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.

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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

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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

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.

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 the Independence Day Holiday: Friday, July 3

In honor of Independence Day (July 4, 2015), the SEC is closed on Friday, July 3, 2015. No files can be received. Plan accordingly with your Vintage Account Team.

jul4th

 

Files submitted after 5:30 pm ET, Thursday, July 2, 2015 will receive a filing date of Monday, July 6, 2015 and will be posted to the public on Monday, July 6, 2015 at 6:00 AM ET.

As with other holiday closings, the following file types will receive a Thursday, July 2, 2015 filing date if filed by 10:00 pm ET on Thursday:

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

For any filing with a due date of Friday, July 3, 2015, the SEC will move the due date to the next business day, Monday, July 6, 2015.

Have a great holiday.

2015 NIRI Annual Conference: “I [heart] IR” hoodie winner photos #2

The National Investor Relations Institute held its 2015 (NIRI) Annual Conference this June 14 – 17 in Chicago. Our account experts are now having follow-up conversations with the attendees, whom are very complimentary to our three Ps of the NIRI conference: participation, products and presence. Yes, even towards the neon yellow booth uniforms we wore: “we sure couldn’t miss seeing you.”

Ta-da.

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

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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More photos to come!

ieCrowd invites individual investors to participate in their NASDAQ-listed IPO with BANQ and VirtualInvestorConferences.com

IPOs are generally unavailable to retail investors, especially NYSE and NASDAQ-listed IPOs… as the investment banks scoop up all the shares and opportunities. That changes this Friday with the first VirtualInvestorConferences.com IPO roadshow.

Innovation Economy Corporation, known as “ieCrowdTM“, a life and health innovations commercialization company, and TriPoint Global Equities, LLC (“TriPoint”), a FINRA member and leading boutique full service investment bank, announced that ieCrowd is opening up its IPO to retail investors nationwide using TriPoint’s online investment platform, BANQ® (www.banq.co) and openly presenting to ALL investors at VirtualInvestorConferences.com.

ENGAGE_LobbyWithoutSignage

ieCrowd plans to list on NASDAQ under the ticker symbol MYIE upon successful completion of its IPO.

“This is a historic day for retail investors, as ieCrowd becomes the first company to use BANQ®, our new and innovative online investment banking platform, to fund its initial public offering,” said Mark Elenowitz, CEO of TriPoint. “We created this unique platform in response to a variety of factors including the evolution of modern investors, who now use the digital and online world to research investment opportunities, and the potential for crowd funded public offerings. BANQ® opens investment opportunities to a wider range of investors who now have access to offerings that were previously limited to a select number of investors.”

banqBANQ®, a division of TriPoint, is the first fully digital online investment banking platform to feature small cap IPOs and is now actively enrolling new accounts, and accepting ieCrowd IPO indications, on a nationwide basis. BANQ®‘s platform provides secure, seamless and compliant introductions of investors to growth companies and investment opportunities.

“VirtualInvesorConferences is proud to be the destination of choice for such an important undertaking,” said John Viglotti, VP, Investor Relations Products and Services. “Since 2010, both Main Street and Wall Street have come to our live investor conferences at par with one another – having 100% equal access to our presenting CEOs. It’s rewarding that VirtualInvesorConferences is helping ieCrowd and BANQ® make IPO investing accessible to retail investors.”

JOIN THE EVENT

DATE: Friday, June 26, 2015
TIME:   12:00 PM EDT
REGISTER NOW: http://tinyurl.com/ieCrowd

This will be a live, interactive online event where investors are invited to ask the company questions in real-time. If attendees are not able to join the event live on the day of the conference, an on-demand archive will be available for 90 days.

It is recommended that investors pre-register to save time and receive event updates.

Learn more about the event: http://VirtualInvestorConferences.com