IPOs and Transactions: May 18 – 22

There were 47 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Antriabio Inc. w/ Dorsey & Whitney LLP.

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

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Law firm / advisor Registrant Symbol Form Exchange
Akin Gump Strauss Hauer & Feld LLP TRANSATLANTIC PETROLEUM LTD. TAT S-3 NYSE
Allen & Overy LLP CELYAD S.A. ~ F-1 ~
Alston & Bird LLP FS INVESTMENT CORP IV ~ N-2 ~
Andrews Kurth LLP GREEN PLAINS PARTNERS LP ~ S-1 ~
Andrews Kurth LLP SANCHEZ PRODUCTION PARTNERS LP SPP S-3 NYSE
Cahill Gordon & Reindel LLP VWR CORP VWR S-1 Nasdaq
Cleary Gottlieb Steen & Hamilton LLP BICAPITAL CORP ~ F-1 ~
Cleary Gottlieb Steen & Hamilton LLP CELYAD S.A. ~ F-1 ~
Cooley LLP ADAMAS PHARMACEUTICALS INC ADMS S-3 Nasdaq
Cooley LLP ALARM.COM HOLDINGS, INC. ~ S-1 ~
Cooley LLP CELYAD S.A. ~ F-1 ~
Cooley LLP INTERSECT ENT, INC. XENT S-1 Nasdaq
Cravath, Swaine & Moore LLP GENER8 MARITIME, INC. ~ S-1 ~
Davis Graham & Stubbs LLP US ENERGY CORP USEG S-3 Nasdaq
Davis Polk & Wardwell LLP CONFORMIS INC ~ S-1 ~
Davis Polk & Wardwell LLP NEVRO CORP NVRO S-1 NYSE
Davis Polk & Wardwell LLP XACTLY CORP ~ S-1 ~
Dechert LLP FS INVESTMENT CORP IV ~ N-2 ~
DLA Piper LLP CLEAN DIESEL TECHNOLOGIES INC CDTI S-3 Nasdaq
Dorsey & Whitney LLP ANTRIABIO, INC. ANTB S-1 ~
Duane Morris LLP INOVIO PHARMACEUTICALS, INC. INO S-3 Nasdaq
Fenimore, Kay, Harrison & Ford, LLP FIRST NBC BANK HOLDING CO FNBC S-4 Nasdaq
Fenwick & West LLP AMYRIS, INC. AMRS S-3 Nasdaq
Fisher Securities Inc. FISHER SECURITIES INC ~ S-1 ~
Foley & Lardner LLP WHITING OIL & GAS CORP ~ S-4 ~
Gemini Compliance Services, LLC MULTI-STRATEGY ALTERNATIVE INCOME FUND ~ N-2 ~
Goodwin Procter LLP ALARM.COM HOLDINGS, INC. ~ S-1 ~
Goodwin Procter LLP CELYAD S.A. ~ F-1 ~
Hateley & Hampton HUBILU VENTURE CORP ~ S-1 ~
Haynes and Boone, LLP BIOSIG TECHNOLOGIES, INC. BSGM S-1 ~
Katten Muchin Rosenman LLP ACCUSHARES COMMODITIES TRUST I ~ S-1 ~
Kirkland & Ellis LLP VWR CORP VWR S-1 Nasdaq
Kramer Levin Naftalis & Frankel LLP GENER8 MARITIME, INC. ~ S-1 ~
Kutak Rock LLP BANK OF THE OZARKS INC OZRK S-4 Nasdaq
Kutak Rock LLP STORE CAPITAL CORP STOR S-11 NYSE
Latham & Watkins LLP DAVE & BUSTER’S ENTERTAINMENT, INC. PLAY S-1 Nasdaq
Latham & Watkins LLP GREEN PLAINS PARTNERS LP ~ S-1 ~
