Monthly Archives: May 2014

…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 is this weeks’


KUDOS_quoteKudos to Typeset Bureau

Many thanks for turning it so quick! Because of your speed, if it’s OK with you folks, we’d like to change the date on the filing and try to file it today. (Please see attached for our requested change to the date for my signature).

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KUDOS_quoteKudos to S-1 / Transaction team

Congratulations to everyone for getting the first amendment filed!! That is another great milestone to achieve. Everyone’s hard work, especially at the end, is greatly appreciated, especially by the company. Let’s hope the SEC responds quickly and with very few remaining comments!.

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KUDOS_quoteKudos to Entire Team

Yesterday was very smooth. The team was very responsive and quick to release our 6k.

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KUDOS_quoteKudos to Individual Account Representative

I also really appreciate how you took ownership of some of the problems we encountered and provided solutions so that we were able not only to file on time but to do so accurately. I hope Vintage and PR Newswire value what a great asset you are – I could not imagine having the comfort level I have in working with you that Vintage will make it happen.

 

 

Thanks to our experts!

IPOs and Transactions: May 19 – 23

There were 58 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including 1347 Property Insurance Holdings Inc w/ Greenberg Traurig LLP + McDermott Will & Emery LLP, Manhattan Bridge Capital Inc. w/ Blank Rome LLP + McDermott Will & Emery LLP, Orient Paper Inc. w/ DLA Piper LLP and Cellectar Biosciences Inc. w/ Foley Hoag LLP.

