IPOs and Transactions: July 21 – 25

There were 23 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Axxess Pharma Inc. w/ Szaferman, Lakind, Blumstein & Blader PC and Response Genetics Inc. w/ Willkie Farr & Gallagher LLP.

Also, wondering who are the top law firms are for 2014 transactions? Read here.

TRANSACTIONS_500

Registrant Symbol Form Exchange Law firm / Advisor
KILROY REALTY CORP KRCPRG S-4 NYSE Allen Matkins Leck Gamble Mallory & Natsis LLP
PALAYAN RESOURCES, INC. S-1 American Corporate Enterprises, Inc.
INDEPENDENT BANK GROUP, INC. IBTX S-4 Nasdaq Andrews Kurth LLP
LIBERTY BROADBAND CORP S-1 Baker Botts L.L.P.
BARISTAS COFFEE COMPANY, INC. 10-12G Baristas Coffee Company, Inc.
WESTCOTT PRODUCTS CORP WSPD S-1 OTC Brunson Chandler & Jones PLLC
RBS COMMERCIAL FUNDING INC. S-3 Cadwalader, Wickersham & Taft LLP
DISTANT VALLEY ACQUISITION CORP 10-12G Cassidy & Associates
INOVIO PHARMACEUTICALS, INC. INO S-3 NYSE Duane Morris LLP
GROWBLOX SCIENCES, INC. GBLX S-1 OTC Gary R. Henrie, Esq.
PALAYAN RESOURCES, INC. S-1 Glenn & Glenn Law, LLP
ALPHA ENERGY INC S-1 Harold P. Gewerter, Esq. Ltd.
CALEMINDER INC S-1 Harold P. Gewerter, Esq. Ltd.
INFEED MEDICA CORP S-1 Harold P. Gewerter, Esq. Ltd.
INDEPENDENT BANK GROUP, INC. IBTX S-4 Nasdaq Harris Law Firm PC
INDEPENDENT BANK GROUP, INC. IBTX S-4 Nasdaq Haynie Rake Repass & Lowry, P.C.
SPIRIT AEROSYSTEMS HOLDINGS, INC. SPR S-4 NYSE Kaye Scholer LLP
KILROY REALTY CORP KRCPRG S-4 NYSE Latham & Watkins LLP
REGENCY ENERGY PARTNERS LP RGP S-3 NYSE Latham & Watkins LLP
SIMMONS FIRST NATIONAL CORP SFNC S-4 Nasdaq Mitchell, Williams, Selig, Gates & Woodyard, P.L.L.C.
JMP GROUP INC. JMP S-3 NYSE Orrick, Herrington & Sutcliffe LLP
SIMMONS FIRST NATIONAL CORP SFNC S-4 Nasdaq Quattlebaum, Grooms, Tull & Burrow PLLC
SIGULER GUFF SMALL BUSINESS CREDIT OPPORTUNITIES FUND, INC 10-12G Siguler Guff Small Business Credit Opportunities Fund, Inc.
AXXESS PHARMA INC. AXXE S-1 OTC Szaferman, Lakind, Blumstein & Blader, PC
SOLAR WIND ENERGY TOWER, INC. SWET S-1 OTC Szaferman, Lakind, Blumstein & Blader, PC
ECO-STIM ENERGY SOLUTIONS, INC. ESESD S-1 OTC Vinson & Elkins L.L.P.
RESPONSE GENETICS INC RGDX S-3 Nasdaq Willkie Farr & Gallagher LLP
TRANSUNION HOLDING COMPANY, INC. S-1 Wilmer Cutler Pickering Hale and Dorr LLP

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors. Click here and opt-in to receive this weekly summary via email.

Click here to review the week’s underwriters.

Have a great week.

IPO Underwriters of the Week: July 21 – 25

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent vlaue for both traditional and confidential IPOs.

VDR_PPC_EMAIL

Registrant Symbol Form Underwriter
AXXESS PHARMA INC. AXXE S-1 Beaufort Capital Partners LLC
ALPHA ENERGY INC S-1 Underhill Securities Corp.

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.

Have a great week.

