PRSA Webinar: The Content that Motivates Investors

The word “content” has become the driving force for corporate communications. But one group within the corporation has ALWAYS been 100% content driven – investor relations. But what exact content drives their audience’s personas… aka drives their investors? Join us to learn at this free, special webinar.

The Content that Motivates Investorsprsa

Examine how PR and IR can Leverage Investor Feedback to Deliver Purposeful Content 

November 19,  2014 ~ ~ 2:00 PM ET 

CLICK HERE to pre-register!  We will send you an email reminder.

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BLOG-IMAGEHost:

Kent Wissinger, Chair, PRSA Financial Communications Section

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Panelist Guests:

Jeffrey Goldberger, Managing Partner, KCSA

Alexander Laskin, Associate Professor and Director of Graduate Studies,  Ouinnipiac University, Hamden, CT

Brian Rivel, President, Rivel Research Group

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Moderator:

Bradley Smith, Director of Marketing, Investor Relations and Compliance Services, PR Newswire / Vintage

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.smith2DOWNLOAD THE REPORT BEFORE THE WEBINAR: 

Using this (click here) investor research report as a guidepost, our panel of industry experts will discuss actionable content that can take your conversations with investors to the next level.

THERE IS NO FEE TO ATTEND THIS WEBINAR and it is sponsored by PRSA’s Financial Communications Section. It is hosted by PR Newswire, CNW and Vintage.

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How Investors Consume Content Q#11: For the stocks that you CURRENTLY OWN, do you read their Annual Reports?

The annual report is a key publication, both as a historical document and as a “visual voice” for a company’s future. New research (below) shows that only 17% of your investors report they don’t read it.

With such a high percentage of people reading the annual report, a valuable discussion for companies to have is how to not waste the marketing opportunity the annual report – literally – delivers. In fact, our print processes improve each year to help issuers maintain the “glossy” part and not just wrap the financial SEC 10-K. Both parts tell a story.

One way to investigate your opportunity and budget (and creative design) is to audit your last year’s annual report. Simply upload your 2013 annual report PDF here.

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We print hundreds of annual reports. If you’d like to see samples, please contact us here.

Have a great day

IPOs and Transactions: October 20 – 24

There were 34 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Nephros Inc. w/ Day Pitney LLP and FreeSeas Inc. w/ Sichenzia Ross Friedman Ference LLP.

