IPOs and Transactions: August 24 – 28 / plus M&A quick sheet

There were 42 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Advanced Inhalation Therapies LTD. w/ Loeb & Loeb LLP and Zysman, Aharoni, Gayer and Sullivan & Worcester LLP, ISORAY Inc. with Gallagher & Kennedy PA and Immune Pharmaceuticals Inc. w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo PC.

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Law firm / advisor Registrant Symbol Form Exchange
Akerman LLP NV5 HOLDINGS, INC. NVEEU S-3 NASDAQ
Akin Gump Strauss Hauer & Feld LLP GULFPORT ENERGY CORP GPOR S-4 NASDAQ
Alston & Bird LLP SEACOAST BANKING CORP OF FLORIDA SBCF S-3 NASDAQ
Barack Ferrazzano Kirschbaum & Nagelberg LLP QCR HOLDINGS INC QCRH S-3 NASDAQ
Barley Snyder LLP JUNIATA VALLEY FINANCIAL CORP JUVF S-4 OTC Markets
Bingham Greenebaum Doll LLP FIRST MERCHANTS CORP FRME S-4 NASDAQ
Bracewell & Giuliani LLP ALLEGIANCE BANCSHARES, INC. ~ S-1 ~
Burningham & Burningham UAS DRONE CORP. ~ S-1 ~
Cooley LLP CORTENDO AB ~ F-1 ~
Cooley LLP GERON CORP GERN S-3 NASDAQ
Cooley LLP SEQUENOM INC SQNM S-3 NASDAQ
Day Pitney LLP SBT BANCORP, INC. SBTB S-1 OTC Markets
Dorsey & Whitney LLP HEARTLAND FINANCIAL USA INC HTLF S-4 NASDAQ
Dorsey & Whitney LLP NOBILIS HEALTH CORP. HLTH S-1 NYSE
Ellenoff Grossman & Schole LLP TEMPUS APPLIED SOLUTIONS HOLDINGS, INC. ~ S-3 ~
Emerson Equity LLC GWG HOLDINGS, INC. GWGH S-1 NASDAQ
Fainsbert Mase Brown & Sussman, LLP ELIO MOTORS, INC. ~ 1-A ~
Foley & Lardner LLP LINDBLAD EXPEDITIONS HOLDINGS, INC. LIND S-3 NASDAQ
Gallagher & Kennedy, P.A. ISORAY, INC. ISR S-3 NYSE
Gibson, Dunn & Crutcher LLP WILLIS GROUP HOLDINGS PLC WSH S-4 NYSE
Greenbaum, Rowe, Smith & Davis LLP ANADIGICS INC ANAD S-3 NASDAQ
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP ALDEYRA THERAPEUTICS, INC. ALDX S-3 NASDAQ
Hogan Lovells US LLP SBT BANCORP, INC. SBTB S-1 OTC Markets
Jones & Keller, P.C. MIDWEST HOLDING INC. ~ S-4 ~
Kilpatrick Townsend & Stockton LLP ALLEGIANCE BANCSHARES, INC. ~ S-1 ~
Kilpatrick Townsend & Stockton LLP COASTAL FINANCIAL CORP ~ 1-A ~
Kilpatrick Townsend & Stockton LLP FIRST MERCHANTS CORP FRME S-4 NASDAQ
Kirkland & Ellis LLP ACELITY HOLDINGS, INC. ~ S-1 ~
Kirkland & Ellis LLP ALLY AUTO ASSETS LLC ~ S-3 ~
Latham & Watkins LLP CYTOMX THERAPEUTICS, INC. ~ S-1 ~
Latham & Watkins LLP MIRNA THERAPEUTICS, INC. ~ S-1 ~
Loeb & Loeb LLP ADVANCED INHALATION THERAPIES (AIT) LTD. ~ F-1 ~
LookSmart Group, Inc. LOOKSMART GROUP, INC. ~ 10-12G ~
Lowe, Fell & Skogg, LLC ELIO MOTORS, INC. ~ 1-A ~
Maslon LLP GWG HOLDINGS, INC. GWGH S-1 NASDAQ
Mayer Brown LLP ALLY AUTO ASSETS LLC ~ S-3 ~
Maynard, Cooper & Gale, P.C. NATIONAL COMMERCE CORP NCOM S-4 NASDAQ
Miller Nash Graham & Dunn LLP COASTAL FINANCIAL CORP ~ 1-A ~
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. IMMUNE PHARMACEUTICALS INC IMNP S-3 NASDAQ
Mitchell, Silberberg & Knupp LLP VBI VACCINES INC. VBIV S-3 NASDAQ
Morgan, Lewis & Bockius LLP GLOBAL CURRENCY GOLD TRUST ~ S-1 ~
Morrison & Foerster LLP WASHINGTON GAS LIGHT CO ~ S-3 ~
Pillsbury Winthrop Shaw Pittman LLP RENEWABLE ENERGY GROUP, INC. REGI S-3 NASDAQ
Pryor Cashman LLP MARINA BIOTECH, INC. MRNA S-1 OTC Markets
Reed Smith LLP CORTENDO AB ~ F-1 ~
Rhoads & Sinon LLP JUNIATA VALLEY FINANCIAL CORP JUVF S-4 OTC Markets
Richardson & Associates MED-X, INC. ~ 1-A ~
Ropes & Gray LLP MIRNA THERAPEUTICS, INC. ~ S-1 ~
Securities Compliance Group, Ltd. BEBUZEE LTD. ~ F-1 ~
Sheppard, Mullin, Richter & Hampton LLP HEARTLAND FINANCIAL USA INC HTLF S-4 NASDAQ
Sidley Austin LLP CYTOMX THERAPEUTICS, INC. ~ S-1 ~
Simpson Thacher & Bartlett LLP ACELITY HOLDINGS, INC. ~ S-1 ~
Simpson Thacher & Bartlett LLP OAKTREE CAPITAL GROUP, LLC OAK S-3 NYSE
Skadden, Arps, Slate, Meagher & Flom LLP GAMING & LEISURE PROPERTIES, INC. GLPI S-4 NASDAQ
Smith Mackinnon, PA NATIONAL COMMERCE CORP NCOM S-4 NASDAQ
Towers Watson & Co. WILLIS GROUP HOLDINGS PLC WSH S-4 NYSE
Wachtell, Lipton, Rosen & Katz GAMING & LEISURE PROPERTIES, INC. GLPI S-4 NASDAQ
Weil, Gotshal & Manges LLP WILLIS GROUP HOLDINGS PLC WSH S-4 NYSE
Wilson Sonsini Goodrich & Rosati, PC PFENEX INC. PFNX S-3 NYSE
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP ADVANCED INHALATION THERAPIES (AIT) LTD. ~ F-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.

