IPOs and Transactions: June 29 – July 3 (SEC holiday week)

There were 64 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including RMR Industrials Inc. and World Moto Inc. w/ Greenberg Traurig, LLP and Howard Bancorp Inc. w/ Ober, Kaler, Grimes & Shriver PC.

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


Confidential and uncomplicated for M&A. Click here.

Law firm / advisor Registrant Symbol Form Exchange
Akin Gump Strauss Hauer & Feld LLP VIPER ENERGY PARTNERS LP VNOM S-3 NASDAQ
Akin Gump Strauss Hauer & Feld LLP WMIH CORP. WMIH S-3 OTC Markets
Andrews Kurth LLP ENTERPRISE PRODUCTS PARTNERS L P EPD S-3 NYSE
Arnold & Porter LLP AMERICAN CAPITAL SENIOR FLOATING, LTD. ACSF N-2 NASDAQ
Baker Botts L.L.P. CENTERPOINT ENERGY RESOURCES CORP ~ S-4 ~
Baker Botts L.L.P. LGI HOMES, INC. LGIH S-3 NASDAQ
Barnes & Thornburg LLP HORIZON BANCORP /IN/ HBNC S-3 NASDAQ
Befumo & Schaeffer, PLLC SHARING SERVICES, INC. ~ S-1 ~
Bryan Cave LLP HOME BANCSHARES INC HOMB S-4 NASDAQ
Cahill Gordon & Reindel LLP FORESIGHT ENERGY LP FELP S-3 NYSE
Cahill Gordon & Reindel LLP UNIVISION HOLDINGS, INC. ~ S-1 ~
Clark Wilson LLP LIBERTY STAR URANIUM & METALS CORP. LBSR S-1 OTC Markets
Cooley LLP ATARA BIOTHERAPEUTICS, INC. ATRA S-1 NASDAQ
Cooley LLP DBV TECHNOLOGIES S.A. DBVT F-1 NASDAQ
Covington & Burling LLP NEURODERM LTD. NDRM F-1 NASDAQ
Davis Polk & Wardwell LLP ATARA BIOTHERAPEUTICS, INC. ATRA S-1 NASDAQ
Davis Polk & Wardwell LLP IHS INC. IHS S-4 NYSE
Davis Polk & Wardwell LLP NEP GROUP, INC. ~ S-1 ~
Davis Polk & Wardwell LLP OPKO HEALTH, INC. OPK S-4 NYSE
Ellenoff Grossman & Schole LLP BIODELIVERY SCIENCES INTERNATIONAL INC BDSI S-3 NASDAQ
Gibson, Dunn & Crutcher LLP STANDARD PACIFIC CORP /DE/ SPF S-4 NYSE
Gide Loyrette Nouel A.A.R.P.I. DBV TECHNOLOGIES S.A. DBVT F-1 NASDAQ
Goodwin Procter LLP DBV TECHNOLOGIES S.A. DBVT F-1 NASDAQ
Goodwin Procter LLP IMPRIVATA INC IMPR S-3 NYSE
Goodwin Procter LLP VERICEL CORP VCEL S-3 NASDAQ
Goodwin Procter LLP VERICEL CORP VCEL S-3 NASDAQ
Gornitzky & Co. NEURODERM LTD. NDRM F-1 NASDAQ
Gracin & Marlow, LLP ANDALAY SOLAR, INC. WEST S-1 OTC Markets
Greenberg Traurig, LLP CENTURY COMMUNITIES, INC. CCS S-3 NYSE
Greenberg Traurig, LLP RMR INDUSTRIALS, INC. RMRI S-1 OTC Markets
Greenberg Traurig, LLP WORLD MOTO, INC. FARE S-1 OTC Markets
Greenberg Traurig, P.A. OPKO HEALTH, INC. OPK S-4 NYSE
Hamilton & Associates Law Group, P.A. VODKA BRANDS CORP ~ S-1 ~
Hogan Lovells US LLP NEXTERA ENERGY PARTNERS, LP NEP S-3 NYSE
Honigman Miller Schwartz and Cohn LLP CONIFER HOLDINGS, INC. ~ S-1 ~
Jones & Keller, P.C. EARTHSTONE ENERGY INC ESTE S-3 NYSE
Kutak Rock LLP COMMUNICATIONS SALES & LEASING, INC. CSAL S-4 NASDAQ
Latham & Watkins LLP SAN DIEGO GAS & ELECTRIC CO ~ S-3 ~
Leonard E. Neilson, Attorney at Law P.C. WESTGATE ACQUISITIONS CORP ~ S-1 ~
Loeb & Loeb LLP CHINA GREENSTAR CORPORATION. FAFA S-1 OTC Markets
