Monthly Archives: May 2013

Good Karma at Marcum

Busy weeks for our sales teams helping small and micro-caps. Last week we presented our wares to a packed house at the B. Riley event on the West Coast.

Today, we’re at the MARCUM micro-cap in NYC meeting with both current clients and future clients about:

  • Shareholder communications ( IR websites, news distribution, investor targeting and retail investor conferences)
  • SEC compliance ( XBRL and EDGAR)
  • Deal making (virtual data rooms)

Also, we are moderating a panal on the recent SEC guidance regarding social media and disclosure. Our friend and partner Jeff Corbin (KCSA and theIRapp) is on the panel.

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All is good… if you ignore the point that my luggage was “mis-placed” and I am moderating the panel whilst wearing a $25 corduroy “sport coat” from Target!

Have a great day.

Your newsflow is needed to fight IR fraud on Twitter

Check out this short list of people who have identified themselves with “investor relations” in their Twitter profile. See anything funny? This is ridiculous.  

twitterfraud

My comments:

  1. This does not happen in StockTwits as it is a monitored community. Email me here if you want information about getting your news into StockTwits.
  2. IR departments seriously need to get into social media JUST to balance out the fraud with the truth. Your IR financial voice is the only thing that will protect “innocent” investors from promotion scammers.
  3. Find me at NIRI. We have some new solutions to show ( and sell ) you. Email me here if you are not going to NIRI and want to know what we are doing to help you.
  4. Read our white paper

Have a great day. 

Last week’s IPOs and Transactions

There were 76 transactions filed with the SEC last week.

Congratulations to all of our clients and law firms that used our transactions services last week including Tile Shop Holdings, Inc. (NASDAQ) w/ Fredrikson & Byron PA, Axion Power International. Inc. (OTC) w/ Fellheimer & Eichen LLP and NeutalStem, Inc. (NYSE) w/ Silvestre Law Group, PC. We appreciate that they selected to work with us and we’re pleased that they found us both accurate and affordable.

It’s our 10th Anniversary! Click here to watch our new video highlighting our IN-HOUSE and TRANSACTIONS services.