What to consider for mobile communications to investors

In the new book, The Mobile Mind Shift: Engineer Your Business to Win in the Mobile Moment (Ted Schadler, Josh Bernoff, Julie Ask), much of the book’s premise speaks of The Mobile Moment. The Mobile Moment is “the instant in which your customer is seeking an answer.”

The book gives clear examples, air travel being an obvious one: book my flight, check my flight, delay alerts about my flight, bar code my boarding pass and so on. Certainly, urgency and immediacy are germane for the travel customer.

But what about mobile for investor relations? What is “the instant in which your [investor] is seeking an answer?” Hopefully, your shareholder communications moments are NOT driven by urgency and immediacy (crisis communications), but by a moment of convenience.

CouchApp

“I want to view $XYZ’s investor PPT on my train commute into the office. I want to review $XYZ’s recent 10-K in Starbucks. I want to listen to the $XYZ’s earnings call on my couch. In my underwear.” Urgent, not. Immediate, perhaps. Convenient, absolutely.

Remember – no one is trading off an IR website, mobile or desk browser. Investors don’t visit your IR website for real-time quotes. Investors visit your IR website for careful due diligence research – as clearly reported in our “How Investors Consume Investor Relations Content” study. They may not be trading at that Mobile Moment, but they are making decisions.

To guide executives to create a mobile strategy, The Mobile Mind Shift’s authors recommend three concepts to define a mobile offering:

  • Intensity: whether it is appropriate to connect with customers on mobile.
  • Expectation: the level of urgency to build a mobile site.
  • Behavior: the features customers are ready for.

These are the drivers that you need to discuss within your department. Understandably, as a shareholder communications service provider, we’ve already walked this path for you. Our IR Rooms have two Mobile Moment Matchmakers: responsive design and theIRapp. Offering both assure that regardless of their behavior, you address both the intensity and expectation of each individual (professional or retail) investor.

Have a great day.

Vintage’s New XBRL Online Review (XOR) portal addresses SEC’s “Dear CFO” letter

The U.S. Securities and Exchange Commission (SEC) disclosed that they have begun sending formal alerts to issuers regarding the inclusion of accurate calculation relationships in their filing. This is an important – and visible – step towards quality enforcement.

XOR_XBRL_online_clipart250To help mitigate clients’ risk while improving their XBRL filing workflow experience, we are transitioning  - free of charge - our XBRL reviewing process into the new XBRL Online Review (XOR) portal.

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An important point to note is that XOR brings online review and collaborative commenting to our fleXBRL Core clients. (Click here to match up your XBRL workflow)  Our fleXBRL Command and Control (both SaaS portal-based) clients’ workflow is currently review, comment and self-edit.

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Without XOR: When your XBRL is viewed with the SEC’s viewer, or on a standard spreadsheet review, calculations are not visible.

With XOR: All calculations that have been made within an XBRL file are easily visible for review. You will see not only where calculations have been made, but what the components of those calculations are and whether the calculations foot properly.

XOR has been in trial with a select set of clients for one quarter. Thanks to their input and success, we are now able bring all Vintage fleXBRL clients into this easy-to use portal. Please click here to read an overview.

Including XOR at no additional cost is another demonstration why Vintage continues to be the industry’s intelligent value for capital markets and corporate services.

Another quality issue the SEC is now proactively flagging is the the practice of using custom taxonomies rather than an established taxonomies. True, the X in XBRL stands for extensible, however if there is an established, appropriate taxonomy, it’s key to use it. Remember, the only way you will get ROI from your XBRL efforts is to make the data usable (comparable) for investors. Using the “common ground” tags is the only way that will happen.

Your Vintage XBRL specialist can help you with this important action.  That’s even more intelligent value. 

Have a great day.

Capital markets transactions by law firm: Q1 – Q2 2014

In plain English, a capital markets transaction is an extremely important contract. For a soon-to-be public company, an S-1 is thee most important contract. However, as discussed last week, (read here) there are many types of transactions – across all three main exchanges: OTC Markets, Nasdaq and NYSE.

Total transactions count for the first half of 2014 is 1,249… and all of these transactions needed a law firm – if not two or more. In fact, the 1,249 transactions counted listed 449 different law firms. Below is a graph of the top ten, by transaction count.