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

NYSE_BOD-BANNER

Registrant Symbol Form Type Exchange Law firm / advisor
PEAK RESORTS INC PEAK S-1 Andrews Kurth LLP
ROSE ROCK MIDSTREAM, L.P. RRMS S-3 NYSE Andrews Kurth LLP
PEAK RESORTS INC PEAK S-1 Armstrong Teasdale LLP
LIBERTY GLOBAL PLC LBTYA S-4 Nasdaq Baker Botts L.L.P.
AMBER GROUP INC S-1 Bauman & Associates Law Firm
SUMMIT FINANCIAL GROUP INC SMMF S-3 Nasdaq Bowles Rice LLP
CONNECTURE INC S-1 Connecture, Inc.
NEPHROS INC NEPH S-1 OTC Day Pitney LLP
FIRST GUARANTY BANCSHARES, INC. FGBI S-1 OTC Day Pitney LLP
FWF HOLDINGS INC. S-1 Diane D. Dalmy  Atty.
CONNECTURE INC S-1 DLA Piper LLP
FEG ABSOLUTE ACCESS TEI FUND LLC N-2 Drinker Biddle & Reath LLP
FCB FINANCIAL HOLDINGS, INC. FCB S-1 NYSE FCB Financial Holdings, Inc.
INNOVATIVE FOOD HOLDINGS INC IVFH S-3 OTC Feder Kaszovitz LLP
GENERAL FINANCE CORP GFNCP S-3 Nasdaq General Finance Corporation
COLLABRX, INC. CLRX S-1 Nasdaq Goodwin Procter LLP
AROWANA INC. S-1 Graubard Miller
CB PHARMA ACQUISITION CORP. S-1 Graubard Miller
TTM TECHNOLOGIES INC TTMI S-4 Nasdaq Greenberg Traurig, LLP
DNA TESTING CENTERS CORP S-1 Hamilton & Associates Law Group, P.A.
BRIDGEWATER PLATFORMS INC. S-1 Harold P. Gewerter, Esq, Ltd.
ULTRA PETROLEUM CORP UPL S-4 NYSE Haynes and Boone, LLP
IKANOS COMMUNICATIONS, INC. IKAN S-1 Nasdaq Ikanos Communications, Inc.
TTM TECHNOLOGIES INC TTMI S-4 Nasdaq Jones Day
YAPPN CORP. YPPN S-1 OTC Joseph I. Emas
FCB FINANCIAL HOLDINGS, INC. FCB S-1 NYSE Kramer Levin Naftalis & Frankel LLP
MIDCON MIDSTREAM, LP S-1 Latham & Watkins LLP
ENER-CORE INC. ENCRE S-1 OTC LKP Global Law, LLP
REVOLUTION LIGHTING TECHNOLOGIES, INC. RVLT S-3 Nasdaq Lowenstein Sandler LLP
FIRST GUARANTY BANCSHARES, INC. FGBI S-1 OTC Luse Gorman Pomerenk & Schick, P.C.
AROWANA INC. S-1 McDermott Will & Emery LLP
CB PHARMA ACQUISITION CORP. S-1 McDermott Will & Emery LLP
CORINDUS VASCULAR ROBOTICS, INC. YIDI S-1 OTC McDermott Will & Emery LLP
SIDOTI & COMPANY, INC. S-1 Morrison & Foerster LLP
MBLOOM BUSINESS DEVELOPMENT CO LLC N-2 Olshan Frome Wolosky LLP
IKANOS COMMUNICATIONS, INC. IKAN S-1 Nasdaq Pillsbury Winthrop Shaw Pittman LLP
SIDOTI & COMPANY, INC. S-1 Rimon Law Group, PC
CONNECTURE INC S-1 Ropes & Gray LLP
LIBERTY GLOBAL PLC LBTYA S-4 Nasdaq Shearman & Sterling LLP
FREESEAS INC. FREE F-1 Nasdaq Sichenzia Ross Friedman Ference LLP
CLUBCORP HOLDINGS, INC. MYCC S-3 NYSE Simpson Thacher & Bartlett LLP
LIBERTY TAX, INC. TAX S-3 Nasdaq Troutman Sanders LLP
GALENA BIOPHARMA, INC. GALE S-3 Nasdaq TroyGould PC
TTM TECHNOLOGIES INC TTMI S-4 Nasdaq Viasystems Group, Inc.
MIDCON MIDSTREAM, LP S-1 Vinson & Elkins L.L.P.
COMMUNICATIONS SALES & LEASING, INC. 10-12B Windstream Holdings, Inc.

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: October 20 – 24

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 +
COLLABRX, INC. S-1 Aegis Capital Corp. ~ ~
AROWANA INC. S-1 EarlyBirdCapital, Inc. ~ ~
CB PHARMA ACQUISITION CORP. S-1 EarlyBirdCapital, Inc. ~ ~
PEAK RESORTS INC S-1 FBR Capital Markets & Co. Stifel, Nicolaus & Company, Inc. Robert W. Baird & Co. Inc.
MIDCON MIDSTREAM, LP S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Barclays Capital Inc. ~
CONNECTURE INC S-1 Morgan Stanley & Co. LLC J. P. Morgan Securities LLC Wells Fargo Securities, LLC / Raymond James & Associates, Inc. / William Blair & Company LLC
FIRST GUARANTY BANCSHARES, INC. S-1 Raymond James & Associates, Inc. ~ ~
SIDOTI & COMPANY, INC. S-1 WR Hambrecht + Co, LLC Sidoti & Company, LLC ~

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

Have a great week.

Total IPO and SEC transactions: Q1 – Q3 2014

2014 is well-celebrated for the return of IPOs to the capital markets, with 207 IPOs counted by industry watchdog Renaissance Capital.

However, important as they are, IPOs are a small percentage of the year’s success. In fact, these 207 IPO S-1 filings are only NYSE and NASDAQ listed – and less than 27% of the total S-1 filings count of 790.

 

Remember, an S-1 is not just for an Initial Public Offering. Public companies submit a Secondary Offering S-1 (and sometimes S-3) file to the SEC anytime they issue new stock for public sale. Post IPO, this S-1 registration is typically to refinance or raise more capital for growth. Click here to download our S-1 workflow whitepaper. 

Total transactions for Q1 – Q3 2014 is 1,858. We carefully track all capital markets transactions as Vintage executes the end-to-end registrations tasks for issuers: typesetting to filings to hardcopy printing. You can see a drafting session in this video.