Have a great week.

IPO Underwriters of the Week: August 24 – 28

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+
ADVANCED INHALATION THERAPIES (AIT) LTD. F-1 Aegis Capital Corp. ~ ~
MIRNA THERAPEUTICS, INC. S-1 Citigroup Global Markets Inc. Leerink Partners LLC Oppenheimer & Co. Inc. / Cantor Fitzgerald & Co.
GWG HOLDINGS, INC. S-1 Emerson Equity LLC ~ ~
ACELITY HOLDINGS, INC. S-1 J.P. Morgan Securities LLC Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. / Morgan Stanley & Co. LLC / Barclays Capital Inc. / Credit Suisse Securities (USA) LLC / RBC Capital Markets, LLC / UBS Securities LLC
SBT BANCORP, INC. S-1 Keefe, Bruyette & Woods, Inc. ~ ~
CORTENDO AB F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Stifel, Nicolaus & Company, Inc. JMP Securities LLC / Roth Capital Partners, LLC / Arctic Securities AS
CYTOMX THERAPEUTICS, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Jefferies LLC Cowen and Company, LLC / Oppenheimer & Co. Inc.
ANADIGICS INC S-3 MLV & Co. LLC ~ ~
GERON CORP S-3 MLV & Co., LLC ~ ~
ALLEGIANCE BANCSHARES, INC. S-1 Robert W. Baird & Co. Inc. Stephens Inc. Keefe, Bruyette & Woods, Inc. / Sandler O’Neill & Partners, L.P.