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

VDR_PPC_EMAIL

Registrant Symbol Form Exchange Law firm / Advisor
US CONCRETE INC USCR S-4 Nasdaq Akin Gump Strauss Hauer & Feld LLP
COMSTOCK HOLDING COMPANIES, INC. CHCI S-3 Nasdaq Alston & Bird LLP
SUNSHINE BIOPHARMA, INC SBFM S-1 OTC Andrew I. Telsey P.C.
ARDELYX, INC. S-1 Ardelyx, Inc.
CNL HEALTHCARE PROPERTIES, INC. S-11 Arnold & Porter LLP
ENERGY FOCUS, INC/DE EFOI S-1 OTC Baker & Hostetler LLP
NEXTERA ENERGY PARTNERS, LP S-1 Baker Botts L.L.P.
MONTAGE MANAGERS TRUST N-2 Bingham McCutchen, LLP
GARNERO GROUP ACQUISITION CO S-1 Blank Rome LLP
GENERAL CABLE CORP /DE/ BGC S-4 NYSE Blank Rome LLP
MANHATTAN BRIDGE CAPITAL, INC LOAN S-11 Nasdaq Blank Rome LLP
ADEPTUS HEALTH INC. S-1 Cleary Gottlieb Steen & Hamilton LLP
QUARTA-RAD, INC. S-1 Connette Law Office
ACELRX PHARMACEUTICALS INC ACRX S-3 Nasdaq Cooley LLP
CLARUS THERAPEUTICS INC CLRS S-1 Nasdaq Cooley LLP
KITE PHARMA, INC. S-1 Cooley LLP
KITE PHARMA, INC. S-1 Covington & Burling, LLP
PARNELL PHARMACEUTICALS HOLDINGS PTY LTD F-1 Covington & Burling, LLP
TCP INTERNATIONAL HOLDINGS LTD. S-1 Davis Polk & Wardwell LLP
XUNLEI LTD XNET F-1 Davis Polk & Wardwell LLP
SOURCE FINANCIAL, INC. SRCF S-1 OTC Davisson & Associates, PA
AMERICAN AIRLINES INC AAL S-4 Debevoise & Plimpton LLP
AMERICAN AIRLINES INC AAL S-4 Debevoise & Plimpton LLP
NEXPOINT CAPITAL, LLC N-2 Dechert LLP
PHARMATHENE, INC PIP S-3 NYSE Dentons US LLP
ORIENT PAPER INC. ONP S-3 NYSE DLA Piper LLP
PARNELL PHARMACEUTICALS HOLDINGS PTY LTD F-1 DLA Piper LLP
ANTRIABIO, INC. ANTBD S-1 OTC Dorsey & Whitney LLP
GOLD RESOURCE CORP GORO S-3 NYSE Dufford & Brown, P.C.
SOURCE FINANCIAL, INC. SRCF S-1 OTC Eaton & Van Winkle LLP
JAZZ SEMICONDUCTOR INC S-1 Eilenberg & Krause LLP
BSP ACQUISITION CORP. S-1 Ellenoff Grossman & Schole LLP
MOKO SOCIAL MEDIA LTD F-1 Nasdaq Faegre Baker Daniels LLP
GOPRO, INC. S-1 Fenwick & West LLP
CELLECTAR BIOSCIENCES, INC. NVLT S-1 OTC Foley Hoag LLP
NF ENERGY SAVING CORP NFEC S-3 Nasdaq Golenbock Eiseman Assor Bell & Peskoe LLP
CLARUS THERAPEUTICS INC CLRS S-1 Nasdaq Goodwin Procter LLP
MID-AMERICA APARTMENTS, L.P. S-4 Goodwin Procter LLP
ROKA BIOSCIENCE, INC. S-1 Goodwin Procter LLP
SYMBID CORP. SBID S-1 OTC Gottbetter & Partners, LLP
CVSL INC. CVSL S-1 OTC Gracin & Marlow, LLP
BSP ACQUISITION CORP. S-1 Graubard Miller
GARNERO GROUP ACQUISITION CO S-1 Graubard Miller
1347 PROPERTY INSURANCE HOLDINGS, INC. PIH S-1 Nasdaq Greenberg Traurig, LLP
MOBIVITY HOLDINGS CORP. MFOND S-1 OTC Greenberg Traurig, LLP
PLATFORM SPECIALTY PRODUCTS CORP S-1 NYSE Greenberg Traurig, P.A.
CEL SCI CORP CVM S-3 NYSE Hart & Trinen
QUARTA-RAD, INC. S-1 Hateley & Hampton
TECH FOUNDRY VENTURES, INC. S-1 Hateley & Hampton
REXAHN PHARMACEUTICALS, INC. RNN S-3 NYSE Hogan Lovells US LLP
GENERAL MOTORS CO GM S-4 NYSE Jenner & Block LLP
ARTEX CORP. S-1 John T. Root, Jr. Atty.
PHI INC PHII S-4 Nasdaq Jones Walker L.L.P.
AMPHASTAR PHARMACEUTICALS, INC. S-1 Nasdaq K&L Gates LLP
ARDELYX, INC. S-1 Latham & Watkins LLP
THUNDER ENERGIES CORP S-1 Law Office of Clifford J. Hunt, P.A.
TRUSTCO BANK CORP N Y TRST S-3 Nasdaq Lewis, Rice & Fingersh, L.C.
MOKO SOCIAL MEDIA LTD F-1 Nasdaq Loeb & Loeb LLP
ROKA BIOSCIENCE, INC. S-1 Lowenstein Sandler LLP
1347 PROPERTY INSURANCE HOLDINGS, INC. PIH S-1 Nasdaq McDermott Will & Emery LLP
MANHATTAN BRIDGE CAPITAL, INC LOAN S-11 Nasdaq McDermott Will & Emery LLP
HOME BANCSHARES INC HOMB S-4 Nasdaq Mitchell, Williams, Selig, Gates & Woodyard, PLLC
NEXPOINT CAPITAL, LLC N-2 Morris, Manning & Martin, LLP
PARAGON OFFSHORE LTD. 10-12B Paragon Offshore Limited
BROOKDALE SENIOR LIVING INC. BKD S-4 NYSE Perkins Coie LLP
ENERGY FOCUS, INC/DE EFOI S-1 OTC Pryor Cashman LLP
CVSL INC. CVSL S-1 OTC Reed Smith LLP
TEUCRIUM COMMODITY TRUST CORN S-1 NYSE Reed Smith LLP
TEUCRIUM COMMODITY TRUST CORN S-1 NYSE Reed Smith LLP
TEUCRIUM COMMODITY TRUST CORN S-1 NYSE Reed Smith LLP
AMERIS BANCORP ABCB S-4 Nasdaq Rogers & Hardin LLP
ARDELYX, INC. S-1 Ropes & Gray LLP
TAPIMMUNE INC TPIVD S-3 OTC Sanders Ortoli Vaughn-Flam Rosenstadt LLP
ADEPTUS HEALTH INC. S-1 Simpson Thacher & Bartlett LLP
CLUBCORP HOLDINGS, INC. MYCC S-1 NYSE Simpson Thacher & Bartlett LLP
BROOKDALE SENIOR LIVING INC. BKD S-4 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
JGWPT HOLDINGS INC. JGW S-1 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
NEXTERA ENERGY PARTNERS, LP S-1 Skadden, Arps, Slate, Meagher & Flom LLP
TCP INTERNATIONAL HOLDINGS LTD. S-1 Skadden, Arps, Slate, Meagher & Flom LLP
XUNLEI LTD XNET F-1 Skadden, Arps, Slate, Meagher & Flom LLP
HOME BANCSHARES INC HOMB S-4 Nasdaq Smith Mackinnon, PA
CLUBCORP HOLDINGS, INC. MYCC S-1 NYSE Sullivan & Cromwell LLP
AMERIS BANCORP ABCB S-4 Nasdaq Troutman Sanders LLP
CESCA THERAPEUTICS INC. KOOL S-3 Nasdaq Weintraub Tobin Chediak Coleman Grodin
GOPRO, INC. S-1 Wilson Sonsini Goodrich & Rosati PC
AMPHASTAR PHARMACEUTICALS, INC. S-1 Nasdaq Wilson Sonsini Goodrich & Rosati, PC

