IPOs and Transactions: February 1 – 5 / plus 2016 SEC Reporting Rules guidebooks

There were 32 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Moleculin Biotech Inc. w DLA Piper LLP and Schiff Hardin LLP, Vuzix Corp w/ Sichenzia Ross Friedman Ference LLP and Reg A+ registration Beautykind Holdings Inc. w/ Szaferman, Lakind, Blumstein & Blader, PC.

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

V-700_email-banner2016ewng

Law firm / advisor Registrant Symbol Form Industry
ALJ Regional Holdings, Inc. ALJ REGIONAL HOLDINGS INC ~ 10-12B ~
Anderson Hayes, P.C. INNERSCOPE ADVERTISING AGENCY, INC. ~ S-1 ~
Cadwalader, Wickersham & Taft LLP ASHFORD HOSPITALITY PRIME, INC. AHP S-3 REIT
Clifford Chance US LLP NORTHSTAR REAL ESTATE CAPITAL INCOME FUND-T ~ N-2 ~
Clifford Chance US LLP NORTHSTAR REAL ESTATE CAPITAL INCOME MASTER FUND ~ N-2 ~
Cooley LLP TRACON PHARMACEUTICALS, INC. TCON S-3 Biotech.
Cooley LLP ENPHASE ENERGY, INC. ENPH S-3 Semi-conductor
Dechert LLP APOLLO MULTI SECTOR INCOME FUND ~ N-2 ~
Dechert LLP APOLLO MULTI SECTOR INCOME FUND A ~ N-2 ~
Dechert LLP APOLLO MULTI SECTOR INCOME FUND B ~ N-2 ~
Dechert LLP EGALET CORP EGLT S-3 Biotech.
DLA Piper LLP MOLECULIN BIOTECH, INC. ~ S-1 ~
Dorsey & Whitney LLP CORVEL CORP CRVL S-3 Insurance
Greenberg Traurig. P.A. ST JOE CO JOE S-3 Real Estate Dev.
Heartland Payment Systems, Inc. GLOBAL PAYMENTS INC GPN S-4 Bus. Services
Highlands REIT, Inc. HIGHLANDS REIT, INC. ~ 10-12G ~
Keith N. Hamilton Attorney at Law, PLLC ALL SOFT GELS INC ~ S-1 ~
Kruse Landa Maycock & Ricks, LLC CANNASYS INC MJTK S-1 ~
Lowenstein Sandler LLP CYTODYN INC CYDY S-1 ~
Mayer Brown LLP BAXALTA INC BXLT S-1 Biotech.
O’Neal Law Office HIP CUISINE INC. ~ S-1 ~
Schiff Hardin LLP MOLECULIN BIOTECH, INC. ~ S-1 ~
Securities Compliance Group, Ltd. LENG UNIVERSAL, INC. ~ S-1 ~
Shearman & Sterling LLP ALJ REGIONAL HOLDINGS INC ~ 10-12B ~
Sichenzia Ross Friedman Ference LLP VUZIX CORP VUZI S-3 Elec. Equipment
Sidley Austin LLP BAXALTA INC BXLT S-1 Biotech.
Simpson Thacher & Bartlett LLP GLOBAL PAYMENTS INC GPN S-4 Bus. Services
Skadden, Arps, Slate, Meagher & Flom LLP COLONY GLOBAL ACQUISITION CORP. ~ S-1 ~
Skadden, Arps, Slate, Meagher & Flom LLP BAXALTA INC BXLT S-1 Biotech.
Sonfield & Sonfield ARISTOCRAT GROUP CORP. ASCC S-1 ~
Sutherland Asbill & Brennan LLP UNITED STATES OIL FUND, LP USO S-3 Closed-End Fund
Szaferman, Lakind, Blumstein & Blader, PC NUTRITIONAL HIGH INTERNATIONAL INC ~ F-1 ~
Szaferman, Lakind, Blumstein & Blader, PC BEAUTYKIND HOLDINGS, INC. ~ 1-A ~
TRACON Pharmaceuticals, Inc. TRACON PHARMACEUTICALS, INC. TCON S-3 Biotech.
Vinson & Elkins L.L.P. RSP PERMIAN, INC. RSPP S-4 Oil / Gas Drilling & Explor.
Wachtell, Lipton, Rosen & Katz GLOBAL PAYMENTS INC GPN S-4 Bus. Services
Weil, Gotshal & Manges LLP COLONY GLOBAL ACQUISITION CORP. ~ S-1 ~
Weintraub Tobin Chediak Coleman Grodin, Law Corp. ADAMIS PHARMACEUTICALS CORP ADMP S-3 Drug Delivery
Wilson Sonsini Goodrich & Rosati, P.C. AVINGER INC AVGR S-3 Medical App. / Equip.
Winston & Strawn LLP VERSUS CAPITAL MULTI-MANAGER REAL ESTATE INCOME FUND LLC VCMIX N-2 ~

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.