Latham & Watkins LLP INTERSECT ENT, INC. XENT S-1 Nasdaq
Latham & Watkins LLP NEVRO CORP NVRO S-1 NYSE
Latham & Watkins LLP STORE CAPITAL CORP STOR S-11 NYSE
Locke Lord LLP AMERICAN ELECTRIC TECHNOLOGIES INC AETI S-3 Nasdaq
Locke Lord LLP AMTRUST FINANCIAL SERVICES, INC. AFSI S-4 NYSE
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. BG MEDICINE, INC. BGMD S-3 Nasdaq
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. OXIGENE INC OXGN S-3 Nasdaq
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. TARGACEPT INC TRGT S-4 Nasdaq
Morrison & Foerster LLP TARGACEPT INC TRGT S-4 Nasdaq
Orrick, Herrington & Sutcliffe LLP LEVI STRAUSS & CO ~ S-4 ~
Pepper Hamilton LLP STONECASTLE FINANCIAL CORP. BANX N-2 Nasdaq
Perkins Coie LLP CONFORMIS INC ~ S-1 ~
Pillsbury Winthrop Shaw Pittman LLP VERACYTE, INC. VCYT S-3 Nasdaq
Ropes & Gray LLP ALEXION PHARMACEUTICALS INC ALXN S-4 Nasdaq
Ropes & Gray LLP OCULAR THERAPEUTIX, INC OCUL S-1 Nasdaq
Shearman & Sterling LLP CATALENT, INC. CTLT S-1 NYSE
Sidley Austin LLP KNOWLES CORP KN S-4 NYSE
Simpson Thacher & Bartlett LLP BICAPITAL CORP ~ F-1 ~
Simpson Thacher & Bartlett LLP CATALENT, INC. CTLT S-1 NYSE
Steven James Davis, PC RICH PHARMACEUTICALS, INC. RCHA S-1 OTC Markets
Stevens & Lee AMTRUST FINANCIAL SERVICES, INC. AFSI S-4 NYSE
Stradling Yocca Carlson & Rauth, P.C. APPFOLIO INC S-1 Nasdaq
Sullivan & Cromwell LLP ALEXION PHARMACEUTICALS INC ALXN S-4 Nasdaq
Synergy Law Group, LLC SADIYA TRANSPORT, INC. ~ S-1 ~
Thomas J. Craft, Jr., Esq. E-QURE CORP. ~ S-1 ~
Thompson Hine LLP MULTI-STRATEGY ALTERNATIVE INCOME FUND ~ N-2 ~
Vinson & Elkins L.L.P. GOODRICH PETROLEUM CORP GDP S-3 NYSE
Vinson & Elkins L.L.P. WESTERN REFINING PIPELINE, LLC ~ S-4 ~
Vinson & Elkins L.L.P. WESTERN REFINING PIPELINE, LLC ~ S-3 ~
Wachtell, Lipton, Rosen & Katz ALEXION PHARMACEUTICALS INC ALXN S-4 Nasdaq
Weil, Gotshal & Manges LLP DAVE & BUSTER’S ENTERTAINMENT, INC. PLAY S-1 Nasdaq
Wilmer Cutler Pickering Hale and Dorr LLP CONFORMIS INC ~ S-1 ~
Wilmer Cutler Pickering Hale and Dorr LLP OCULAR THERAPEUTIX, INC OCUL S-1 Nasdaq
Wilson Sonsini Goodrich & Rosati, P.C. APPFOLIO INC ~ S-1 Nasdaq
Wilson Sonsini Goodrich & Rosati, P.C. KNOWLES CORP KN S-4 NYSE
Wilson Sonsini Goodrich & Rosati, P.C. XACTLY CORP ~ S-1 ~
Wyrick Robbins Yates & Ponton LLP BANK OF THE OZARKS INC OZRK S-4 Nasdaq