McDermott Will & Emery AARPI DBV TECHNOLOGIES S.A. DBVT F-1 NASDAQ
McDermott Will & Emery LLP DEL TACO RESTAURANTS, INC. TACOU S-3 NASDAQ
Meitar Liquornik Geva Leshem Tal NEURODERM LTD. NDRM F-1 NASDAQ
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. EPIRUS BIO-
PHARMACEUTICALS, INC.
EPRS S-3 NASDAQ
Mitchell, Williams, Selig, Gates & Woodyard, P.L.L.C. HOME BANCSHARES INC HOMB S-4 NASDAQ
Morse, Zelnick, Rose & Lander, LLP METHES ENERGIES INTERNATIONAL LTD MEIL S-3 NASDAQ
Ober, Kaler, Grimes & Shriver, PC HOWARD BANCORP INC HBMD S-3 NASDAQ
Orrick, Herrington & Sutcliffe LLP SILVER BAY REALTY TRUST CORP. SBY S-3 NYSE
Paul, Weiss, Rifkind, Wharton & Garrison LLP NEXTIER SOLUTIONS CORP ~ S-4 ~
Pepper Hamilton LLP ZYNERBA PHARMECEUTICALS, INC. ~ S-1 ~
Polsinelli PC FELCOR LODGING TRUST INC FCH S-4 NYSE
Rogers & Hardin LLP ADCARE HEALTH SYSTEMS, INC ADK S-3 NYSE
Ropes & Gray LLP STANDARD PACIFIC CORP /DE/ SPF S-4 NYSE
Securities Compliance Group, Ltd. CAPITAL HOLDINGS CORP. ~ S-1 ~
Self Storage Group, Inc. SELF STORAGE GROUP, INC. SELF 10-12B OTC Markets
Seward & Kissel LLP EUROSEAS LTD. ESEA F-1 NASDAQ
Sichenzia Ross Friedman Ference LLP SYNERGY PHARMACEUTICALS, INC. SGYP S-3 NASDAQ
Sichenzia Ross Friedman Ference, LLP HELPFUL ALLIANCE CO ~ S-1 ~
Sidley Austin LLP NOBLE ENERGY INC NBL S-4 NYSE
Skadden, Arps, Slate, Meagher & Flom LLP CUSHING MLP INFRASTRUCTURE MASTER FUND ~ N-2 ~
Skadden, Arps, Slate, Meagher & Flom LLP GLOBAL INDEMNITY PLC GBLI S-3 NASDAQ
Skadden, Arps, Slate, Meagher & Flom LLP GUGGENHEIM GLOBAL EQUITY INCOME FUND ~ N-2 ~
Skadden, Arps, Slate, Meagher & Flom LLP NOBLE ENERGY INC NBL S-4 NYSE
Stradling Yocca Carlson & Rauth, P.C. FIRST FOUNDATION INC. FFWM S-3 NASDAQ
Sullivan & Cromwell LLP NORTHSTAR REALTY EUROPE CORP. ~ S-11 ~
Sutherland Asbill & Brennan LLP OXFORD LANE CAPITAL CORP. OXLCN N-2 NASDAQ
Troutman Sanders, LLP ARRIS INTERNATIONAL LTD ~ S-4 ~
Vinson & Elkins L.L.P. FORESIGHT ENERGY LP FELP S-3 NYSE
Vinson & Elkins L.L.P. NEP GROUP, INC. ~ S-1 ~
Wachtell, Lipton, Rosen & Katz J M SMUCKER CO SJM S-4 NYSE
Waller Lansden Dortch & Davis, LLP CAMP RECOVERY CENTERS, L.P. ~ S-4 ~
Weil, Gotshal & Manges LLP UNIVISION HOLDINGS, INC. ~ S-1 ~
Wells Fargo Bank, N.A. HEWLETT PACKARD ENTERPRISE CO ~ 10-12B ~
White & Case LLP NEURODERM LTD. NDRM F-1 NASDAQ
Willkie Farr & Gallagher LLP CONIFER HOLDINGS, INC. ~ S-1 ~
Willkie Farr & Gallagher LLP LEVEL 3 COMMUNICATIONS INC LVLT S-4 NYSE
Wilmer Cutler Pickering Hale and Dorr LLP CURIS INC CRIS S-3 NASDAQ
Wilmer Cutler Pickering Hale and Dorr LLP ZYNERBA PHARMECEUTICALS, INC. ~ S-1 ~
Wilson Sonsini Goodrich & Rosati, P.C. AMPHASTAR PHARMACEUTICALS, INC. AMPH S-3 NASDAQ
Wyrick Robbins Yates & Ponton LLP AYTU BIOSCIENCE, INC RSWND S-1 OTC Markets
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP EZTD INC EZTD 10-12G OTC Markets