IPO Underwriters of the Week: February 1 – 5

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.

V-700_email-banner2016ewng

Registrant Form Underwriter
MOLECULIN BIOTECH, INC. S-1 Bonwick Capital Partners LLC
AVINGER INC S-3 Cowen and Company, LLC
COLONY GLOBAL ACQUISITION CORP. S-1 Credit Suisse Securities (USA) LLC
VERSUS CAPITAL MULTI-MANAGER REAL ESTATE INCOME FUND LLC N-2 Foreside Funds Distributors LLC
ALL SOFT GELS INC S-1 Gene Nelson, President
BAXALTA INC S-1 J.P. Morgan Securities LLC
NUTRITIONAL HIGH INTERNATIONAL INC F-1 Kodiak Capital Group, LLC
CANNASYS INC S-1 Kodiak Capital Group, LLC
CYTODYN INC S-1 Paulson Investment Company, LLC
TRACON PHARMACEUTICALS, INC. S-3 Stifel, Nicolaus & Company, Inc.
BEAUTYKIND HOLDINGS, INC. 1-A W.R. Hambrecht + Co., LLC

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

“Miracle workers. You guys are awesome.”

first_place_ribbonVFast turns and spot-on execution has redefined Vintage, helping us to be a top three solution in North America. Our work is highlighted every Monday in our “IPOs and Transactions of the Week” blog and email.  Importantly, our week’s success is further highlighted (and celebrated) by the appreciative notes our operations people receive each day from our clients.

We can’t not share the good news (anonymized for privacy). Sales can offer you full named references.

Here is just a handful of the week’s notes: 

.

kudos_quote1

Kudos to our Transactions team

Thank you all for the great job on this process.  It has been a pleasure working with the whole team.

.


kudos_quote1

.Kudos to our EDGAR team

Just a brief note to say thank you all for your teamwork and support over the past several days as we prepared for our company’s earnings release as well as a significant organizational announcement.

I know this go-round was particularly complicated for multiple reasons, and having the A-team on our side throughout ensured successful and timely distribution of our exciting news this morning. Hopefully, the next earnings announcement won’t be quite as entailed, but I have let my colleague know that you offered to hold a brief planning call in advance to ensure everyone is on the same page regarding deliverables.

It’s been a pleasure working with each of you, and the next time you see my name come across on a release (maybe tomorrow even!), it will likely be a straightforward request for release for Missiles and Fire Control!

.


kudos_quote1

.Kudos to our EDGAR team

I wanted to repeat how pleased I am with how promptly and accurately the EDGAR proofs were prepared.

I also want to specifically mention my appreciation for Wilson pointing out that I’d skipped an amendment to the 14D-9 (we had two proofs going). I will certainly recommend Vintage to clients going forward.

 


kudos_quote1

.Kudos to our Typesetting team

I can’t thank you enough for your heroic efforts that enabled [COMPANY] to file ON TIME (with milliseconds to spare!) last night.  You all went well “above and beyond” to make this happen.  Your efforts were appreciated more than you know, by us and by our client.

.


kudos_quote1

.Kudos to our IPO team

Thank you for getting this submitted. I appreciate how smooth this process has been with Vintage (and catching my omission in not asking for marked copies to send to the examiners and for the great job in processing mark-ups made on inconsistent proof versions).

.


Our rebrand was not just a logo change – it was a systemic and cultural reform throughout our operations. Our president, Liam Power, challenged his team to deliver the industry’s intelligent value, measured as fast turns and spot-on execution of services. You can meet Liam Power on this video. 

Thanks to our experts for delivering intelligent value!

Video: January’s Top Law Firms for SEC transactions

Being subject matter experts in transactions i.e. IPOs and M&A, we carefully track the capital markets dealflow… daily, weekly and monthly. If you would like to be emailed the week’s transactions (every Monday afternoon), fill out the quick form on this page.

View the Top 30 for all of 2015 here!

.

Congratulations to any and all of our partnering law firms that made this month’s Top List – and to the firms that worked with our teams on their clients’ transaction:

  • 1-A: Form needed for companies taking advantage of Regulation A+
  • S-1: General form of registration statement for all companies including face-amount certificate companies
  • S-3: Registration statement for specified transactions by certain issuers
  • S-4 Registration of securities issued in business combination transactions
  • N-2: Initial filing of a registration statement on Form N-2 for closed-end investment companies
  • F-1: Registration statement for securities of certain foreign private issuers
  • S-11: Registration statement for securities to be issued by real estate companies
  • 10-12G: Initial general form for registration of a class of securities pursuant to Section 12(g)
  • 10-12B: Initial general form for registration of a class of securities pursuant to Section 12(b)