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: May 18 – 22

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 value for both traditional and confidential IPOs.

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
GREEN PLAINS PARTNERS LP S-1 Barclays Capital Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. ~
ADAMAS PHARMACEUTICALS INC S-3 Cantor Fitzgerald & Co. ~ ~
GENER8 MARITIME, INC. S-1 Citigroup Global Markets Inc. UBS Securities LLC. ~
STORE CAPITAL CORP S-11 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC Morgan Stanley & Co. LLC
ALARM.COM HOLDINGS, INC. S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Stifel, Nicolaus & Company, Inc. / Raymond James & Associates, Inc. / William Blair & Company, LLC / Imperial Capital, LLC
CONFORMIS INC S-1 J.P. Morgan Securities LLC Deutsche Bank Securities Inc. Wells Fargo Securities, LLC / Canaccord Genuity Inc.
INTERSECT ENT, INC. S-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Leerink Partners LLC / Canaccord Genuity Inc. / William Blair & Company, L.L.C.
NEVRO CORP S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Leerink Partners LLC / JMP Securities LLC
XACTLY CORP S-1 J.P. Morgan Securities LLC Deutsche Bank Securities Inc. UBS Securities LLC / Needham & Company LLC / Oppenheimer & Co. Inc.
DAVE & BUSTER’S ENTERTAINMENT, INC. S-1 Jefferies LLC Piper Jaffray & Co. ~
RICH PHARMACEUTICALS, INC. S-1 LG Capital Funding, LLC ~ ~
HUBILU VENTURE CORP S-1 Mark Salter (Selling Security Holder) ~ ~
VWR CORP S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman, Sachs & Co. J.P. Morgan Securities LLC
BICAPITAL CORP F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. J.P. Morgan Securities LLC
OCULAR THERAPEUTIX, INC S-1 Morgan Stanley & Co. LLC Cowen and Company, LLC RBC Capital Markets, LLC
CATALENT, INC. S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC ~
APPFOLIO INC S-1 Morgan Stanley & Co. LLC Credit Suisse Securities (USA) LLC Pacific Crest Securities / William Blair & Company, L.L.C.
CELYAD S.A. F-1 UBS Securities LLC Piper Jaffray & Co. ~

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

Vintage Experts to Meet with “Story-Stocks” at 2015 Marcum MicroCap Conference

M&A, IPO and investor relations drive conversations at annual event in New York City, May 27 – 28

NEW YORK, May 22, 2015 / PR Newswire / — Vintage, the capital markets, corporate services and institutional & fund services division of PR Newswire, today announced that the company will be presenting their Capital Markets and Corporate Services solutions the 2015 Marcum MicroCap Conference, May 27 – 28. The event is held at the Grand Hyatt in New York City.

VINTAGEHYATT

Vintage’s solutions are especially tailored for the Marcum audience of publicly traded companies under $500 million in market capitalization.

  • S-1 and secondary offering transactions
  • Shareholder communications and investor visibility
  • Cost-effective EDGAR and XBRL programs
  • Virtual Data Rooms

To keep up-to-date on their continued growth, please follow the company in LinkedIn: https://www.linkedin.com/company/vintage-filings-llc

Please visit Vintage today for more information: www.thevintagegroup.com

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About Vintage

Vintage, a PR Newswire division, is a top-three provider of full-service regulatory compliance and shareholder communications services, delivered across our three practice areas: Capital Markets, Corporate Services and Institutional & Fund Services.

Founded in 2002 and acquired by PR Newswire in 2007, Vintage has evolved to become the industry’s intelligent value choice. We deliver a flexible balance of people, facilities and technology to ensure that regulatory compliance and shareholder communications processes are efficient, transparent and painless. Services include IPO registrations, transactions, virtual data rooms, EDGAR & XBRL filing, typesetting, financial printing and investor relations websites. www.thevintagegroup.com 

About PR Newswire

PR Newswire (www.prnewswire.com) is the premier global provider of multimedia platforms that enable marketers, corporate communicators, sustainability officers, public affairs and investor relations officers to leverage content to engage with all their key audiences. Having pioneered the commercial news distribution industry 60 years ago, PR Newswire today provides end-to-end solutions to produce, optimize and target content — from rich media to online video to multimedia — and then distribute content and measure results across traditional, digital, mobile and social channels. Combining the world’s largest multi-channel, multi-cultural content distribution and optimization network with comprehensive workflow tools and platforms, PR Newswire enables the world’s enterprises to engage opportunity everywhere it exists. PR Newswire serves tens of thousands of clients from offices in the Americas, Europe, Middle East, Africa and the Asia-Pacific region, and is a UBM plc company. www.prnewswire.com

Media Contact:

Bradley H. Smith
Director of Marketing, IR and Compliance Services
PR Newswire & Vintage
+1 201.942.7157
bradley.smith@prnewswire.com

6 questions answered regarding setting up your IR function (Post-IPO)

IMAGE_for-PR_darrow3As part of our ongoing six-part webinar / podcast series, we offering these “collateral questions” to review. To listen to the actual webinars – or download the podcast files – please CLICK HERE to learn from our subject matter expert Bernie Kilkelly. 