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: June 29 – July 3 (SEC holiday week)

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.


Confidential and uncomplicated for M&A. Click here.

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
NEP GROUP, INC. S-1 Barclays Capital Inc. Morgan Stanley & Co. LLC Jefferies LLC / Macquarie Capital (USA) Inc. / RBC Capital Markets, LLC / Nomura Securities International, Inc. / Stifel, Nicolaus & Company, Inc.
CONIFER HOLDINGS, INC. S-1 BMO Capital Markets Corp. Raymond James & Associates, Inc. ~
BIODELIVERY SCIENCES INTERNATIONAL INC S-3 Cantor Fitzgerald & Co. ~ ~
DBV TECHNOLOGIES S.A. F-1 Citigroup Global Markets Inc. Morgan Stanley & Co. LLC Barclays Capital Inc. / Leerink Partners LLC / H.C. Wainwright & Co.
CURIS INC S-3 Cowen and Company, LLC ~ ~
ATARA BIOTHERAPEUTICS, INC. S-1 Goldman, Sachs & Co. Citigroup Global Markets Inc. Canaccord Genuity Inc. / JMP Securities LLC / SunTrust Robinson Humphrey, Inc.
ZYNERBA PHARMECEUTICALS, INC. S-1 Jefferies LLC Piper Jaffray & Co. Canaccord Genuity Inc. / Oppenheimer & Co. Inc.
NEURODERM LTD. F-1 Jefferies LLC Cowen and Company, LLC ~
UNIVISION HOLDINGS, INC. S-1 Morgan Stanley & Co. LLC Goldman, Sachs & Co. Deutsche Bank Securities Inc.
ANDALAY SOLAR, INC. S-1 Southridge Partners II LP ~ ~
LIBERTY STAR URANIUM & METALS CORP. S-1 Tangiers Investment Group, LLC ~ ~

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

Have a great week.

5 questions and 37 answers about SEC Reg A+

Each day, our Reg A+ team (READ HERE) is fielding more questions from clients, eager to learn about the impact the new Regulation A+ can have on their potential capital raise. Here is a quick to-date Q&A compilation. Spoiler: there is a lot of industry jargon below.

SEC_a+-five

___________________________________________________

Why a new Regulation A (+)?

  • Mandated by JOBS Act. Old Reg A was rarely used. Exemption only allowed $5 million capital raise. Reg D exemption much more widely used.
  • Blue sky (state) review was required
  • Updated Reg A (Reg A+) allows for capital raise up to $50 million, and Tier
  • Two raises not subject to Blue sky review
  • Reg A+ securities are not restricted (advantage over Reg D)
  • Potential liquidity advantage: exit strategy for VC

Who can use Reg A+?

  • Must be U.S. or Canadian company
  • Must NOT be already subject to Exchange Act reporting
  • Canadian companies can be listed in Canada
  • REITs allowed; BDCs NOT allowed (yet)
  • 40 Act companies, shell companies NOT allowed
  • Securities offered must be equity, debt, or convertible to equity
  • ABS NOT allowed

What are the requirements? 

Tier 1 (up to $20 million)

  • File an Offering Circular on Form 1-A. Some exhibits required
  • File an Exit Report on Form 1-Z
  • Tier 1 still subject to Blue Sky review
  • Intended for smaller, regional offerings
  • Not expected to be a large portion of the filings
  • NO XBRL

Tier 2 (up to $50 million) 

  • File an Offering Circular on Form 1-A. Some exhibits required
  • Prelim/Final Offering Circulars under Form Type 253(G1-4) [similar to 424 filing on Registered side]
  • Ongoing periodic reporting (current, semiannual, annual)
  • Audited Financials
  • May see voluntary Quarterly Financial filings to allow 144A sales
  • Exit report required on 1-Z
  • Transfer Agent services likely necessary
  • Monitor number of shareholders
  • Limited exemption from Exchange Act filing, but even if over limit, 2 year transition to Exchange Act reporting
  • NO XBRL

Are Confidential Draft filings allowed?