Have you read our whitepaper on how the S-1 registration paperwork flows back-and-forth between the company and the SEC?  CLICK HERE

70% of Top 10 Securities Law Firms Worked on Transactions with Vintage in 2015

“Fast-turns” and “spot-on execution” resonating with law firms as fundamental for executing middle market issuer transactions 

NEW YORK, February 2, 2016 / PR Newswire / — In 2015, 70% of the Top 10 law firms that specialize in the SEC transactions required by the Securities Act Of 1933, worked with Vintage, the capital markets, corporate services and institutional & mutual fund services division of PR Newswire. These filings, including IPOs, secondary offerings and Regulation A+ registrations, are very complex legal documents that require an immaculate attention to detail and extensive expertise in financial publishing.

2015-Securities-Lawyers-Vintage

CLICK IMAGE TO ENLARGE

“In 2015, Vintage clearly established ourselves as a top solution for law firms and their clients, particularly for issuers positioned in the middle market,” said Liam Power, President of Vintage. “Clients experienced our promise of delivering ‘fast-turns’ and ‘spot-on execution’ regardless of the scale of the work or the size of the company.

I’m proud to say that, judging by the direct feedback from our clients, Vintage is on mission and we continue our measurable expansion into larger and more complex deals. Unique in the industry, Vintage continues to deliver speed, quality and value without sacrificing any one attribute for another,” finished Power.

The capstone of Vintage capital markets group is its IPO and transaction drafting sessions. The company has defined three models for these sessions, based on the flexibility and budget the client requires and not a one-size-fits-all approach.

  • Vintage office location: a traditional session model
  • Client-selected location: minimum travel and billable hours while allowing senior executives to keep abreast of their daily workload
  • 100% virtual: the most cost and time efficient alternative

Securities law firms, like Sichenzia Ross Friedman Ference LLP, work with Vintage and the process that best suits their own issuer clients’ needs.

“We are very pleased to be recognized, for the second year in a row, as the 12th most active law firm in the United States for transactions involving public offerings,” said Gregory Sichenzia, Partner, Sichenzia Ross Friedman Ference LLP. “These rankings reflect the strong position that we have been able to maintain in the market.  We thank our friends at Vintage for their help and support.”

Absolute cost transparency is a hallmark of the Vintage approach, and a key part of their ability to deliver value to our client, presenting pricing simply, clearly and to the level of detail that matters to clients. In fact, Vintage pioneered the concept of open, up-front and transparent pricing.

“Once again, our presence on this Top 30 securities lawyer list clearly illustrates the dedication and smart decisions our partners and associates execute for our clients,” said Gregg E. Jaclin, Esq., Partner from Szaferman Lakind Blumstein & Blader, PC. “One key decision we assist our clients with is resource selection and we have found that Vintage compliments both our processes and our clients’ requirements.”

In addition to capital markets practice group that works with law firms, investment banks and M&A deal-drivers, Vintage also supports two other practice groups:

  • Corporate Services, which supports public companies with compliance and investor relations solutions
  • Institutional & Fund Services for investment management and mutual fund organizations

Vintage is headquartered in New York City with regional sales and service offices throughout the US and internationally.

A brief video explaining transaction drafting sessions can be viewed here: http://promotions.prnewswire.com/Vintage-transaction-solutions.html

###

Research is from 2014 SEC filings: 1-A, S-1, S-3, S-4, S-11, N-2, F-1, 10-12B and 10-12G. All files are available on SEC.gov website.

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. 

About PR Newswire

PR Newswire 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 over 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. 

Media Contact:
Bradley H. Smith
Director of Marketing, IR and Compliance Services
PR Newswire & Vintage
+1 201.942.7157

bradley.smith@prnewswire.com

 

 

IPOs and Transactions: January 25 – 29 / plus 2016 SEC Reporting Rules guidebooks

There were 37 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Transgenomic, Inc. w/ Paul Hastings LLP.