We carefully track all capital markets transactions as Vintage executes the drafting sessions for law firms. We have become the intelligent value for transactions: in-house, at a corporate or law office and now more increasing, 100% virtual. You can see an in-house drafting session in this video.

TRANS - lawfirms

If you are interested in this topic, please click here and opt-in to receive a weekly (Monday) update of transactions and law firms via email.

We also have a whitepaper that explains the ping-pong match an S-1 file plays between an issuer and the SEC. Click here to download it.

Have a great week

IPOs and Transactions: July 14 – 18

There were 45 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Biofuel Energy Corp w/ Cravath, Swaine & Moore LLP, Xcel Mobility Inc w/ Greenberg Traurig LLP and 3D Total Solutions w/ JMS Law Group PLLC.

We appreciate that they selected to work with us and we’re pleased that they found us to be the intelligent value. Watch our video.

TRANSACTIONS_500

Registrant Symbol Form Exchange Law firm / Advisor
BDCA SENIOR CAPITAL, INC. N-2 Alston & Bird LLP
MAVENIR SYSTEMS INC MVNR S-1 NYSE Andrews Kurth LLP
FIRST CITIZENS BANCSHARES INC /TN/ FIZN S-4 OTC Baker, Donelson, Bearman, Caldwell & Berkowitz, PC
FIRST FIXTURES, INC. S-1 Befumo & Schaeffer, PLLC
TOP SHIPS INC. TOPS F-1 Nasdaq Blank Rome LLP
PHARMAMED, INC. S-1 Business Filings Inc.
MEDTRONIC HOLDINGS LTD S-4 Cleary Gottlieb Steen & Hamilton LLP
BIOFUEL ENERGY CORP. BIOF S-1 Nasdaq Cravath, Swaine & Moore LLP
MOL GLOBAL, INC. z F-1 z Davis Polk & Wardwell LLP
MAVENIR SYSTEMS INC MVNR S-1 NYSE Davis Polk & Wardwell LLP
LAMAR MEDIA CORP/DE S-4 Edwards Wildman Palmer LLP
SINO MERCURY ACQUISITION CORP. S-1 Graubard Miller
GLASSESOFF INC. S-1 OTC Greenberg Traurig, LLP
XCELMOBILITY INC. XCLL S-1 OTC Greenberg Traurig, LLP
ENERGY 11, L.P. S-1 Haynes and Boone, LLP
FIRST CITIZENS BANCSHARES INC /DE/ FCNCA S-4 OTC Haynsworth Sinkler Boyd, P.A.
JOYMAIN INTERNATIONAL DEVELOPMENT GROUP INC. JIDG S-1 OTC Hunter Taubman Weiss LLP
ENTERPRISE BANCORP INC /MA/ EBTC S-3 Nasdaq Hunton & Williams LLP
3D TOTAL SOLUTIONS INC. S-1 JMS Law Group, PLLC
ESCALERA RESOURCES CO. ESCR S-3 Nasdaq Jones & Keller, P.C.
NANOVIRICIDES, INC. NNVC S-3 NYSE Kane Kessler, P.C.
JASON INDUSTRIES, INC. QPAC S-1 Nasdaq Kirkland & Ellis LLP
LEE ENTERPRISES, INC LEE S-3 NYSE Lane & Waterman LLP
ARATANA THERAPEUTICS, INC. PETX S-3 Nasdaq Latham & Watkins LLP
AMERICAN RENAISSANCE CAPITAL, INC. S-1 Law Office of Azuka L. Uzoh
AMERICAN DOCTORS ONLINE INC 10-12G Legal and Compliance, LLC
STATE NATIONAL COMPANIES, INC. S-1 Locke Lord LLP
SINO MERCURY ACQUISITION CORP. S-1 Loeb & Loeb LLP
INTERCLOUD SYSTEMS, INC. ICLD S-1 Nasdaq Loeb & Loeb LLP
VERTEX ENERGY INC. VTNR S-3 Nasdaq Loev Law Firm, PC
GERMAN AMERICAN BANCORP, INC. GABC S-3 Nasdaq Mark Barnes Law PC
FIFTH THIRD HOLDINGS FUNDING, LLC S-3 Mayer Brown LLP
PIZZA INN HOLDINGS, INC /MO/ PZZI S-3 Nasdaq McGuire, Craddock & Strother, P.C.
HELIUS MEDICAL TECHNOLOGIES, INC. S-1 McMillan LLP
AMEDICA CORP AMDA S-1 Nasdaq Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
NEUROMETRIX, INC. NURO S-3 Nasdaq Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
JASON INDUSTRIES, INC. QPAC S-1 Nasdaq Olshan Frome Wolosky LLP
BIGLARI HOLDINGS INC. BH S-3 NYSE Olshan Frome Wolosky LLP
IZEA, INC. IZEA S-1 OTC Olshan Frome Wolosky LLP
INTERCLOUD SYSTEMS, INC. ICLD S-1 Nasdaq Pryor Cashman LLP
BDCA SENIOR CAPITAL, INC. N-2 RCS Capital Corporation
FIRST CITIZENS BANCSHARES INC /DE/ FCNCA S-4 OTC Robinson, Bradshaw & Hinson, P.A.
TOP SHIPS INC. TOPS F-1 Nasdaq Seward & Kissel LLP
IRONWOOD INSTITUTIONAL MULTI-STRATEGY FUND LLC N-2 Shearman & Sterling LLP
IRONWOOD MULTI-STRATEGY FUND LLC N-2 Shearman & Sterling LLP
AV THERAPEUTICS, INC. AVTH S-1 OTC Sichenzia Ross Friedman Ference LLP
DARLING INGREDIENTS INC. DAR S-4 NYSE Sidley Austin LLP
CRESTWOOD MIDSTREAM PARTNERS LP CMLP S-4 NYSE Simpson Thacher & Bartlett LLP
MOL GLOBAL, INC. F-1 Skadden, Arps, Slate, Meagher & Flom LLP
FIRST CITIZENS BANCSHARES INC /DE/ FCNCA S-4 OTC Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P.
AMERICAN RENAISSANCE CAPITAL, INC. S-1 The Tracy Firm, Ltd.
RESTORGENEX CORP RESX S-1 OTC TroyGould PC
MEDTRONIC HOLDINGS LTD S-4 Wachtell, Lipton, Rosen & Katz
LEVEL 3 COMMUNICATIONS INC LVLT S-4 NYSE Wachtell, Lipton, Rosen & Katz
FIRST CITIZENS BANCSHARES INC /TN/ FIZN S-4 OTC Waller Lansden Dortch & Davis, LLP
FIRST CITIZENS BANCSHARES INC /DE/ FCNCA S-4 OTC Ward and Smith, P.A.
COWEN GROUP, INC. COWN S-3 Nasdaq Willkie Farr & Gallagher LLP
LEVEL 3 COMMUNICATIONS INC LVLT S-4 NYSE Willkie Farr & Gallagher LLP