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.

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IPO Underwriters of the Week: May 19 – 23

Congratulations to the corporations and underwriters that worked with our transaction services team. Watch our brief transactions services video HERE and discover why we have become a top choice for both traditional and confidential IPOs.

VDR_PPC_EMAIL

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
MANHATTAN BRIDGE CAPITAL, INC S-11 Aegis Capital Corp.
1347 PROPERTY INSURANCE HOLDINGS, INC. S-1 Aegis Capital Corp. Early Bird Capital, Inc.
CELLECTAR BIOSCIENCES, INC. S-1 Aegis Capital Corp.
BSP ACQUISITION CORP. S-1 Cantor Fitzgerald & Co.
PHARMATHENE, INC S-3 Cantor Fitzgerald & Co.
CLARUS THERAPEUTICS INC S-1 Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC Canaccord Genuity Inc. / Needham & Company, LLC
ARDELYX, INC. S-1 Citigroup Global Markets Inc. Leerink Partners LLC JMP Securities LLC / Wedbush Securities Inc.
ADEPTUS HEALTH INC. S-1 Deutsche Bank Securities Inc. Goldman, Sachs & Co. -
TCP INTERNATIONAL HOLDINGS LTD. S-1 Deutsche Bank Securities Inc. Piper Jaffray & Co. Canaccord Genuity Inc. / Cowen and Company, LLC
SUNSHINE BIOPHARMA, INC S-1 Dutchess Opportunity Fund II, LP
GARNERO GROUP ACQUISITION CO S-1 Early Bird Capital, Inc.
CLUBCORP HOLDINGS, INC. S-1 Goldman, Sachs & Co. Jefferies LLC
MONTAGE MANAGERS TRUST N-2 IMST Distributors, LLC
XUNLEI LTD F-1 J.P. Morgan Securities LLC Citigroup Global Markets Inc. Stifel, Nicolaus and Company, Inc. / Oppenheimer & Co. Inc.
GOPRO, INC. S-1 J.P. Morgan Securities LLC Citigroup Global Markets Inc. Barclays Capital Inc. / Allen & Company LLC / Stifel, Nicolaus & Company, Inc. / Robert W. Baird & Co. Inc. / MCS Capital Markets LLC / Piper Jaffray & Co. / Raymond James & Associates, Inc.
AMPHASTAR PHARMACEUTICALS, INC. S-1 Jefferies LLC BMO Capital Markets Corp. Piper Jaffray & Co. / Needham & Company, LLC
KITE PHARMA, INC. S-1 Jefferies LLC Credit Suisse Securities (USA) LLC Cowen and Company, LLC / Stifel, Nicolaus & Company, Inc.
PARNELL PHARMACEUTICALS HOLDINGS PTY LTD F-1 Jefferies LLC Piper Jaffray & Co. JMP Securities LLC / Ladenburg Thalmann & Co. Inc. / Geller Biopharm, a healthcare investment banking division of Financial West Group.
NEXTERA ENERGY PARTNERS, LP S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman, Sachs & Co. Morgan Stanley & Co. LLC
ROKA BIOSCIENCE, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Leerink Partners LLC Cowen and Company, LLC / Wedbush Securities Inc.
MOKO SOCIAL MEDIA LTD F-1 Northland Capital Markets
ENERGY FOCUS, INC/DE S-1 Roth Capital Partners, LLC
SOURCE FINANCIAL, INC. S-1 Wellington Shields & Co. LLC

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

Have a great week.