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

Have a great week.

The SEC is closed for Labor Day: Monday, September 7

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In honor of Labor Day, the SEC is closed on Monday, September 7, 2015. No files can be received.

Files submitted after 5:30 pm ET, Friday, September 4, 2015 will receive a filing date of Tuesday, September 8, 2015 and will be posted to the public on September 8, 2015 at 6:00 am ET.

As with other holiday closings, the following file types will receive a Friday, September 4, 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, September 7, 2015, the SEC will move the due date to the next business day, Tuesday, September 8, 2015.

Have a great long weekend.

…Tuesday, Wednesday, Kudosday…

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If you work in the corporate compliance and securities law niche, you know clients are very close-to-the-vest in regard to “testimonials.” That said, our staff gets a lot of praise daily – and we can’t not share the good news (anonymized for privacy). Sales can offer you full named references.

Here are this week’s: 

 

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Kudos to our Transactions team

It was a stressful day today going right down to the wire but I really appreciate that you all kept your cool.  We got it sorted out and that the filing did indeed occur on time.  Many thanks.

 

 

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.Kudos to our EDGAR team

We wanted to let you know that we thought your team did an excellent job today with the short notice.  Thanks again for all of your help.  Both filings made it in before 5:30pm, which is much appreciated.

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.Kudos to the Entire team

Awesome job team!!  This is why I never call back any of those other reporting agencies trying to get my business!!  Thanks so much!  Hopefully the remaining of your filing month will not be too bad.  Chat with you again in [ NEXT MONTH ]!

 

 

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.Kudos to our EDGAR team

I hope each of you are well. It was a pleasure working with you and your team [ THIS QUARTER ].

That was the first time we had gone through the entire process of preparing and filing a 10-K, and we honestly couldn’t have done it if we didn’t have such a great team at Vintage. Thank you very much.

 

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.Kudos to our Transactions team

Thank you very much for all your help during this filing process which was more difficult than usual due to our own extraneous circumstances.

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Thanks to our experts for delivering intelligent value!

XBRL: creating a culture of quality – free webinar, September 3

SEC-logocheckVintage is pleased to be a founder of the XBRL US Center for Data Quality with the steadfast goal of improving the utility of XBRL financial data filed with the SEC. There is no avoiding the discussion that XBRL has lacked “enthusiasm” from the capital markets – without regulatory repercussions. SEC Chairman White has stated that is changing.

Please join the XBRL US Center for Data Quality members for a free webinar featuring representatives from data providers Bloomberg and Calcbench on problems they deal with in XBRL filings, on how they are using XBRL data in their business and why they decided to join an initiative to improve the quality of XBRL filings.

Pre-registration is suggested – you’ll be sent calendar alerts and reminders.

DATE: September 3, 2015email_button

TIME: 3:00 PM ET

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This webinar will cover:

  • The XBRL US Center for Data Quality – an initiative to provide open, freely available rules and guidance that public companies and their service providers can use to create better quality XBRL data
  • Errors in XBRL Financials – Bloomberg and Calcbench on the kinds of errors identified, importance of data quality and how they’re using XBRL data
  • Review of Draft Rules – learn about the rules that have been developed and how you can comment on the rules during the Public Review period

You’ll also learn about a Public Review now underway as part of this data quality program to create rules that can be used by preparers to improve their XBRL-formatted financials.

74% of Buy-side analysts access news releases on their street portal

At the highest level, investor relations is not about disseminating news but more accurately delivering news to a defined – and contractually obligated – set of “customers.” These customers are, of course, investors and the contract is clearly the holding of issuer shares.

When this vocabulary of customers and contracts is used, it is fairly easy to see why the once greatly trumpeted “web disclosure for investor relations” fizzed out. In fact, it was not a topic at the NIRI annual conference this year.