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors. Click here and opt-in to receive this weekly summary via email.

Click here to review the week’s underwriters.

Have a great week.

IPO Underwriters of the Week: July 14 – 18

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are a top choice for both traditional and confidential IPOs.

VDR_PPC_EMAIL

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
INTERCLOUD SYSTEMS, INC. S-1 Aegis Capital Corp.
TOP SHIPS INC. F-1 Aegis Capital Corp.
SINO MERCURY ACQUISITION CORP. S-1 Cantor Fitzgerald & Co.
MOL GLOBAL, INC. F-1 Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. / UBS Securities LLC
ENERGY 11, L.P. S-1 David Lerner Associates, Inc.
IRONWOOD INSTITUTIONAL MULTI-STRATEGY FUND LLC N-2 Foreside Fund Services, LLC
IRONWOOD MULTI-STRATEGY FUND LLC N-2 Foreside Fund Services, LLC
MEDTRONIC HOLDINGS LTD S-4 Goldman, Sachs & Co.
MAVENIR SYSTEMS INC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc. Stifel, Nicolaus & Company, Inc. / Needham & Company, LLC / Pacific Crest Securities LLC / Cowen and Company, LLC
FIRST CITIZENS BANCSHARES INC /DE/ S-4 Merrill Lynch, Pierce, Fenner & Smith Inc.

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.Have a great week.