Adaptive Insights partners with Vintage Filings to bring cloud agility to XBRL reporting

New OfficeConnect Reporting Product and Partnership Help Companies Automate Financial and Management Reporting and Cut Complexity versus Legacy CPM Solutions

SAN FRANCISCO – May 20, 2014 – – Adaptive Insights, the worldwide leader in cloud business analytics solutions for companies and nonprofits of all sizes, today announced at its Adaptive Live 2014 user conference new products and partnerships that reinvigorate reporting processes from financial and board reporting to disclosure management. By combining reporting power traditionally only available to the world’s largest enterprises with the incredible ease of use and delivery of Adaptive’s cloud, organizations can transform their reporting processes with unprecedented speed, efficiency and flexibility.

adaptive_insights_logoAdaptive OfficeConnect, part of the Adaptive Suite, is a robust new reporting product that injects new power into Excel, Word, and PowerPoint with dynamic, always up-to-date data from the Adaptive cloud — accelerating reporting cycles and eliminating cost and risk.

Additionally, a new partnership with regulatory compliance leader Vintage Filings, a division of PR Newswire, provides complete disclosure management – from XBRL tagging and filing, to EDGAR HTML submissions – enables the world’s largest public enterprises to close with Adaptive and disclose with one of the world’s most trusted financial printers.

Traditional reporting processes are often mired with extremely high costs, risk of error, and time-intensive tasks. Organizations with one billion in revenue can spend more than half a million dollars in reporting (Source: APQC) and allocate ten or more full-time employees for financial reporting alone (Source: Aberdeen Research). Organizations looking to drive enterprise-class reporting processes have often been required to spend millions on costly, inflexible and hard to maintain legacy CPM solutions. For public companies needing to submit their financial reports to regulatory agencies, the process can be tedious, taking days to aggregate multiple spreadsheets from across the business, manually tag and update values across all filing documents, and validate that data is from the same version of the truth.

Adaptive OfficeConnect brings the power and efficiency of the Adaptive cloud to Microsoft Office, saving organizations time and money by transforming static Excel, PowerPoint, and Word reports into live, dynamic and connected reports in minutes. Organizations now get the best of both worlds – enterprise-class financial and board reporting, with data sourced from Adaptive’s easy to deploy and use cloud CPM suite.

“Adaptive OfficeConnect is a game-changer. We can transform all of our existing Excel reports and connect them to Adaptive, combining the distinctive power of Adaptive and Excel,” said Paulo Castro, Manager of Accounting, Embraer Defense and Security, Inc.

Adaptive’s new partnership with industry leading printer Vintage Filings empowers organizations to leverage Adaptive OfficeConnect reports throughout the disclosure process and beyond the walls of the enterprise.

Liam Power, President of Vintage Filings, commented,

“We are excited to be partnering with the #1 cloud CPM and BI suite to provide complete disclosure management. Thousands of public companies trust us with their regulatory submissions, and we look forward to bringing our deep expertise to Adaptive’s customers to streamline their filing processes.”

Now the Adaptive cloud can extend throughout the complete financial reporting lifecyle for the world’s largest public companies with Vintage’s superior service.

Highlights include:

  • Beautiful Reports Built On-the-Fly: Adaptive OfficeConnect easily and quickly creates presentation-quality reports based on up-to-date data from Adaptive’s cloud CPM, creating engaging board books, financial reports, management reports and more. Adaptive OfficeConnect embraces the complete control of Microsoft Office formatting, calculations and charting, eliminating the ongoing costly and complex maintenance with live, accurate data.
  • One-Click Intelligent and Dynamic Reports: Only Adaptive OfficeConnect enables business users to transform their existing static Excel reports into live, connected dynamic Excel reports, in just minutes. Adaptive OfficeConnect’s intelligent linking ensures that data is accurate and always up-to-date, eliminating errors and time traditionally spent copying, pasting and reformatting. Reports are refreshed with a simple click—delivering yet another boost in productivity.
  • Comprehensive Support for Microsoft Excel, Word, and PowerPoint: Adaptive OfficeConnect seamlessly weaves report information into Excel, Word and PowerPoint for board books and executive presentations. Infused with the same dynamic connection to data in Adaptive Planning and Consolidation, updates are seamlessly incorporated throughout all documents with a simple refresh.
  • Unified Close to Disclose Reporting: Adaptive OfficeConnect extends dynamic and connected reporting beyond the enterprise, enabling organizations to file their public financials in Microsoft Word with simplicity and ease, all with full support from industry filing and printing organizations.