Q: What changes should you expect after going public? 

Going public is one of the crowning achievements for a company and since a tremendous amount of work goes into preparing for the IPO, including a demanding road show, it would be natural to think that you’ve reached the finish line and are ready to take a rest.  In reality, the IPO is just the start of the ultra-marathon that is the life of a public company, and it is critically important to plan ahead of time and prepare for the post-IPO period.  Ideally, the investor relations function should be staffed either with an internal investor relations officer or outsourced by working with a trusted IR firm.

There should be set policies and procedures in place to designate appropriate spokespeople for the company, with the internal IRO or a senior person from your external firm serving as the key spokesperson.  While the CEO and CFO should be available and accessible when needed, it is not advisable for them to serve as the primary point of contact for analysts and investors, since they have many other responsibilities and demands on their time.   

How should you prepare your entire company for the post-IPO period, especially with regards to disclosure requirements like Reg FD? 

It is critical to have a disclosure policy in place before the IPO and this policy should be updated after the IPO to reflect the new requirements that the company faces.  In particular, the policy should spell out in detail the executives who are permitted to speak to analysts, investors and the media, and the procedures that other executives should follow if they are contacted by an analyst, investor or the media.  The designated spokespeople should of course have a full understanding of Reg FD and should be equipped with talking points and a list of potential questions and scripted answers to use when talking with or meeting with analysts and investors.  For media interviews, it is especially important to be aware of periods before and after the IPO where the company is prohibited from discussing the offering.

After the IPO, the company’s disclosure policy should include a quiet period to limit communications with analysts and investors during the time after the quarter closes and prior to the release of earnings.  This quiet period is critical to avoid inadvertent violations of Reg FD disclosure regulations.  According to a NIRI survey released in February, 85% of public companies have a quiet period before the release of earnings.  The company should also put in place a blackout period during which employees and directors are restricted from trading the company’s shares after the close of the quarter and through the release of earnings.  According to NIRI, 99% of companies have trading blackouts.

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email_bkBernie Kilkelly is a senior investor relations practitioner with over 25 years of experience in designing and running successful IR programs to help companies build shareholder value. His background includes serving as head of investor relations for three public companies in the financial services sector, including Delphi Financial Group, Inc. from 2001 until its acquisition in 2012 by Tokio Marine Group at a 76% premium to its stock price. In addition to serving as a corporate investor relations officer, Mr. Kilkelly has worked at leading investor relations and financial/public relations agencies in New York, including Morgen-Walke Associates, Makovsky & Co. and Robinson Lerer & Montgomery. Mr. Kilkelly is a recognized leader in the investor relations community and has served as a director of the New York Chapter of the National Investor Relations Institute (NIRI) since 2007. He was NIRI-NY Chapter President in 2012 and is currently serving as Vice President-Communications, responsible for the chapter’s website, newsletter and social media.

Connect with Bernie in LinkedIn here.

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What should be the role of the CEO and CFO in the IR program after the IPO?

Senior management of the company, in particular the CEO and CFO, are the face of the company during its IPO road show.  This is always the case for a small cap company and even more so when the CEO is a founder of the company.  Once the IPO is completed, it is important for senior management to transition away from the day to day contact for analysts and investors, most importantly so they can focus on running the company.  The CEO and CFO should participate in investor conferences, non-deal roadshows and 1-on-1 meetings with key analysts and investors, but as much as possible the targeting and introductory conversations regarding the company should be handled by the designated IR point person.

What are the most critical elements of an IR program after the IPO? 

Once the IPO is done it is crucial for a newly public company to maintain strong relationships with your new shareholders and have an active program in place to target and attract new shareholders. The company will want to participate in appropriate investor conferences and do non-deal roadshows to get out and meet with current shareholders and investor prospects.  There is a 25 day quiet period after the completion of the IPO and while management may be eager to get out and meet with new shareholders and prospects, it is not necessary to do meetings immediately after the end of this period unless you have something interesting to talk about that wasn’t discussed on the IPO road show.

This will also enable the company to spend more time preparing for the important first quarterly earnings release and conference call after the IPO.  It is also crucial to have a robust investor relations website that is continually updated as new materials become available.

