Category Archives: Events

Silicon Valley IPOs-to-be talk with our compliance experts-that-are

NYSE Governance Services held its West coast compliance readiness conference yesterday.


From the NYSE:

Preventing fraud in compliance with the Sarbanes-Oxley Act (SOX) and the Foreign Corrupt Practices Act (FCPA), as well as the importance of creating accurate financial statements and cooperating with internal audit in order to comply with the requirements of a stringent regulatory environment are just a few of the many challenges public companies need to communicate to their workforce.

Obviously, we’re big into compliance and our presence brought an important “services execution” perspective to the NYSE’s attendees. In additional to understanding the strategic aspects of compliance, corporate leaders must have a tactical understanding of HOW to be compliant… beginning with the S-1. (download whitepaper here) That’s our role: pre-and post-IPO.

Topics included:

  • The Nuts and Bolts of a Strong and Effective Compliance Program
  • Innovative Training and Communications Strategies
  • Leveraging Technology and Monitoring and Auditing
  • Emerging Compliance Risks

Also, the NYSE distributed to all attendees our  Corporate Governance and Securities Laws handbook. Very useful. (request yours here)

PR Newswire / Vintage Filings was pleased to participate and we’re proud that our shareholder communications services are NYSE approved for their issuer and IPO program.

Have a great day.


USA IR Awards 2014: PR Newswire congratulates clients (plus photos!)

The 19th annual USA IR Awards was last night. Sincere applause to ALL the nominated companies. We’d also like to send a little extra-special kudos to our clients that went home with an award.

  • Actavis
  • Allscripts Healthcare Solutions
  • Gigamon
  • Honeywell
  • Johnson & Johnson
  • L Brands
  • NextEra Energy
  • Tencent (China)
  • United States Steel

Here are a few snapshots, in random unlabeled order. Click on one to enlarge and download. Email if you would like a high-resolution color photo.

Thank you once again to IR Magazine for creating such a great industry event! The band was excellent, BTW.

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USA IR Awards are this Thursday!

63 public companies are hoping to win at the 2014 USA IR Awards in NYC. Hosted and created by IR magazine, this annual Black Tie event highlights the success of IR as voted by investors.  We’re pleased to attend once again to celebrate our industry.

Take a look at previous years’ photos: 2012 & 2013.



The companies up for awards in a variety of categories are:

  • 21st Century Fox
  • Actavis
  • Allscripts Healthcare Solutions
  • American Express
  • Antero Resources
  • Ares Capital
  • ASML (Netherlands)
  • Baidu (China)
  • BlackRock
  • CBS ‒ Leslie Moonves
  • Cerner ‒ Marc Naughton
  • CIT Group
  • Covidien
  • CR Bard ‒ Todd Garner
  • Danaher
  • Delta Air Lines
  • Discover Financial Services
  • Edison International
  • Facebook
  • Foundation Medicine
  • Gigamon
  • Google
  • Herbalife
  • Hercules Offshore
  • Honeywell
  • Intel
  • Jack in the Box
  • JB Hunt Transport Services
  • Johnson & Johnson
  • Kansas City Southern
  • L Brands
  • MedAssets
  • MercadoLibre (Argentina)
  • Monro Muffler Brake
  • NextEra Energy
  • Novo Nordisk (Denmark)
  • NRG Yield
  • NXP Semiconductor (Netherlands)
  • Ocwen Financial Corporation
  • Omnicom Group
  • Pentair
  • Petrobras (Brazil)
  • Prudential (UK)
  • PVH Corporation
  • Quanta Services
  • Roche Holding (Switzerland)
  • Ryder System
  • Samsung (Korea)
  • Sealed Air
  • Sirona Dental Systems
  • Sprint
  • Starbucks
  • Taiwan Semiconductor Manufacturing Company (Taiwan)
  • Telecom Argentina (Argentina)
  • Televisa (Mexico)
  • Tencent (China)
  • TIM Participacões (Brazil)
  • Time Warner
  • United Parcel Service
  • Visa
  • Werner Enterprises
  • WisdomTree Investments
  • Wright Medical Group

Good luck to them all (but extra good luck to our clients) !

Have a great day.

“This is the fifth virtual investor conference Deutsche Bank will host since its inaugural conference in September 2012.”

The title above is taken from Deutsche Bank’s recent press release.