Adaptive OfficeConnect builds on Adaptive Suite’s leading cloud CPM solution that is powerful, yet incredibly easy to deploy and run. “Increasingly, enterprises are on the march from expensive legacy CPM solutions, and are looking to transform the speed and flexibility of their aging planning processes with the agility of the cloud. With OfficeConnect, it’s easier than ever for them to make the move, and migrate their existing reports and processes to Adaptive,” said Connie DeWitt, Vice President of Product Management at Adaptive Insights. “These new innovations enable enterprises to accelerate their reporting processes by 70 percent, while tapping the Adaptive cloud to slash costs by 95+ percent versus traditional solutions. Enterprises can realize time and money savings to accelerate growth and drive success.”

Adaptive’s powerful global partner ecosystem is equally excited about Adaptive OfficeConnect.

“Adaptive makes an ideal partner because the company is so in tune with customer and partner needs and delivers innovations based upon them,” said Brian Storrs, founder and president, IntuitiveTek. “Each new feature and product added to the Adaptive Suite enables us to meet the most demanding enterprise needs, and enables us to take legacy and unmanaged spreadsheet-driven processes to the cloud with ease.”

Emerging Growth Company Qualification

Confidential IPO filings have become the new normal for a large percentage of our S-1 clients in 2014. The JOBS Act gave this “elbow room” to any company defined as an Emerging Growth Company. Recently, we had a client that was not actually sure IF they qualified as an EGC. 

SEC_EGC_art

A corporate issuer qualifies as an emerging growth company if its total gross revenues were less than $1 billion (or the foreign currency equivalent, calculated on the basis of U.S. GAAP or IFRS) during its most recently completed fiscal year. Qualification as an emerging growth company is available to both U.S. issuers and foreign private issuers.

An issuer will maintain its emerging growth company status until the earliest of:

  • The end of the fiscal year during which its total gross revenues exceed $1 billion
  • The end of the first fiscal year after the fifth anniversary of its IPO
  • The date on which it will have issued more than $1 billion in non-convertible debt during the previous three-year period
  • The date on which it becomes a “large accelerated filer,” which generally refers to an issuer that: a.) had an aggregate worldwide market value of voting and non-voting common equity held by its non-affiliates of $700 million or more, as of the last business day of its most recently completed second fiscal quarter; b.) has been subject to the requirements of Section 13(a) or 15(d) of the Exchange Act for a period of at least 12 calendar months; c.) has filed at least one annual report pursuant to Section 13(a) or 15(d) of the Exchange Act; and d.) is not eligible to use the requirements for “smaller reporting companies” for its annual and quarterly reports.

Accommodations for Emerging Growth Companies

The JOBS Act provides emerging growth companies with various accommodations, including relaxed disclosure, corporate governance, accounting and auditing requirements. The following summarizes the key JOBS Act accommodations for emerging growth companies.

Disclosure Requirements

In an IPO, an emerging growth company is only required to present two years (instead of three years) of audited financial statements in its IPO registration statement. Furthermore, for later registration statements or periodic reports filed under the Exchange Act, an emerging growth company will not be required to present selected financial data as required by Item 301 of Regulation S-K for any period prior to the earliest audited period presented in its IPO registration statement.

Significantly, emerging growth companies are only required to comply with the scaled executive compensation disclosure requirements that apply to smaller reporting companies under Item 402 of Regulation S-K. For example, an emerging growth company is not required to include a Compensation Discussion and Analysis in its proxy statements. In addition, emerging growth companies will not have to comply with the “pay-for-performance” and “CEO pay ratio” disclosure rules required to be adopted by the SEC under Section 953 of the Dodd-Frank Act.