Transaction types:

  • 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)

A last point is to re-emphasize is that the media (i.e. Jim Cramer shouting and honking horns) tends to focus on the NYSE and NASDAQ IPOs. Hundreds of Emerging Growth Companies and large international companies IPO each year on the OTC Markets. Dig deeper to see growth.

Have a great day.

The most thoughtful discussion on social media risk assessment and management

If you want to read only one report on social media and risk, I recommend Accenture’s whitepaper Comprehensive Approach to Managing Social Media Risk Compliance. You can download it here directly from Accenture. You can also watch a few videos from their team discussing the insights.

Their discussion follows exactly the same conversation path at the NYSE boardroom Summit two weeks ago.

The Accenture conversation:

“At issue here is the fact that traditional risk management policies and procedures were not designed for, quite literally, minute-by-minute monitoring of social media chatter to identify brand, strategy, compliance, legal, and market risks.”

ACCENTURE

One key takeaway: neither the NYSE Boardroom Summit nor the Accenture report make any judgments about  “should I stay or should I go now” in regard to social media. Social media is a given now. The point is to have a senior level discussion about risks and policies.

Our recommendation for using social media without RegFD concerns can be found here.

Have a great day.

IPOs and Transactions: October 13 – 17

There were 52 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Eventure Interactive Inc. w/ Crone Kline Rinde LLP, Labstyle Innovations Corp. w/ Ellenoff Grossman & Schole LLP and Propell Technologies 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.