  • Similar to Emerging Growth Companies, who can file DRS
  • Reg A+ confidential filings file under DOS
  • DOS filings (and amendments) must be made public at time of 1-A filing— eliminates need to refile confidential filings as exhibits; starts 21-day clock towards qualification
  • There is no “Effectiveness” since there is no “Registration”; instead there is “Qualification”

Is Reg A+ a stepping stone to a exchange listing?

  • OTC changing its rules to allow Tier 2 Reg A+ disclosure to fully meet OTC disclosure requirements for the OTCQB Venture.
  • Partially meets OTCQX requirements (must also make quarterly financial reports, timely disclosure of material news events and have PCAOB audit standards)
  • Canadian companies must be listed on a qualified foreign exchange (e.g.TSXV)
  • Form 8-A eligible (no need for longer Form 10)

2015 NIRI Annual Conference: “I [heart] IR” hoodie winner photos #3

We bid (visually) The National Investor Relations Institute 2015 (NIRI) Annual Conference (June 14 – 17, Chicago) farewell with our kindest thanks to the NIRI staff for creating another excellent event. The next “can’t miss” IR event will be the NIRI Fundamentals class this September in Boston.

Scroll for photos #3.  Click here to view photos #1 and here for #2.

PRN_VINTAGE_PRODUCT_FLOW

 

We also had a GREAT time giving out our I [HEART] IR hoodies and mugs! Below are some of the winners. We should have brought more! 

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Expert Team Guides Clients Through Very First SEC Regulation A+ Filings

Vintage Capital Markets division well prepared to take growth stage companies through new regulatory process

NEW YORK, JUNE 29, 2015 / PR Newswire / — Vintage, the capital markets, corporate services and institutional & fund services division of PR Newswire, today announced that the company has successfully filed two of the first five draft EDGAR filings for clients under the Securities and Exchange Commission’s (SEC) new Regulation A+ ruling.

The new rule, which went in effect on June 19, 2015, revives the promise of The JOBS Act’s 2012 Regulation A by increasing the offering cap and streamlining the involvement of state securities regulators. Under “Reg A+” companies can now raise up to $50 million per year from investors, either individual or institutional.

VINTAGE_REGA_2

 

There are two tiers to the new SEC regulation: 

  • Tier 1 for offerings of securities of up to $20 million in a 12-month period, with not more than $6 million in offers by selling security-holders that are affiliates of the issuer;
  • Tier 2 for offerings of securities of up to $50 million in a 12-month period, with not more than $15 million in offers by selling security-holders that are affiliates of the issuer.

“The Tier 2 Regulation A+ offering can be considered a ‘mini-IPO’ because it allows emerging growth companies to raise capital with less costly financial and time-consuming requirements than a traditional S-1 registration commonly filed for an IPO,” said Gordon Ruckdeschel, Vice President of Operations at Vintage.

“This will be a less burdensome workflow for small and micro-cap companies to go public. However, like any IPO, it needs legal and regulatory expertise. Although it is a streamlined process compared to a traditional S-1 registration, the SEC published 453 pages of Regulation A+ rules… so it is ‘at par’ with the seriousness of an S-1 registration,” Ruckdeschel stated. Regulation A+ is still the sale of securities in your company and as such, we trained and created an internal team to work the intricacies of these unique filings.”

The table below compares a company offering under new Regulation A+ with a company registration on Form S-1.