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Registrant Symbol Form Exchange Law firm / Advisor
EVOLUTION PETROLEUM CORP EPM S-3 NYSE Adams and Reese LLP
AIR LEASE CORP AL S-4 NYSE Air Lease Corporation
XPO LOGISTICS, INC. XPO S-3 NYSE Akerman Senterfitt
GENESIS ENERGY LP GEL S-4 NYSE Akin Gump Strauss Hauer & Feld LLP
ENVOY GROUP CORP. S-1 Angela Collette, Attorney and Counselor at Law
GULFSTREAM CAPITAL CORP S-1 Anslow + Jaclin LLP
CECO ENVIRONMENTAL CORP CECE S-4 Nasdaq Barnes & Thornburg LLP
ENDURO RESOURCE PARTNERS LLC S-3 Bracewell & Giuliani LLP
MEDWORTH ACQUISITION CORP. S-1 Broad and Cassel
PBF ENERGY INC. PBF S-1 NYSE Cahill Gordon & Reindel LLP
TREMOR VIDEO INC. S-1 Cooley LLP
GOLDEN EDGE ENTERTAINMENT, INC. 10-12G Daniel C. Masters, Esq.
NANOSTRING TECHNOLOGIES INC S-1 Davis Polk & Wardwell LLP
PROSENSA HOLDING B.V. F-1 Davis Polk & Wardwell LLP
FIRSTAMERICA AUTOMOTIVE INC /DE/ S-4 Dykema Gossett PLLC
EVOKE PHARMA INC S-1 Evoke Pharma, Inc.
AXION POWER INTERNATIONAL, INC. AXPW S-1 OTC Fellheimer & Eichen LLP
CECO ENVIRONMENTAL CORP CECE S-4 Nasdaq Fox Rothschild LLP
TILE SHOP HOLDINGS, INC. JWCU S-1 Nasdaq Fredrikson & Byron, P.A.
OROPLATA RESOURCES, INC. S-1 Gary R. Henrie Attny.
NOODLES & CO S-1 Gibson, Dunn & Crutcher LLP
INSMED INC INSM S-3 Nasdaq Gibson, Dunn & Crutcher LLP
WAYPOINT HOMES REALTY TRUST, INC. S-11 Goodwin Procter LLP
MEDWORTH ACQUISITION CORP. S-1 Graubard Miller
STEVIA CORP STEV S-1 OTC Greenberg Traurig, LLP
FIRST INTERSTATE BANCSYSTEM INC FIBK S-3 Nasdaq Holland & Hart LLP
REXFORD INDUSTRIAL REALTY, INC. S-11 Hunton & Williams LLP
PHYSICIANS REALTY TRUST S-11 Hunton & Williams LLP
INSMED INC INSM S-3 Nasdaq Hunton & Williams LLP
FTI CONSULTING INC FCN S-4 NYSE Jones Day
GALENFEHA, INC. S-1 Karlen & Stolzar, LLP
NOODLES & CO S-1 Kirkland & Ellis LLP
GALENFEHA, INC. S-1 Kyle L. Tingle, CPA
WCI COMMUNITIES, INC. S-1 Latham & Watkins LLP
WAYPOINT HOMES REALTY TRUST, INC. S-11 Latham & Watkins LLP
REXFORD INDUSTRIAL REALTY, INC. S-11 Latham & Watkins LLP
ENDURO RESOURCE PARTNERS LLC S-3 Latham & Watkins LLP
EVOKE PHARMA INC S-1 Latham & Watkins LLP
POWERMEDCHAIRS S-1 Law Offices of Thomas C. Cook, Ltd
MADISON VENTURES INC. S-1 Law Offices of Thomas E. Puzzo, PLLC
BONANZA CREEK ENERGY, INC. BCEI S-4 NYSE Mayer Brown LLP
TILE SHOP HOLDINGS, INC. JWCU S-1 Nasdaq McDermott Will & Emery LLP
AIR LEASE CORP AL S-4 NYSE Munger, Tolles & Olson LLP
NF INVESTMENT CORP. 10-12G NF Investment Corp.
NOODLES & CO S-1 Noodles & Company
M/A-COM TECHNOLOGY SOLUTIONS HOLDINGS, INC. MTSI S-3 Nasdaq Perkins Coie LLP
WCI COMMUNITIES, INC. S-1 Proskauer Rose LLP
NUVERRA ENVIRONMENTAL SOLUTIONS, INC. HEK S-4 NYSE Reed Smith LLP
ARROWHEAD RESEARCH CORP ARWR S-3 Nasdaq Ropes & Gray LLP
ZOETIS INC. ZTS S-4 NYSE Ropes & Gray LLP
GDC TECHNOLOGY LTD F-1 Shearman & Sterling LLP
ADVANCED CELL TECHNOLOGY, INC. ACTC S-3 OTC Sheppard, Mullin, Richter & Hampton LLP
EVOKE PHARMA INC S-1 Sichenzia Ross Friedman Ference LLP
OHIO POWER CO OHIPN S-3 Sidley Austin LLP
NEURALSTEM, INC. CUR S-3 NYSE Silvestre Law Group, P.C.
GDC TECHNOLOGY LTD F-1 Skadden, Arps, Slate, Meagher & Flom LLP
LUXOFT HOLDING, INC F-1 Skadden, Arps, Slate, Meagher & Flom LLP
REVLON CONSUMER PRODUCTS CORP S-4 Skadden, Arps, Slate, Meagher & Flom LLP
PROSENSA HOLDING B.V. F-1 Skadden, Arps, Slate, Meagher & Flom LLP
ZOETIS INC. ZTS S-4 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
PBF ENERGY INC. PBF S-1 NYSE Stroock & Stroock & Lavan LLP
NF INVESTMENT CORP. 10-12G Sullivan & Cromwell LLP
GREENHAVEN CONTINUOUS COMMODITY INDEX MASTER FUND S-3 Tannenbaum Helpern Syracuse & Hirschtritt LLP
CADIZ INC CDZI S-3 Nasdaq Theodora Oringher PC
TREMOR VIDEO INC. S-1 Tremor Video, Inc.
GALENA BIOPHARMA, INC. GALE S-3 Nasdaq TroyGould PC
GALENA BIOPHARMA, INC. GALE S-3 Nasdaq TroyGould PC
OROPLATA RESOURCES, INC. S-1 Virgilio Santana Ripoll Attny.
CHEMICAL FINANCIAL CORP CHFC S-3 Nasdaq Warner Norcross & Judd LLP
WCI COMMUNITIES, INC. S-1 WCI Communities, Inc.
LUXOFT HOLDING, INC F-1 White & Case LLP
STRATEGIC ENVIRONMENTAL & ENERGY RESOURCES, INC. 10-12B Wiggin and Dana LLP
CAS MEDICAL SYSTEMS INC CASM S-3 Nasdaq Wiggin and Dana LLP
TREMOR VIDEO INC. S-1 Wilson Sonsini Goodrich & Rosati PC
NANOSTRING TECHNOLOGIES INC S-1 Wilson Sonsini Goodrich & Rosati PC
PHYSICIANS REALTY TRUST S-11 Winston & Strawn 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.