NYSE_BOD-BANNER

Registrant Symbol Form Type Exchange Law firm / Advisor
MEMORIAL PRODUCTION PARTNERS LP MEMP S-3 Nasdaq Akin Gump Strauss Hauer & Feld LLP
OPC RESIDENTIAL PROPERTIES TRUST, INC. 10-12G Alston & Bird, LLP
LIBERTY BROADBAND CORP S-1 Baker Botts L.L.P.
PROPHECY ALPHA FUND I N-2 Baker, Donelson, Bearman, Caldwell & Berkowitz, PC
FIRST BUSEY CORP /NV/ BUSE S-3 Nasdaq Barack Ferrazzano Kirschbaum & Nagelberg LLP
GNB FINANCIAL SERVICES INC GNBF S-4 Bybel Rutledge LLP
ALKALINE WATER CO INC WTER S-1 OTC Clark Wilson LLP
POLAR STAR REALTY TRUST INC. S-11 Clifford Chance US LLP
SELECT INCOME REIT SIR S-4 NYSE Cole Capital
AMERICAN NATIONAL BANKSHARES INC. AMNB S-4 Nasdaq CowanPerry, PC
EVENTURE INTERACTIVE, INC. EVTI S-1 OTC Crone Kline Rinde LLP
LPATH, INC LPTND S-3 Nasdaq DLA Piper LLP
NEOTHETICS, INC. S-1 DLA Piper LLP
WORKIVA LLC S-1 Drinker Biddle & Reath LLP
LABSTYLE INNOVATIONS CORP. DRIO S-1 OTC Ellenoff Grossman & Schole LLP
LPATH, INC LPTND S-3 Nasdaq Ellenoff Grossman & Schole LLP
MYOS CORP MYOS S-3 Nasdaq Ellenoff Grossman & Schole LLP
CME GROUP INC. CME S-4 Nasdaq GFI Group Inc.
HABIT RESTAURANTS, INC. S-1 Gibson, Dunn & Crutcher LLP
ADVANCED CELL TECHNOLOGY, INC. ACTC S-3 OTC Goodwin Procter LLP
PROPELL TECHNOLOGIES GROUP, INC. PROPD S-1 OTC Gracin & Marlow, LLP
GYROTRON TECHNOLOGY INC GYTI 10-12G OTC Gyrotron Technology, Inc.
CHINA CUSTOMER RELATIONS CENTERS, INC. S-1 Haneberg, PLC
DIVERSIFIED RESOURCES INC. DDRI S-1 OTC Hart & Hart, LLC
CITY OFFICE REIT, INC. CIO S-11 NYSE Hunton & Williams LLP
XUMANII INTERNATIONAL HOLDINGS CORP XUII S-1 OTC Imerjn
REYNOLDS AMERICAN INC RAI S-4 NYSE Jones Day
COMMUNITY FINANCIAL CORP /MD/ TCFC S-3 Nasdaq Kilpatrick Townsend & Stockton LLP
EVERYWARE GLOBAL, INC. EVRY S-1 Nasdaq Kirkland & Ellis LLP
INOGEN INC INGN S-1 Nasdaq Latham & Watkins LLP
NEOTHETICS, INC. S-1 Latham & Watkins LLP
POLAR STAR REALTY TRUST INC. S-11 Latham & Watkins LLP
OCEAN RIG PARTNERS LP F-1 Latham and Watkins LLP
NIMTECH CORP S-1 Law Offices of Scott D. Olson, PLLC
AMERICAN NATIONAL BANKSHARES INC. AMNB S-4 Nasdaq LeClairRyan, PC
NUVILEX, INC. NVLX S-3 OTC Loeb & Loeb LLP
REYNOLDS AMERICAN INC RAI S-4 NYSE Lorillard, Inc.
BCB BANCORP INC BCBP S-3 Nasdaq Luse Gorman Pomerenk & Schick, P.C.
WORKIVA LLC S-1 Mayer Brown LLP
RICH CIGARS INC S-1 Michael A. Littman, Attorney at Law
NEUROMETRIX, INC. NURO S-3 Nasdaq Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
OCEAN RIG PARTNERS LP F-1 Morgan, Lewis & Bockius LLP
SELECT INCOME REIT SIR S-4 NYSE Morris, Manning & Martin, LLP
NETLIST INC NLST S-3 Nasdaq Morrison & Foerster LLP
FIRST PRIORITY TAX SOLUTIONS INC. S-11 Olshan Frome Wolosky LLP
CAESARS ENTERTAINMENT RESORT PROPERTIES, LLC S-4 Paul, Weiss, Rifkind, Wharton & Garrison LLP
CEC ENTERTAINMENT INC CEC S-4 Paul, Weiss, Rifkind, Wharton & Garrison LLP
VERISILICON HOLDINGS CO LTD F-1 Pillsbury Winthrop Shaw Pittman LLP
GNB FINANCIAL SERVICES INC GNBF S-4 Rhoads & Sinon LLP
AMG PANTHEON PRIVATE EQUITY FUND, LLC N-2 Ropes & Gray LLP
HABIT RESTAURANTS, INC. S-1 Ropes & Gray LLP
CARBON CREDIT INTERNATIONAL, INC. S-1 Securities Compliance Group, Ltd.
OCEAN RIG PARTNERS LP F-1 Seward & Kissel LLP
CITY OFFICE REIT, INC. CIO S-11 NYSE Shearman & Sterling LLP
ENDURANCE EXPLORATION GROUP, INC. TTNCD 10-12G OTC Shumaker, Loop & Kendrick, LLP
NORTH BAY RESOURCES INC NBRI S-1 OTC Sichenzia Ross Friedman Ference LLP
OMAGINE, INC. OMAG S-1 OTC Sichenzia Ross Friedman Ference LLP
VERISILICON HOLDINGS CO LTD F-1 Sidley Austin LLP
SOUTHERN MISSOURI BANCORP INC SMBC S-3 Nasdaq Silver, Freedman, Taff & Tiernan LLP
REYNOLDS AMERICAN INC RAI S-4 NYSE Simpson Thacher & Bartlett LLP
WALTER INVESTMENT MANAGEMENT CORP WAC S-4 NYSE Simpson Thacher & Bartlett LLP
CME GROUP INC. CME S-4 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
PROSPECT CAPITAL CORP PSEC N-2 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
SELECT INCOME REIT SIR S-4 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
NET ELEMENT, INC. NETE S-3 Nasdaq Snell & Wilmer L.L.P.
CHINA CUSTOMER RELATIONS CENTERS, INC. S-1 Szaferman, Lakind, Blumstein & Blader, P.C.
POLYPID LTD. F-1 Troutman Sanders LLP
ADAMIS PHARMACEUTICALS CORP ADMP S-3 Nasdaq Weintraub Tobin Chediak Coleman Grodin, Law Corp.
CME GROUP INC. CME S-4 Nasdaq White & Case LLP
CME GROUP INC. CME S-4 Nasdaq Willkie Farr & Gallagher LLP
INOGEN INC INGN S-1 Nasdaq Wilson Sonsini Goodrich & Rosati, PC
POLYPID LTD. F-1 Yigal Arnon & Co.
PLURISTEM THERAPEUTICS INC PSTI S-3 Nasdaq Zysman, Aharoni, Gayer and Sullivan & Worcester LLP
POLYPID LTD. F-1 Zysman, Aharoni, Gayer and Sullivan & Worcester LLP

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.