Description Form Type for
Reg A+ Offering
Form Type for “Traditional”
Registration
Non-public Draft Offering/Registration Statement DOS DRS
Amendment to Draft Offering/Registration Statement DOS/A DRS/A
Correspondence for Draft offering/Registration Statement DOSLTR DRSLTR
Public Offering/Registration Statement 1-A S-1
Pre-effective amendment to Public Offering/Registration Statement 1-A/A S-1/A
Post-effective amendment 1-A POS POS AM
Offering/Registration Withdrawal 1-A-W RW
Offering/Registration Withdrawal – amendment 1-A-W/A [not applicable]
Preliminary or Final Offering Statement/Prospectus 253G1, 253G2, 253G3, 253G4 424B1, 424B2, 424B3, 424B4, 424B5, 424B7, 424B8
Current report 1-U 8-K
Current report amendment 1-U/A 8-K/A
Quarterly report (for registered companies) / Semiannual (for Reg A+ companies) 1-SA 10-Q
Quarterly report (for registered companies) / Semiannual (for Reg A+ companies) amendment 1-SA/A 10-Q/A
Annual report 1-K 10-K
Annual report amendment 1-K/A 10-K/A
Exit Report (for Reg A+) / Deregistration (for registered companies) 1-Z 15-12B/15-12G/15-15D
Exit Report (for Reg A+) / Deregistration (for registered companies) – amendment 1-Z/A 15-12B/A/15-12G/A/15-15D/A
Withdrawal of Exit Report (for Reg A+ only) 1-Z-W [not applicable]
Withdrawal of Exit Report (for Reg A+ only) – amendment 1-Z-W/A [not applicable]

Note that this chart is a very simplified example as Reg A+ can be complex. For example, REITs and Canadian companies may offer securities under the new Reg A+ as well.

To help smaller companies understand the regulation, the SEC offers  “Amendments to Regulation A: a Small Entity Compliance Guide:” https://www.sec.gov/info/smallbus/secg/regulation-a-amendments-secg.shtml

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

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

### 

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

IPOs and Transactions: June 22 – 26

There were 59 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Ambicom Holdings Inc. w/ Kane Kessler PC, Atossa Genetics Inc. w/ Gibson, Dunn & Crutcher, LLP and Community Shores Bank Corp. w/ Dickinson Wright PLLC.

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


Confidential and uncomplicated for M&A. Click here.

