised capital using any of the following methods? [Select all that apply]:

    • Friends and Family

    • Investment Crowdfunding

    • Angel Investors

    • Venture Capital Investors

    • Regulation A Mini IPO

    • Public Offering

11. Which of the following do you believe are the biggest barriers to access capital?

(Rank the following from most to least burdensome: 1 for most burdensome, 6 for least burdensome)

• Networks and connections to investors

• Information, education, and knowledge

• Laws, policies and regulations

• Personal wealth or assets

• Investor bias

• Valuations or offering terms

1. Which of the following tools do you believe are most successful for sourcing investment opportunities?

(Rank from most to least successful:  1 for most successful, 6 for least successful)

• Network referrals

• Broker/dealers or other financial professionals

• Social media

• Accelerators/incubators

• Demo days

• Public press

1. Where do you expect to find most investment opportunities?

   • Within your local community

   • Within your broader geographic region

   • Across the country

   • Internationally

2. Which of the following do you believe are the greatest challenges facing emerging and regional fund managers?

(Rank from most to least challenging:  1 for most challenging, 4 for least challenging)

• Lack of track record

• Access to a network of investors

• Significant personal financial risk for general partner

• Regulatory barriers to entry

1. In your experience, do you find that emerging fund managers are more likely than other fund managers to invest in women- and minority-owned businesses?

   • Yes

   • No

2. Which of the following do you believe are the greatest challenges facing smaller public companies seeking to access capital?

(Rank from greatest to least: 1 for greatest, 5 for least)

• Research coverage

• Trading volume

• Burden of reporting requirements

• Cost of compliance

• Short-termism

1. Which of the following do you believe is a top priority for smaller public companies when it comes to their investors and shareholders?

(Rank from most to least important: 1 for most important, 5 least important)

• Attracting more institutional investors

• Engaging with investors

• Understanding the shareholder base

• Meeting the demands of investors

• Effectively telling the company’s story