What are the pros and cons of having an internal IRO vs. outsourcing with an IR firm? 

The investor relations function is critical to making sure that the company understands what analysts and investors are thinking and to manage expectations around earnings and other metrics.  For many smaller companies, budget considerations make it more difficult to hire a senior executive to handle these responsibilities in-house.  [We are a little biased, of course, but] An attractive alternative is to outsource some or all of these activities by working with a trusted investor relations agency.  Agencies have established contacts in the institutional investor community and with retail investor channels that will help in your investor targeting efforts.  The agency will also have experience in helping companies prepare for investor conferences and putting together non-deal roadshows.

An outside agency will provide objectivity that is sometimes difficult for an internal staffer to have.  It will also enable you to have the expertise of a senior person for considerably less than the cost of a full-time senior IRO.

What should the newly public company look for in selecting an IR firm? 

One of the key factors in selecting an IR firm is to look at the amount of senior executive time that will be spent on your account.  A larger agency will often assign a team to your account that includes junior staffers, who may be bright and eager but are nevertheless lacking in experience.  It is critical when selecting an agency to find out who will be handling your account and how much access you will have to senior experienced staff.  Smaller boutique agencies are also able to provide deep expertise in targeted industries.

The SEC is closed for Memorial Day: Monday, May 25

memdayIn honor of Memorial Day, the SEC is closed on Monday, May 25, 2015. No files can be received. Plan accordingly with your Vintage Account Team.

Files submitted after 5:30 pm ET, Friday May 22, 2015 will receive a filing date of Tuesday, May 26, 2015  and will be posted to the public on Tuesday May 26, 2015 at 6:00 am ET.

As with other holiday closings, the following file types will receive a Friday, May 22, 2015  filing date if filed by 10:00 pm ET on Friday:

  • Form 13H filings
  • Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)

For any filing with a due date of Monday May 25, 2015, the SEC will move the due date to the next business day, Tuesday, May 26, 2015.

Have a great holiday.

Doing our share to prevent faux SEC filings

Working the forensics of last Thursday’s fraudulent SEC regarding an offer to purchase Avon Products is none of our business here at Vintage. We’ll leave that to the SEC. This NYT article has a good review of the news.

faux

Our responsibility is to prevent faux filings BEFORE any bits of bytes reach EDGAR. Here is a simple summary of how we on-board new clients:

For every new client that comes to Vintage we require a New Member Application completed prior to any work being done. This ensures that the responsible party is agreeing to our terms of service, and that we have the correct company and billing contacts on file. When the New Member Application is filled out it comes into Vintage Client Services and we vet the company.

Some major points of that vetting process are…

  • We verbally confirm every application with the applicant.
  • We confirm that the person who filled out the application is associated directly with the organization which is signing up and will be receiving the bills (aka: responsible for payment of invoices generated on that account). If not we obtain permission from the billing entity to process work received from the agency sending in the work.
  • We ask if the Organization has a valid website with contact information matching what is provided on the application and is their email a domain email address.
  • We also crosscheck all information with our Salesforce.com database.
  • If validation cannot be made on information submitted in application our last step is asking for a bill (electric or telephone) that connects the person with the Organization’s address and telephone number (aka: some form of proof).
  • We also ask if they will be working with a law firm or third party and note this on our checklist.

Additionally there is strict policy we have surrounding releasing of any filing entities EDGAR codes. Whenever an entities’ codes are requested that request is forwarded to Vintage Client Services. If it is a telephone call request, we ask they follow up with the request via email for our records. Vintage Client Services will then require that authorization is given to us from an Officer of that company. We ask the same for Individuals, that authorization is received from the individual.

There are many reason companies should use a filing agent. There are even more reasons a company should us Vintage. (Yes, that was a shameless sales plug)

IPOs and Transactions: May 11 – 15

There were 58 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Champions Oncology, Inc. w/ Epstein Becker & Green, PC, Fennec Pharmaceuticals Inc. w/ LaBarge Weinstein LLP and Rutan & Tucker LLP and Realbiz Media Group Inc. w/ Gracin & Marlow LLP.