Although the JOBS Act exempts emerging growth companies from providing the disclosures listed above, emerging growth companies may nevertheless wish to include such disclosures for commercial or competitive reasons, or to ensure that the absence of such disclosures does not render existing disclosure misleading.

Corporate Governance

An emerging growth company is not required to have its independent registered public accounting firm provide an attestation report on the company’s internal control over financial reporting, as required by Section 404(b) of the Sarbanes-Oxley Act. Emerging growth companies are also exempt from the requirement to hold a shareholder advisory vote on executive compensation (say-on-pay) or shareholder advisory vote on golden parachute compensation at any shareholders’ meeting to approve a merger or similar transaction.

Accounting and Auditing Requirements

Emerging growth companies are not required to comply with any new or revised financial accounting standard until a private company would be required to comply with the standard. Emerging growth companies also will not be required to comply with PCAOB rules adopted after the enactment of the JOBS Act, unless the SEC determines otherwise.

On December 17, 2012, the SEC determined that new PCAOB rules for improving communications between auditors and audit committees should apply to emerging growth companies. In its approval order, the first to address application of new PCAOB rules to emerging growth companies, the SEC stressed that the JOBS Act did not establish a “presumption” that new PCAOB rules should not apply to emerging growth companies. Rather, the SEC may require an emerging growth company to comply with a new PCAOB rule whenever the SEC finds that compliance is necessary or appropriate in the public interest, after considering the protection of investors and whether the rule will promote efficiency, competition and capital formation.

Shareholder Communications

The JOBS Act softens restrictions on communications between securities analysts and potential investors and between securities analysts and the management of an emerging growth company. Emerging growth companies are allowed greater flexibility to communicate with potential institutional investors about a securities offering both before and after the filing of the registration statement so that the company can “test the waters” to determine investor interest in the securities offering. These “test the waters” communications must be limited to institutional investors that are either “qualified institutional buyers” or “accredited investors.” Qualified institutional buyers or “QIBs” are defined generally as institutions that own and invest at least $100 million in securities on a discretionary basis. In general, for an entity to be considered an accredited investor, it must have total assets in excess of $5 million.

Research Coverage

The JOBS Act makes it easier for brokers and dealers to provide research coverage of an emerging growth company, even if participating in the company’s registered equity offering, by allowing the broker or dealer to publish and distribute research reports about the emerging growth company and its securities both before and after the filing of the registration statement without violating the gun-jumping rules under Section 5 of the Securities Act.

Confidential Treatment

In an IPO, an emerging growth company is permitted to submit drafts of its IPO registration statement and amendments confidentially to the SEC so long as they are filed publicly 21 days before the company conducts a road show. Confidential treatment extends to all correspondence related to the SEC’s review of the IPO registration statement and amendments.

In addition to the emerging growth company accommodations described above, Title I of the JOBS Act directs the SEC to review Regulation S-K to determine how to modernize and simplify the registration process and reduce the burdens on emerging growth companies. The JOBS Act directs the SEC to provide a report to Congress by October 2, 2012 containing its specific recommendations on improving the registration process. As this handbook goes to publication, the SEC had not yet provided this report to Congress.

Have a great day.

 

 

IPOs and Transactions: May 12 – 16

There were 57 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including AdeptPros Inc w/ Szaferman, Lakind, Blumstein & Blader, PC, Amarantus Bioscience Holdings Inc w/ Sichenzia Ross Friedman Ference LLP and Autochina International LLC w/ Loeb & Loeb LLP.