Law firm / advisor Registrant Symbol Form Exchange
Akin Gump Strauss Hauer & Feld, LLP BILL BARRETT CORP BBG S-3 NYSE
Andrews Kurth LLP FREEPORT-MCMORAN OIL & GAS INC. ~ S-1 ~
Appalachian Mountain Brewery, Inc. APPALACHIAN MOUNTAIN BREWERY, INC. ~ 10-12G ~
Applied Minerals, Inc. APPLIED MINERALS, INC. AMNL S-1 OTC Markets
Baker & McKenzie LLP BENITEC BIOPHARMA LTD/ADR BNIKF F-1 OTC Markets
Bass, Berry & Sims PLC J. ALEXANDER’S HOLDINGS, INC. ~ 10-12B ~
Baxalta Incorporated BAXALTA INC BXLTW S-1 NYSE
BIM Homes, Inc. BIM HOMES, INC. ~ 10-12B ~
Boardman & Clark, LLP BAYLAKE CORP BYLK S-4 NASDAQ
Brewer & Pritchard, P.C. VIRTUS OIL & GAS CORP. VOIL S-1 OTC Markets
Cahill Gordon & Reindel LLP ORESSA LTD ~ F-1 ~
Chachas Law Group P.C. SANGUI BIOTECH INTERNATIONAL INC SGBI S-1 OTC Markets
Cooley LLP BENITEC BIOPHARMA LTD/ADR BNIKF F-1 OTC Markets
Cooley LLP NEWLINK GENETICS CORP NLNK S-3 NASDAQ
Cravath, Swaine & Moore LLP AMPLIFY SNACK BRANDS, INC ~ S-1 ~
Cravath, Swaine & Moore LLP COMMUNICATIONS SALES & LEASING, INC. CSAL S-11 NASDAQ
Davis Polk & Wardwell LLP COMMUNICATIONS SALES & LEASING, INC. CSAL S-11 NASDAQ
Davis Polk & Wardwell LLP DIGICEL GROUP LTD ~ F-1 ~
Davis Polk & Wardwell LLP SUNRUN INC. ~ S-1 ~
Davis Wright Tremaine LLP WILLAMETTE VALLEY VINEYARDS INC WVVI S-3 NASDAQ
Dechert LLP BIOTA PHARMACEUTICALS, INC. BOTA S-3 NASDAQ
Dechert LLP FS INVESTMENT CORP FSIC N-2 NYSE
Dickinson Wright PLLC COMMUNITY SHORES BANK CORP CSHB S-1 OTC Markets
DLA Piper LLP GLOBANT S.A. GLOB F-1 NYSE
DLA Piper LLP INTERNATIONAL STEM CELL CORP ISCO S-1 OTC Markets
Eilers Law Group, P.A. ZEV VENTURES INC. ~ S-1 ~
Ellenoff Grossman & Schole LLP HENNESSY CAPITAL ACQUISITION CORP II ~ S-1 ~
Foley & Lardner LLP LM FUNDING AMERICA, INC. ~ S-1 ~
Fredrikson & Byron P.A. NEPHROS INC NEPH S-1 OTC Markets
Freshfields Bruckhaus Deringer US LLP AMERICAN FARMLAND CO ~ S-11 ~
Gibson, Dunn & Crutcher, LLP ATOSSA GENETICS INC ATOS S-1 NASDAQ
Godfrey & Kahn, S.C. BAYLAKE CORP BYLK S-4 NASDAQ
Goodwin Procter LLP AMERICAN FARMLAND CO ~ S-11 ~
Goodwin Procter LLP AMPLIFY SNACK BRANDS, INC ~ S-1 ~
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP THERAVANCE BIOPHARMA, INC. TBPH S-3 NASDAQ
Johnson Pope Bokor Ruppel & Burns, LLP LM FUNDING AMERICA, INC. ~ S-1 ~
Kane Kessler, P.C. AMBICOM HOLDINGS, INC ABHI S-1 OTC Markets
Latham & Watkins LLP DIGICEL GROUP LTD ~ F-1 ~
Latham & Watkins LLP FREEPORT-MCMORAN OIL & GAS INC. ~ S-1 ~
Latham & Watkins LLP MULTI PACKAGING SOLUTIONS INTERNATIONAL LTD ~ S-1 ~
Locke Lord LLP NEWSTAR FINANCIAL, INC. NEWS S-3 NASDAQ
Matheau J. W. Stout, Esq. L&S LIGHT & STRONG LTD. ~ F-1 ~
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. VRINGO INC VRNG S-3 NASDAQ
Morgan, Lewis & Bockius LLP ABEONA THERAPEUTICS INC. ABEO S-3 NASDAQ
Morris, Manning & Martin, LLP PARKVIEW CAPITAL CREDIT, INC. ~ 10-12G ~
Morrison & Foerster LLP CHEROKEE INC CHKE S-3 NASDAQ
Morrison & Foerster LLP INCAPITAL TRUST PRODUCTS II LLC ~ S-3 ~
Morrison & Foerster LLP STEVIA FIRST CORP. STVF S-1 OTC Markets
Nutter, McClennen & Fish, LLP EKSO BIONICS HOLDINGS, INC. EKSO S-3 OTC Markets
Olshan Frome Wolosky LLP ATRM HOLDINGS, INC. ATRM S-1 NASDAQ
Paul, Weiss, Rifkind, Wharton & Garrison LLP CCH I, LLC ~ S-4 ~
Paul, Weiss, Rifkind, Wharton & Garrison LLP EP ENERGY LLC ~ S-4 ~
Petroleum Analytics International, Inc. PETROLEUM ANALYTICS INTERNATIONAL, INC. ~ 10-12G ~
Pillsbury Winthrop Shaw Pittman LLP VERACYTE, INC. VCYT S-3 NASDAQ
Pzena Investment Management, Inc. PZENA INVESTMENT MANAGEMENT, INC. PZN S-3 NYSE
Quarles & Brady LLP CAPSTONE THERAPEUTICS CORP. CAPS S-1 OTC Markets
Robert Brantl, Esq. AOXING PHARMACEUTICAL COMPANY, INC. AXN S-3 NYSE
Ropes & Gray LLP GC AESTHETICS PLC ~ F-1 ~
Ropes & Gray LLP MULTI PACKAGING SOLUTIONS INTERNATIONAL LTD ~ S-1 ~
Ropes & Gray LLP PLANET FITNESS, INC. ~ S-1 ~
Shearman & Sterling LLP CVS HEALTH CORP CVS S-3 NYSE
Shearman & Sterling LLP GC AESTHETICS PLC ~ F-1 ~
Shearman & Sterling LLP ORESSA LTD ~ F-1 ~
Shearman & Sterling LLP THERAVANCE BIOPHARMA, INC. TBPH S-3 NASDAQ
Sichenzia Ross Friedman Ference LLP BITCOIN SHOP, INC. BTCS S-1 OTC Markets
Silverman Shin Byrne & Gilchrest PLLC HEMISPHERX BIOPHARMA INC HEB S-3 NYSE
Simpson Thacher & Bartlett LLP GLOBANT S.A. GLOB F-1 NYSE
Simpson Thacher & Bartlett LLP PLANET FITNESS, INC. ~ S-1 ~
Skadden, Arps, Slate, Meagher & Flom LLP HELMERICH & PAYNE INC HP S-4 NYSE
Skadden, Arps, Slate, Meagher & Flom LLP HENNESSY CAPITAL ACQUISITION CORP II ~ S-1 ~
Snell & Wilmer L.L.P. MERITAGE HOMES CORP MTH S-4 NYSE
Sullivan & Worcester LLP TECOGEN INC. TGEN S-3 NASDAQ
Sutherland Asbill & Brennan LLP ALCENTRA CAPITAL CORP ABDC N-2 NASDAQ
Szaferman, Lakind, Blumstein & Blader, PC COATES INTERNATIONAL LTD \DE\ COTE S-1 OTC Markets
Victor Tshuva & Co. – Law Offices L&S LIGHT & STRONG LTD. ~ F-1 ~
Wachtell, Lipton, Rosen & Katz CCH I, LLC ~ S-4 ~
Wilson Sonsini Goodrich & Rosati, P.C. SUNRUN INC. ~ 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.