We appreciate that they selected to work with us and we’re pleased that they found us to be the intelligent value.
700_email-banner_i-ratesConfidential and uncomplicated for M&A. Click here.

Law firm / advisor Registrant Symbol Form Exchange
Alpine Auto Brokers, Inc. ALPINE AUTO BROKERS, INC. ~ S-1 ~
Andrews Kurth LLP NUSTAR ENERGY L.P. NS S-3 NYSE
Andrews Kurth LLP TESORO LOGISTICS LP TLLP S-4 NYSE
Cadwalader, Wickersham & Taft LLP COSI INC COSI S-1 Nasdaq
Cooley LLP AXOVANT SCIENCES LTD. ~ S-1 ~
Cooley LLP CATABASIS PHARMACEUTICALS INC ~ S-1 ~
Cooley LLP MINDBODY, INC. ~ S-1 ~
Cooley LLP BIOCEPT INC BIOC S-3 Nasdaq
Corindus Vascular Robotics, Inc. CORINDUS VASCULAR ROBOTICS, INC. CVRS S-1 ~
Davis Polk & Wardwell LLP BIOTIE THERAPIES CORP. ~ F-1 Nasdaq
Davis Polk & Wardwell LLP MARKIT LTD. MRKT F-1 Nasdaq
Dean Law Corp. AIM EXPLORATION INC. AEXE S-1 ~
Dechert LLP RAMIUS ARCHVIEW EVENT CREDIT FUND ~ N-2 ~
Epstein Becker & Green, P.C. CHAMPIONS ONCOLOGY, INC. CSBR S-1 ~
ETN Services, LLC VAPETEK INC. ~ S-1 ~
Fenimore, Kay, Harrison & Ford LLP FIRST FINANCIAL BANKSHARES INC FFIN S-4 Nasdaq
Fenwick & West LLP AMYRIS, INC. AMRS S-3 Nasdaq
Foley Hoag LLP APPLIED GENETIC TECHNOLOGIES CORP AGTC S-3 Nasdaq
Gabelli Securities Group, Inc. GABELLI SECURITIES GROUP, INC. ~ 10-12B ~
Gibson, Dunn & Crutcher LLP ADEPT TECHNOLOGY INC ADEP S-3 Nasdaq
Goodmans LLP COTT CORP /CN/ COT S-4 NYSE
Goodwin Procter LLP CORINDUS VASCULAR ROBOTICS, INC. CVRS S-1 ~
Goodwin Procter LLP NIVALIS THERAPEUTICS, INC. ~ S-1 ~
Goodwin Procter LLP CAMDEN NATIONAL CORP CAC S-4 Nasdaq
Goodwin Procter LLP OCERA THERAPEUTICS, INC. OCRX S-3 Nasdaq
Gracin & Marlow, LLP REALBIZ MEDIA GROUP, INC RBIZ S-1 ~
Graubard Miller E-COMPASS ACQUISITION CORP. ~ S-1 ~
Graubard Miller SINO MERCURY ACQUISITION CORP. SMACU S-4 Nasdaq
Gross, Kleinhendler, Hodak, Halevy, Greenberg & Co. DIGITAL POWER CORP DPW S-3 NYSE
Hogan Lovells US LLP LANDMARK APARTMENT TRUST, INC. ~ S-11 ~
Hogan Lovells US LLP FIVE PRIME THERAPEUTICS INC FPRX S-3 Nasdaq
Jenner & Block LLP MERGE HEALTHCARE INC MRGE S-4 Nasdaq
Jenner & Block LLP MERGE HEALTHCARE INC MRGE S-3 Nasdaq
King & Spalding LLP NIVALIS THERAPEUTICS, INC. ~ S-1 ~
Kirkland & Ellis LLP COTT CORP /CN/ COT S-4 NYSE
LaBarge Weinstein LLP FENNEC PHARMACEUTICALS INC. FENCF S-1 ~
Latham & Watkins LLP AXOVANT SCIENCES LTD. ~ S-1 ~
Latham & Watkins LLP EMPIRE PETROLEUM PARTNERS, LP ~ S-1 ~
Latham & Watkins LLP GLAUKOS CORP ~ S-1 ~
Latham & Watkins LLP NEW HOME CO INC. NWHM S-3 NYSE
