Category Archives: IPO week in review

IPOs and Transactions: November 17 – 21

There were 61 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Celsus Therapeutics PLC w/ Goodwin Procter LLP and Mintz, Levin, Cohn, Ferris Glovsky and Popeo, PC, IBIO Inc. w/ Andrew Abramowitz, PLLC and General Agriculture Corp. w/ Kelley Drye & Warren LLP.

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

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Registrant Symbol Form Exchange Law firm / Advisor
IBIO, INC. IBIO S-3 NYSE Andrew Abramowitz, PLLC
TARGA RESOURCES CORP. TRGP S-4 NYSE Atlas Energy, L.P.
TARGA RESOURCES PARTNERS LP NGLS S-4 NYSE Atlas Pipeline Partners, L.P.
ELTM, L.P. ~ S-3 ~ Baker & Hostetler LLP
SCRIPPS E W CO /DE SSP S-4 NYSE Baker & Hostetler LLP
ACCESS MIDSTREAM PARTNERS LP ACMP S-4 NYSE Baker Botts L.L.P.
ENGILITY HOLDINGS, INC. EGL S-4 NYSE Bass, Berry & Sims PLC
FORUM ACQUISITIONS II, INC. ~ 10-12G ~ BlackPool Acquisitions, LLC.
BRAC GLOBAL AUTOMOTIVE, INC. ~ 10-12G ~ BRAC Global Automotive, Inc
RING ENERGY, INC. REI S-3 NYSE Burleson LLP
KINDRED HEALTHCARE, INC KND S-4 NYSE Cleary Gottlieb Steen & Hamilton LLP
BELLICUM PHARMACEUTICALS, INC S-1 Nasdaq Cooley LLP
TREVENA INC TRVN S-1 Nasdaq Cooley LLP
BELLICUM PHARMACEUTICALS, INC S-1 Nasdaq Covington & Burling LLP
CTI BIOPHARMA CORP CTIC S-3 Nasdaq CTI BioPharma Corp.
MAGELLAN PETROLEUM CORP /DE/ MPET S-3 Nasdaq Davis Graham & Stubbs LLP
ADVANCED ACCELERATOR APPLICATIONS S.A. F-1 Nasdaq Davis Polk & Wardwell LLP
JD.COM, INC. JD F-1 Nasdaq Davis Polk & Wardwell LLP
ADVANCED ACCELERATOR APPLICATIONS S.A. F-1 Nasdaq Dechert LLP
CINCINNATI FINANCIAL CORP CINF S-3 Nasdaq Dinsmore & Shohl LLP
PAYLOCITY HOLDING CORP PCTY S-1 Nasdaq DLA Piper LLP
FRANKLIN COVEY CO FC S-3 NYSE Dorsey & Whitney LLP
ACORN ENERGY, INC. ACFN S-3 Nasdaq Eilenberg & Krause LLP
OCULUS INNOVATIVE SCIENCES, INC. OCLS S-1 Nasdaq Ellenoff Grossman & Schole LLP
TOA OPTICAL TECH, INC. ~ S-1 ~ ETN Services LLC
CURRENCYSHARES EURO TRUST FXE S-3 NYSE Foley & Lardner LLP
SCRIPPS E W CO /DE SSP S-4 NYSE Foley & Lardner LLP
KINDRED HEALTHCARE, INC KND S-4 NYSE Gentiva Health Services, Inc.
ACCESS MIDSTREAM PARTNERS LP ACMP S-4 NYSE Gibson, Dunn & Crutcher LLP
ASHFORD HOSPITALITY PRIME, INC. AHP S-3 NYSE Gibson, Dunn & Crutcher LLP
CELSUS THERAPEUTICS PLC. CLTX S-1 Nasdaq Goodwin Procter LLP
KINDRED HEALTHCARE, INC KND S-4 NYSE Greenberg Traurig, LLP
21ST CENTURY FOX AMERICA, INC. ~ S-4 ~ Hogan Lovells US LLP