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

VDR_PPC_EMAIL

Registrant Symbol Form Exchange Law firm / Advisor
ALGODON WINES & LUXURY DEVELOPMENT GROUP, INC. 10-12G Algodon Wines & Luxury Development Group, Inc.
ZS PHARMA, INC. S-1 Baker Botts L.L.P.
POSTROCK ENERGY CORP PSTR S-3 Nasdaq Baker Botts L.L.P.
TALLGRASS ENERGY PARTNERS, LP TEP S-3 NYSE Baker Botts L.L.P.
PINECREST INVESTMENT GROUP INC ACOL S-1 OTC Barry J. Miller, Atty.
GEN SERV, INC. S-1 Befumo & Shaeffer, PLLC
FEDERATED NATIONAL HOLDING CO FNHC S-3 Nasdaq Broad and Cassel
ARAMARK ARMK S-1 NYSE Cahill Gordon & Reindel LLP
CITIZENS FINANCIAL GROUP INC/RI S-1 Cleary Gottlieb Steen & Hamilton LLP
MATTHEWS INTERNATIONAL CORP MATW S-4 Nasdaq Cohen & Grigsby, P.C.
GTX INC /DE/ GTXI S-3 Nasdaq Cooley LLP
CITIZENS FINANCIAL GROUP INC/RI S-1 Davis Polk & Wardwell LLP
ZS PHARMA, INC. S-1 Davis Polk & Wardwell LLP
FS INVESTMENT CORP FSIC N-2 NYSE Dechert LLP
ANI PHARMACEUTICALS INC ANIP S-3 Nasdaq Dentons US LLP
DIGITAL ALLY INC DGLY S-3 Nasdaq Digital Ally, Inc.
VISTAGEN THERAPEUTICS, INC. VSTA S-1 OTC Disclosure Law Group, LLP
IDENTIVE GROUP, INC. INVE S-3 Nasdaq DLA Piper LLP
CAREFUSION CORP CFN S-3 NYSE DLA Piper LLP
MARINUS PHARMACEUTICALS INC S-1 Duane Morris LLP
GOOD TECHNOLOGY CORP S-1 Fenwick & West LLP
TYCO INTERNATIONAL PLC S-4 Gibson, Dunn & Crutcher LLP
HERON THERAPEUTICS, INC. /DE/ APPAD S-3 Nasdaq Gibson, Dunn & Crutcher LLP
MARINUS PHARMACEUTICALS INC S-1 Goodwin Procter LLP
QUARTET HOLDCO LTD. S-4 Graubard Miller
KITARA MEDIA CORP. KITM S-1 OTC Graubard Miller
VAALCO ENERGY INC /DE/ EGY S-3 NYSE Haynes and Boone, LLP
KONA GRILL INC KONA S-3 Nasdaq Jones Day
MARRONE BIO INNOVATIONS INC MBII S-1 Nasdaq Jones Day
HV BANCORP, INC. S-1 Jones Walker LLP
ETFS ASIAN GOLD TRUST AGOL S-1 NYSE Katten Muchin Rosenman LLP
INVESTAR HOLDING CORP S-1 Kilpatrick Townsend & Stockton LLP
KIMBALL ELECTRONICS, INC. 10-12B Kimball Electronics, Inc.
CONTRAVIR PHARMACEUTICALS, INC. CTRV S-1 OTC Kramer Levin Naftalis & Frankel LLP
EXCEL TRUST, INC. EXL S-3 NYSE Latham & Watkins LLP
MALLINCKRODT PLC MNK S-4 NYSE Latham & Watkins LLP
INTERNET MEDIA SERVICES, INC. ITMV S-1 OTC Law Office of Gary A. Agron
INDEPENDENCE REALTY TRUST, INC S-3 NYSE Ledgewood PC
ENER-CORE INC. ENCRE S-1 OTC LKP Global Law, LLP
AUTOCHINA INTERNATIONAL LTD AUTCF F-1 OTC Loeb & Loeb LLP
KONA GRILL INC KONA S-3 Nasdaq Maslon Edelman Borman & Brand, LLP
EMERALD OIL, INC. EOX S-3 NYSE Mayer Brown LLP
U.S. RARE EARTHS, INC UREE S-1 OTC McDermott Will & Emery LLP
PUBLIC SERVICE CO OF NEW MEXICO PNMXO S-3 OTC McGuireWoods LLP
CHYRONHEGO CORP CHYR S-3 Nasdaq Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
COCA COLA BOTTLING CO CONSOLIDATED /DE/ COKE S-3 OTC Moore & Van Allen PLLC
ANTARES PHARMA, INC. ATRS S-3 Nasdaq Morgan, Lewis & Bockius LLP
MARRONE BIO INNOVATIONS INC MBII S-1 Nasdaq Morrison & Foerster LLP
AT PLAY VACATIONS, INC. S-1 Parsons/ Burnett/ Bjordahl/ Hume, LLP
DIGIMARC CORP DMRC S-3 Nasdaq Perkins Coie LLP
INVESTAR HOLDING CORP S-1 Phelps Dunbar, L.L.P.
PAZOO, INC. PZOO S-1 OTC Resident Agents of Nevada, Inc.
VICTORY ELECTRONIC CIGARETTES CORP ECIG S-1 OTC Robinson Brog Leinwand Greene Genovese & Gluck P.C.
CONTRAVIR PHARMACEUTICALS, INC. CTRV S-1 OTC Sichenzia Ross Friedman Ference LLP
AMARANTUS BIOSCIENCE HOLDINGS, INC. 091 S-1 OTC Sichenzia Ross Friedman Ference LLP
U.S. RARE EARTHS, INC UREE S-1 OTC Sichenzia Ross Friedman Ference LLP
ARAMARK ARMK S-1 NYSE Simpson Thacher & Bartlett LLP
KKR & CO. L.P. KKR S-3 NYSE Simpson Thacher & Bartlett LLP
KKR & CO. L.P. KKR S-3 NYSE Simpson Thacher & Bartlett LLP
VICTORY ELECTRONIC CIGARETTES CORP ECIG S-1 OTC Simpson Thacher & Bartlett LLP
SOUTHCORP CAPITAL, INC. STHC 10-12G OTC SouthCorp Capital, Inc.
REPUBLIC FIRST BANCORP INC FRBK S-3 Nasdaq Stevens & Lee, P.C.
ADEPTPROS INC S-1 Szaferman, Lakind, Blumstein & Blader, PC
TELUPAY INTERNATIONAL INC TLPY S-1 OTC Telupay PLC
MAJESCO ENTERTAINMENT CO COOL S-3 Nasdaq Thompson Hine LLP
MATTHEWS INTERNATIONAL CORP MATW S-4 Nasdaq Vedder Price P.C.
NATURAL RESOURCE PARTNERS LP NRP S-4 NYSE Vinson & Elkins L.L.P.
MALLINCKRODT PLC MNK S-4 NYSE Wachtell, Lipton, Rosen & Katz
QUARTET HOLDCO LTD. S-4 Willkie Farr & Gallagher LLP
IDERA PHARMACEUTICALS, INC. IDRA S-3 Nasdaq Wilmer Cutler Pickering Hale and Dorr LLP
GOOD TECHNOLOGY CORP S-1 Wilson Sonsini Goodrich & Rosati PC