Loeb & Loeb LLP E-COMPASS ACQUISITION CORP. ~ S-1 ~
Loeb & Loeb LLP GENERAL EMPLOYMENT ENTERPRISES INC JOB S-3 NYSE
Luse Gorman, PC CAMDEN NATIONAL CORP CAC S-4 Nasdaq
McDermott Will & Emery LLP CORINDUS VASCULAR ROBOTICS, INC. CVRS S-1 ~
McDermott Will & Emery LLP SINO MERCURY ACQUISITION CORP. SMACU S-4 Nasdaq
Mintz and Fraade, LLP, P.C. BMP HOLDINGS INC. ~ S-1 ~
Morgan, Lewis & Bockius LLP TUCSON ELECTRIC POWER CO ~ S-4 ~
Morgan, Lewis & Bockius LLP PLASMATECH BIOPHARMACEUTICALS INC PTBI S-3 Nasdaq
Morrison & Foerster LLP ARMADA HOFFLER PROPERTIES, INC. AHH S-3 NYSE
Norton Rose Fulbright US LLP FIRST FINANCIAL BANKSHARES INC FFIN S-4 Nasdaq
Norton Rose Fulbright US LLP PIONEER ENERGY SERVICES CORP PES S-3 NYSE
Norton Rose Fulbright US LLP TESORO LOGISTICS LP TLLP S-4 NYSE
Olshan Frome Wolosky LLP CROSSROADS SYSTEMS INC CRDS S-1 Nasdaq
Paesano Akkashian, PC AMERICATOWNE INC. ~ S-1 ~
Parr Brown Gee & Loveless ULURU INC. ULUR S-1 ~
Reed Smith LLP GLAUKOS CORP ~ S-1 ~
Richardson & Patel, LLP SYSOREX GLOBAL HOLDINGS CORP. SYRX S-3 Nasdaq
Rutan & Tucker, LLP FENNEC PHARMACEUTICALS INC. FENCF S-1 ~
Sichenzia Ross Friedman Ference LLP CYBERGY HOLDINGS, INC. CYBG S-1 ~
Sichenzia Ross Friedman Ference LLP ORBITAL TRACKING CORP. TRKK S-1 OTC Markets
Sidley Austin LLP LANDMARK APARTMENT TRUST, INC. ~ S-11 ~
Sidley Austin LLP LOANCORE REALTY TRUST, INC. ~ S-11 ~
Simpson Thacher & Bartlett LLP POLYMER GROUP INC ~ S-4 ~
Skadden, Arps, Slate, Meagher & Flom LLP GUGGENHEIM ENERGY & INCOME FUND ~ N-2 ~
Skadden, Arps, Slate, Meagher & Flom LLP LOANCORE REALTY TRUST, INC. ~ S-11 ~
Skadden, Arps, Slate, Meagher & Flom LLP MARKIT LTD. MRKT F-1 Nasdaq
SPX FLOW, Inc. SPX FLOW, INC. ~ 10-12B ~
Synergen Law Group, APC WORLD MEDIA & TECHNOLOGY CORP. WRMT S-1 OTC Markets
The Doney Law Firm MONDOVITA CORP. ~ S-1 ~
Vinson & Elkins L.L.P. EMPIRE PETROLEUM PARTNERS, LP ~ S-1 ~
Vinson & Elkins L.L.P. PENN VIRGINIA CORP PVA S-3 NYSE
Wachtell, Lipton, Rosen & Katz HILLTOP HOLDINGS INC. HTH S-4 NYSE
Williams Mullen HIGHLANDS BANKSHARES INC /VA/ HBKA S-1 ~
Wilmer Cutler Pickering Hale and Dorr LLP CATABASIS PHARMACEUTICALS INC ~ S-1 ~
Wilmer Cutler Pickering Hale and Dorr LLP BIOTIE THERAPIES CORP. ~ F-1 Nasdaq
Wilson Sonsini Goodrich & Rosati, P.C. MINDBODY, INC. ~ S-1 ~
Wilson Sonsini Goodrich & Rosati, PC VITAL THERAPIES INC VTL S-3 Nasdaq
Winthrop & Weinstine, P.A. SPEED COMMERCE, INC. SPDC S-3 Nasdaq

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.