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

V-700_email-banner2016ewng

Law firm / advisor Registrant Symbol Form Industry
360 Sports, Inc. 360 SPORTS, INC. ~ 1-A ~
Affinion Group Holdings, Inc. AFFINION GROUP HOLDINGS, INC. ~ 10-12G ~
Bowles Rice LLP UNITED BANKSHARES INC/WV UBSI S-4 Regional Banks
Bryan Cave LLP COASTAL BANKING CO INC CBCO 1-A ~
Chicago Housing REIT, Inc. CHICAGO HOUSING REIT, INC. ~ 1-A ~
Clark Wilson LLP ALKALINE WATER CO INC WTERD S-1 ~
Clyde Snow & Sessions, PC PREMIER BIOMEDICAL INC BIEI S-1 ~
Cole Capital COLE OFFICE & INDUSTRIAL REIT (CCIT III), INC. ~ S-11 ~
Covington & Burling LLP UNITED BANKSHARES INC/WV UBSI S-4 Regional Banks
Davis Polk & Wardwell LLP L BRANDS, INC. LB S-4 Apparel Stores
Dorsey & Whitney LLP CHS INC CHSCP S-1 ~
Dorsey & Whitney LLP TACTILE SYSTEMS TECHNOLOGY INC ~ S-1 ~
Drinker Biddle & Reath LLP AEOLUS PHARMACEUTICALS, INC. AOLS S-1 ~
Faegre Baker Daniels LLP TACTILE SYSTEMS TECHNOLOGY INC ~ S-1 ~
Freshfields Bruckhaus Deringer US LLP SILVER RUN ACQUISITION CORP ~ S-1 ~
Gibson, Dunn & Crutcher LLP SILICON GRAPHICS INTERNATIONAL CORP SGI S-3 Diversified Comp. Sys.
Goodwin Procter LLP NEOS THERAPEUTICS, INC. NEOS S-1 Drugs
Jolie Kahn, Esq. AXION POWER INTERNATIONAL, INC. AXPW S-1 Industrial Elec. Equip.
JSBarkats, PLLC POMM INC. ~ 1-A ~
K&L Gates LLP METLIFE INSURANCE CO USA ~ S-3 ~
K&L Gates LLP XG SCIENCES INC ~ S-1 ~
Kirkland & Ellis LLP INFINIUM SOFTWARE INC ~ S-4 ~
Kirkland & Ellis LLP EXELON CORP EXC S-4 Diversified Utilities
Law Offices of Aaron A. Grunfeld & Associates SECOND SIGHT MEDICAL PRODUCTS INC EYES S-1 Med. App. & Equip.
Law Offices of Scott D. Marchant, Esq. US EXPORT, INC. ~ S-1 ~
Legal & Compliance, LLC IEG HOLDINGS CORP IEGH S-1 ~
Maynard, Cooper & Gale, P.C. HEALTHSOUTH CORP HLS S-4 Spec. Health
McGuireWoods LLP CLEVELAND BIOLABS INC CBLI S-3 Biotech.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. NEOS THERAPEUTICS, INC. NEOS S-1 Drugs
Morris, Manning & Martin LLP COLE OFFICE & INDUSTRIAL REIT (CCIT III), INC. ~ S-11 ~
Parr Brown Gee & Loveless ULURU INC. ULUR S-1 ~
Paul Hastings LLP TRANSGENOMIC INC TBIO S-3 ~
Plush Corporation PLUSH CORP ~ S-1 ~
Richardson & Associates HYGEN INDUSTRIES, INC. ~ 1-A ~
Sichenzia Ross Friedman Ference LLP MABVAX THERAPEUTICS HOLDINGS, INC. MBVX S-1 ~
Sichenzia Ross Friedman Ference LLP SUSGLOBAL ENERGY CORP. ~ S-4 ~
Sidley Austin LLP CARE CAPITAL PROPERTIES, INC. CCP S-11 REIT
Spencer Fane LLP PARNELL PHARMACEUTICALS HOLDINGS LTD PARN F-1 Drugs
Stepp Law Corp. ROYAL COUNTRY CLUB & RECREATION HOLDINGS, INC. ~ S-1 ~
Trowbridge Taylor Sidoti LLP UNITED GROUP FUND, INC ~ 1-A ~
V Financial Group, LLC HEMP NATURALS, INC. ~ 1-A ~
Wachtell, Lipton, Rosen & Katz MOHEGAN TRIBAL GAMING AUTHORITY ~ S-4 ~
Weil, Gotshal & Manges LLP SILVER RUN ACQUISITION CORP ~ S-1 ~

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.

IPO Underwriters of the Week: January 25 – 29

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.

V-700_email-banner2016ewng

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
SILVER RUN ACQUISITION CORP S-1 Deutsche Bank Securities Inc. Citigroup Global Markets Inc. Goldman, Sachs & Co.
PARNELL PHARMACEUTICALS HOLDINGS LTD F-1 Lincoln Park Capital Fund, LLC ~ ~
AXION POWER INTERNATIONAL, INC. S-1 Maxim Group LLC ~ ~
METLIFE INSURANCE CO USA S-3 MetLife Investors Distribution Company ~
TACTILE SYSTEMS TECHNOLOGY INC S-1 Piper Jaffray & Co. William Blair & Company, L.L.C. Canaccord Genuity Inc. / BTIG, LLC
PREMIER BIOMEDICAL INC S-1 Redwood Management, LLC ~ ~
NEOS THERAPEUTICS, INC. S-1 UBS Securities LLC BMO Capital Markets Corp. RBC Capital Markets, LLC / JMP Securities LLC

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