And with that, congratulations (and thank you) to Deutsche Bank for the extra effort and dedication towards their DR clients’ goal of reaching “American” investors in a very direct manner: a virtual investor conference.

Smart stuff:

1.) Online presentations are investors’ favorite content. Read study here.

2.) No travel for ANYBODY. As you see below, tomorrow’s event touches several continents.


EDT Company Name Country Local Ticker ADR Ticker
9:00am Metro Pacific Investments Corporation Philippines MPI:PM OTC PINK: MPCIY
9:45am Credit Suisse Group AG Switzerland CSGN:VX NYSE: CS
10:30am Stora Enso Oyj Finland STERV:FH OTC QX: SEOAY
11:15am Technip S.A. France TEC:FP OTC QX: TKPPY
12:00pm Koninklijke Ahold N.V. Netherlands AH:NA OTC QX: AHONY
12:45pm Gameloft S.A. France GFT:FP OTC PINK: GLOFY
1:30pm EDP – Energias de Portugal Portugal EDP:PL OTC PINK: EDPFY
2:15pm Continental AG Germany CON:GR OTC PINK: CTTAY

3.) It’s very fair. Any investors – institutional or individual – can ask questions equally.

4.)  It’s very transparent. In addition to the formal Q&A, there is an informal “chat” in the presenting company’s virtual trade booth.

From DB:

Jose Sicilia, Global Head of Global Equity Services, at Deutsche Bank, said, “Deutsche Bank leverages the latest technology to offer a unique and convenient way for companies around the world to interact directly with US investors. Building on the success of our previous virtual conferences, we are continuing to help our clients to broaden their investor base by reaching investors outside of their home markets.”

5.) It’s easy for companies and attendees. The conference platform is bright and fast to work within. Check it out:

Break a leg to the presenting companies tomorrow!


(Oh, I have a 6th point: They modeled their now quarterly events after our evergreen series now in its fifth year insert obvious sales pitch here)


Emerging Growth Companies to Meet with Vintage Filings at 26th Annual ROTH Conference



Premier Small-Cap Growth Conference to host more than 450 Public and Private Companies, March 9-12, 2014, The Ritz Carlton, Dana Point, CA.

Vintage Filings and PR Newswire compliance and shareholder communications specialists will met with attendees throughout the event both in sessions and within the Gold Sponsor exhibit hall. booth 18.

Services demonstrated:

  • Transactions and Draft Registration sessions
  • Virtual Data Rooms
  • XBRL and EDGAR filing
  • Investor Relations websites
  • Shareholder communications

The ROTH Conference is a three-day investment conference that directly connects CEOs, CFO and IROs from more than 1,000 investors, lawyers, ibanks and dealmakers.

Featured sectors: 

  • Business Services
  • Consumer
  • Cleantech, Energy & Industrials
  • Healthcare, Oil and Gas
  • Mining
  • Technology & Media

If you cannot attend, please click here to be mailed our Conference Give-away, the 2014 SEC Regulatory Rule Guidebooks.

Have a great day.


We’re inviting 850,000+ Advisors & Investors to hear your MLP story

PR Newswire, BetterInvesting and join to bring you this SPECIAL event targeted at MLP savvy advisors and investors.

CLICK HERE to download the brochure.

CLICK HERE to read a summary.


Free Webinar: Legal and Investment Experts Explain Reverse Mergers and Alternative Public Offerings


Being public is the endgame for many emerging companies, but it’s not an easy path. To assist companies, PR Newswire and Vintage Filings brought together industry experts to discuss different paths to becoming a public company, including a reverse merger.

A reverse merger is the acquisition of a public company by a private company, so that the private company can bypass the lengthy and complex Initial Public Offering. Going public through a reverse merger allows a privately held company to become publicly held at a lesser cost, with less stock dilution than through an IPO and is less susceptible to market conditions.