Have a great day.

Let your investors do the “social” half. You just do the “media” half.

When social media was first proposed to investor relations, the buzzword “engagement” frightened the bajeebers out of most everyone. That’s not too inappropriate, considering social media was generally marketed as a personable connection. About as unRegFD-ish as you can get.

TWITTERTALK4Where are we now? Well, many marketing (ahem) and client service departments are successfully using the social aspect of social media to connect, one-on-one, with customers… but IR is still fraught with apprehension. It’s time to wipe the slate clean and redefine what social media can do for investor relations.

Clean slate one: Social media, particularly Twitter and StockTwits, have both evolved to become proven news streams. That’s the safe and easy opportunity for shareholder communications.

Clean slate two: You do not have to engage with your investors in social media. But you do need to start feeding investors your content so they can “talk amongst themselves” and be social with each other with your news. The buzzword here is “amplification” of your message.

Clean slate three: For now, simply treat social media as any news media channel in your quiver. Investors do use social media for news. Begin by sending out your existing news releases in Twitter and StockTwits. That’s it. No two-way interaction. No new content. No “engagement.” Just send out your news.

Click here to download our communications brief that discusses this in detail. I do ask you (please) to opt-in. Yes, someone from sales will probably call you too, but that’s not so bad. #winkwinknudgenudge.

Have a great day.

Mind the GAAP! (for XBRL)

mind-the-gaapThis week, the SEC has finally adopted the 2013 U.S. GAAP Financial Reporting Taxonomy. We been expecting this for a while.

The U.S. GAAP 2013 Taxonomy is available here.

Per Financial Accounting Standards Board (FASB): “The U.S. GAAP Financial Reporting Taxonomy is a list of computer-readable tags in XBRL that allows companies to tag precisely the thousands of pieces of financial data that are included in typical long-form financial statements and related footnote disclosures. The tags allow computers to automatically search for, assemble, and process data so it can be readily accessed and analyzed by investors, analysts, journalists, and regulators.”

Speak with your Vintage Filings account manager if you have questions in regard to your next XBRL filing. You cannot use 2011 GAAP standards anymore, only 2012 and now 2013.

Have a great day. 

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For IPOs and mergers, Rich Unger is far more fastidious than Felix

Ok. Felix Unger is a fictional character, but Rich’s pedigree for transactions is pure fact and the level of expertise and urgency he brings to executing a transaction is the stuff of legend.

Vintage Filings’ new offices, now within our NYC PR Newswire office – provides law firms and their corporate clients the physical space needed for an in-house drafting session… or as Rich discusses, we can host a drafting session from any office. Whatever works best for the client. 

Please click here to hear more of Rich’s views on our business.

Please click here to request details about our transaction services – including our “no surprises” fee structure. (that’s always a crowd pleaser).

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Infographic & question #21: Have you ever or do you use the advice from investment blogs or stock opinion newsletters?

As we read last week in the CFO magazine report, small-cap and micro-cap companies need marketing in lue of analysts. Investment newsletters can be a communications tool – but many have alterative motives other than the altruistic sharing of ideas… risking the taint of pump-n-dump. It seems that investors do use them – as needed – with a healthy dose of skepticism.

Regardless, we instruct companies to take communications into their own hands. 

Q21

Learn more about all our investor relations services.

Review all the results from all the questions (so far).