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Click here to review the week’s underwriters.

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IPO Underwriters of the Week: May 12 – 16

Congratulations to the corporations and underwriters that worked with our transaction services team. Watch our brief transactions services video HERE and discover why we have become a top choice for both traditional and confidential IPOs.

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
CONTRAVIR PHARMACEUTICALS, INC. S-1 Aegis Capital Corp.
U.S. RARE EARTHS, INC S-1 Aegis Capital Corp.
ARAMARK S-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC Credit Suisse Securities (USA) LLC / Morgan Stanley & Co. LLC / Barclays Capital Inc. / Merrill Lynch, Pierce, Fenner & Smith Inc. /  RBC Capital Markets, LLC / Wells Fargo Securities, LLC
HV BANCORP, INC. S-1 Griffin Financial Group LLC
ZS PHARMA, INC. S-1 J.P. Morgan Securities LLC Credit Suisse Securities (USA) LLC BMO Capital Markets Corp. / William Blair & Company, L.L.C.
MARRONE BIO INNOVATIONS INC S-1 Jefferies LLC Piper Jaffray & Co.
KONA GRILL INC S-3 KeyBanc Capital Markets Inc.
AMARANTUS BIOSCIENCE HOLDINGS, INC. S-1 Lincoln Park Capital Fund, LLC
GOOD TECHNOLOGY CORP S-1 Morgan Stanley & Co. LLC Barclays Capital Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Oppenheimer & Co. Inc.
CITIZENS FINANCIAL GROUP INC/RI S-1 Morgan Stanley & Co. LLC Goldman, Sachs & Co. J.P. Morgan Securities LLC
INVESTAR HOLDING CORP S-1 Sandler O’Neill & Partners, L.P. Sterne, Agee & Leach, Inc.
MARINUS PHARMACEUTICALS INC S-1 Stifel, Nicolaus & Company, Inc. JMP Securities LLC Oppenheimer & Co. Inc. / Janney Montgomery Scott LLC
VICTORY ELECTRONIC CIGARETTES CORP S-1 Wells Fargo Securities, LLC Canaccord Genuity, Inc.

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

Have a great week.