Briefly, web disclosure is the SEC’s 2008 and 2012 guidance that allows issuers to use their corporate websites and/or social media as a Reg FD media. Sounds logical… especially if you are a communications pundit… however, it can be terrible customer service. Rather than placing material news releases within their Street Portal (Bloomberg, FactSet, etc.), web disclosure disrupts this professional workflow – forcing institutional investors and analysts to interact with issuer news ad hoc. That is the exact opposite of what these customers want.

What, me biased? Of course I want you to use a wire service. Preferably ours. To counter this slightly predisposed view, we commissioned a study from industry stalwart Rivel Research. Rivel surveyed 291 Buy-side analysts, worldwide.

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74% reported they read / access issuer disseminated news releases within their capital markets Wall Street intelligence portals like Bloomberg, FactSet and Thomson. Place your news where the customer wants it. 

It is important to understand that analyst research is a mosaic and the surveyed North American analysts cited more than a single news source: directly from an issuer (39%) and general Yahoo!-ish news portals (14%) – totaling over 100%.

The take-away from this? If the attraction of web disclosure was the need to contain costs, I suggest you merge the strategy of your news distinction in unison as the strategy of the individual news itself… and then speak with your newswire representative – ahem – preferably ours. We have several clients that range from micro to mega-cap, who sculpt an intelligent, targeted high efficacy plan for their shareholder communications – including utilizing web disclosure.

As discussed here, spend where it drives your business to excel.

Vintage Data Room Powered by EthosData Awarded Virtual Data Room Rising Star-U.S. from Acquisition International

Multi-award winning platform additionally recognized as Most User Friendly at annual M&A Awards

NEW YORK, August 25, 2015 / PR Newswire / — Vintage, the capital markets, corporate services and institutional & fund services division of PR Newswire, today released that Acquisition International, a global corporate finance publication, has announced that the company’s Virtual Data Room platform, offered in partnership with EthosData has been presented Virtual Data Room Rising Star – U.S. at the 2015 M&A Awards.

Virtual Data Room Rising Star - US

In addition to Virtual Data Room Rising Star – U.S., the platform also won:

  • Most User Friendly Dataroom
  • Virtual Data Room Provider of the Year – China
  • Virtual Data Room Provider of the Year – India
  • Virtual Data Room Provider of the Year – Spain

“Vintage’s partnership with EthosData has become an important link in our intelligent value chain,” said Liam Power, president of Vintage. “Having our collaboration recognized with such an important award validates the teamwork our joint efforts bring to our clients.”

The prestigious Acquisition International M&A Awards celebrate the outstanding efforts and achievements of organizations involved in identifying, coordinating and seeing through to completion those important deals that could make a huge difference to a business, a local economy or even an entire country. These awards recognize the dedicated and experienced investors, advisers, financiers and service providers who have been selected for their expertise in their specialized field and, most crucially, nominated by their clients and peers.

V-5stagesM&A

To help guide companies through their first M&A experience, Vintage recently published the “The Five Stages of M&A” one-sheet guide which illustrates a high-level overview of the M&A process. Download it here. 

All of the awards are handed out solely on merit and are given to commend those most deserving for exceptional service over the last 12 months. Now in their fourth year and distributed and promoted across thier established media outlets and platforms, Acquisition International’s M&A Awards have rapidly become one of the most important and highly respected programs of the year.

“This is the third year in a row that the readers of Acquisition International award our data room service this distinction. We are very proud of this and will keep working hard to provide the best service and the most secure, easiest to use dataroom” says Francisco Lorca, Founder and CEO, EthosData.

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 EthosData

EthosData is a leading global provider of Virtual Data Rooms managed and owned by M&A and corporate experts with executive experience at McKinsey & Co., GE Capital, Credit Suisse and First Data. EthosData is partly owned Moody’s Analytics. With offices in the main financial hubs in Asia, Europe and the Americas, EthosData is uniquely positioned to serve their clients globally.

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

bradley.smith@prnewswire.com