Topics Include:

  • Reverse mergers as an exit strategy to gain liquidity.
  • Questions to be asked whether a reverse merger is right for their company and how to proceed if it might be something worth pursuing.
  • A detailed look at the financial and legal sides of doing a reverse merger and what it means for investors, management and employees.
  • Case studies of firms that have had success with doing a reverse mergers and important lessons learned.
  • What are the advantages and disadvantages of structuring an acquisition as a reverse merger?
  • What risks are associated with mergers and what should counsel consider when structuring the acquisition?
  • Shareholder Communications and  Investor Relations 

Featured Speakers:

  • Barry Grossman, Partner at Ellenoff Grossman & Schole LLP
  • Adam Stern, Head of Private Equity, Aegis Capital Group LLC
  • Robert Berick, Managing Director – Investor Relations, Falls Communications

Host and Moderator:

  • Seth Farbman, President, Vintage Filings, a division of PR Newswire 

To get the most out of this webinar, a companion whitepaper guide is available and illustrates the “back-and-forth” interactions a traditional IPO will have with the SEC.  Download that whitepaper here:


About Vintage Filings

PR Newswire’s Vintage Filings division is a full-service financial filing and printing firm and a leading partner for all your XBRL filing needs. With more than 4,500 public company clients, Vintage is one of the fastest growing compliance firms nationwide. Vintage partners with its clients to provide the knowledge and service necessary to meet the SEC’s ever-changing filing regulations. Vintage Filings provides high-quality, cost-effective compliance filings and production services, including EDGAR Filings, typesetting, XBRL tagging, section 16 filings, investment management services, drafting sessions, virtual data rooms (VDR) and more.

About PR Newswire

PR Newswire ( 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 59 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.

Media Contact:
Bradley H. Smith
Director of Marketing, IR and Compliance Services
PR Newswire & Vintage Filings
+1 201.947.7157

Two conferences! One day! No waiting!

photoelliotContrary to popular belief, there is nothing “commodity” about compliance or investor relations products. It’s ALWAYS a “relationship sell” as the entire industry is built on trust. That’s why we expend great energy to get out to physical conferences. To look clients and future clients right in the eye. 

Today, we’re at two events:

  • Western Non-Traded REIT Symposium, Orange County ~ we have a large REIT client base, particularly for typesetting, filing and printing.
  • LD Micro Annual Conference, in Los Angeles proper ~ as described here, our SEC and IR are a favored choice for many Microcap companies.

Please stop by. Meet us.

Have a great day.

NYSE, OTC and Nasdaq Companies Webcast to Online Investors: December 5th at

CEOs to take questions in real-time during formal roadshow presentations, meet and “chat” in virtual trade booths

New York, NY, December 2, 2013/PRNewswire/ — PR Newswire, BetterInvesting,  and MUNCmedia today announced the agenda of the upcoming, the monthly online investor conference series. Individual investors, institutional investors and analysts are invited.

Pre-registration is suggested to save time: There is no fee for anyone to log-in, attend the live presentations and ask questions.

LINK: > red “register/ watch event now” button

9:30 AM

SGOCO Group, Ltd.

Nasdaq: SGOC

10:15 AM

Aflac, Inc.


11:00 AM

SilverSun Technologies, Inc. 


11:45 AM

Finjan Holdings, Inc.


12:30 PM

Organovo Holdings, Inc.


1:15 PM

22nd Century Group, Inc.


2:00 PM

DelMar Pharmaceuticals, Inc.


2:45 PM

Prospect Capital Corporation


3:30 PM

Boston Therapeutics


Educational session:

4:15 PM “Most Outstanding Stock Market Picks for 2014″

all times Eastern standard

On-demand events include: 

Advanced Bifurcation Systems, Inc. Private
BioLight Israeli Life Science Investments Ltd TASE: BOLT
Bone Biologics Private
Comstock Mining Inc. NYSE: LODE
Goldcorp Inc. NYSE: GG  TSX: G
Kivalliq Energy Corporation TSXV: KIV

LINK: > red “register/ watch event now” button 


Media Contact: 

Bradley H. Smith
Director of Marketing, IR and Compliance Services
PR Newswire


SEC closed for Thanksgiving Holiday: Thursday, November 28

Click image to download 2014 SEC calendar

Click image to download 2014 SEC calendar sheet

In honor of Thanksgiving Day, the SEC is closed on Thursday, November 28, 2013. No files can be received.

Files submitted after 5:30 pm ET, Wednesday, November 27, 2013 will receive a filing date of Friday, November 29, 2013 and will be posted to the public on November 29.

As with other holiday closings, the following file types will receive a Wednesday, November 27, 2013 filing date if filed by 10:00 pm ET on Wednesday:

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

For any filing with a due date of Monday, Thursday, November 28, 2013, the SEC will move the due date to the next business day, Friday, November 29, 2013.

Have a great day.