Have a great week.

IPO Underwriters of the Week: June 22 – 26

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.


Confidential and uncomplicated for M&A. Click here.

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
ATOSSA GENETICS INC S-1 Aspire Capital Fund, LLC ~ ~
FREEPORT-MCMORAN OIL & GAS INC. S-1 Barclays Capital Inc. ~ ~
BENITEC BIOPHARMA LTD/ADR F-1 BMO Capital Markets Corp. Maxim Group LLC Roth Capital Partners, LLC
THERAVANCE BIOPHARMA, INC. S-3 Cantor Fitzgerald & Co. ~ ~
VERACYTE, INC. S-3 Cantor Fitzgerald & Co. ~ ~
ORESSA LTD F-1 Citigroup Global Markets Inc. ~ ~
COMMUNICATIONS SALES & LEASING, INC. S-11 Citigroup Global Markets Inc. ~ ~
SUNRUN INC. S-1 Credit Suisse Securities (USA) LLC Goldman, Sachs & Co. Morgan Stanley & Co. LLC / Merrill Lynch, Pierce, Fenner & Smith  Inc. / RBC Capital Markets, LLC / KeyBanc Capital Markets Inc. / SunTrust Robinson Humphrey, Inc.
AMERICAN FARMLAND CO S-11 Deutsche Bank Securities Inc. Raymond James & Associates, Inc. FBR Capital Markets & Co. / Janney Montgomery Scott LLC
AMPLIFY SNACK BRANDS, INC S-1 Goldman, Sachs & Co. Jefferies LLC Credit Suisse Securities (USA) LLC / SunTrust Robinson Humphrey, Inc. / William Blair & Company, L.L.C. / Piper Jaffray & Co.
INCAPITAL TRUST PRODUCTS II LLC S-3 Incapital LLC ~ ~
LM FUNDING AMERICA, INC. S-1 International Assets Advisory, LLC ~ ~
DIGICEL GROUP LTD F-1 J.P. Morgan Securities LLC UBS Securities LLC Citigroup Global Markets Inc. / Barclays Capital Inc. / Credit Suisse Securities (USA) LLC
PLANET FITNESS, INC. S-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Jefferies LLC / Credit Suisse Securities (USA) LLC / Guggenheim Securities, LLC / Robert W. Baird & Co. Inc. / William Blair & Company, L.L.C. / Piper Jaffray & Co. / Cowen and Company, LLC
GLOBANT S.A. F-1 J.P. Morgan Securities LLC Citigroup Global Markets Inc. Jefferies LLC / William Blair & Company, L.L.C. / Cowen and Company, LLC / LOYAL3 Securities, Inc.
GC AESTHETICS PLC F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc. Cowen and Company, LLC / William Blair & Company, L.L.C.
SANGUI BIOTECH INTERNATIONAL INC S-1 Tarpon Bay Partners, LLC ~ ~
HENNESSY CAPITAL ACQUISITION CORP II S-1 UBS Securities LLC Cantor Fitzgerald & Co. BMO Capital Markets Corp.

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