PACIFIC PREMIER BANCORP INC PPBI S-4 Nasdaq Holland & Knight LLP
I MINERALS INC ~ 10-12G ~ I-Minerals Inc.
HII TECHNOLOGIES, INC. HIIT S-1 OTC Indeglia & Carney, LLP.
BIOHEART, INC. BHRT S-1 OTC Jill Arlene Robbins, P.A.
SCRIPPS E W CO /DE SSP S-4 NYSE Journal Communications, Inc.
WESBANCO INC WSBC S-4 Nasdaq K&L Gates LLP
BLUEROCK RESIDENTIAL GROWTH REIT, INC. BRG S-3 NYSE Kaplan Voekler Cunningham & Frank, PLC
RAND LOGISTICS, INC. RLOG S-3 Nasdaq Katten Muchin Rosenman LLP
GENERAL AGRICULTURE CORP GELT S-1 OTC Kelley Drye & Warren LLP
ACCESS MIDSTREAM PARTNERS LP ACMP S-4 NYSE Latham & Watkins LLP
ADVANCED DRAINAGE SYSTEMS, INC. WMS S-1 NYSE Latham & Watkins LLP
JUNO THERAPEUTICS, INC. ~ S-1 ~ Latham & Watkins LLP
PELICAN LANDING GOLF RESORT VENTURES INC ~ S-3 ~ Latham & Watkins LLP
TREVENA INC TRVN S-1 Nasdaq Latham & Watkins LLP
METALICO INC MEA S-1 NYSE Lowenstein Sandler LLP
CAPE BANCORP, INC. CBNJ S-4 Nasdaq Luse Gorman Pomerenk & Schick, P.C.
AQUA QUEST INTERNATIONAL, INC. ~ S-1 ~ Lux Investor Services
MENTOR CAPITAL, INC. ~ 10-12G ~ Mentor Capital, Inc.
CELSUS THERAPEUTICS PLC. CLTX S-1 Nasdaq Mintz, Levin, Cohn, Ferris Glovsky and Popeo, P.C.
LAKELAND INDUSTRIES INC LAKE S-3 Nasdaq Moomjian, Waite & Coleman, LLP
NATIONWIDE LIFE INSURANCE CO ~ S-1 ~ Nationwide Life Insurance Company
ALLIED NEVADA GOLD CORP. ANV S-3 NYSE Neal, Gerber & Eisenberg LLP
CTI BIOPHARMA CORP CTIC S-3 Nasdaq O’Melveny & Myers LLP
PAYLOCITY HOLDING CORP PCTY S-1 Nasdaq Orrick, Herrington & Sutcliffe LLP
TRANSGENOMIC INC TBIO S-3 Nasdaq Paul Hastings LLP
WESBANCO INC WSBC S-4 Nasdaq Phillips, Gardill, Kaiser & Altmeyer, PLLC
VIVEVE MEDICAL, INC. VIVMF S-1 OTC Richardson & Patel LLP
SUPREME LEGAL, INC. ~ S-1 ~ Securities Compliance Group, Ltd.
TRIMAX CONSULTING, INC. ~ S-1 ~ Securities Compliance Group, Ltd.
MARATHON PATENT GROUP, INC. MARA S-3 Nasdaq Sichenzia Ross Friedman Ference LLP
WESBANCO INC WSBC S-4 Nasdaq Silver, Freedman, Taff & Tiernan LLP
ENGILITY HOLDINGS, INC. EGL S-4 NYSE Simpson Thacher & Bartlett LLP
JD.COM, INC. JD F-1 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
ADVANCED DRAINAGE SYSTEMS, INC. WMS S-1 NYSE Squire Patton Boggs (US) LLP
PACIFIC PREMIER BANCORP INC PPBI S-4 Nasdaq Stinson Leonard Street LLP
TALON INTERNATIONAL, INC. TALN S-1 OTC Stubbs Alderton & Markiles, LLP
ENDO INTERNATIONAL PLC ENDP S-4 Nasdaq Sullivan & Cromwell LLP
OFS CAPITAL CORP OFS N-2 Nasdaq Sutherland Asbill & Brennan LLP
BLUE WATER GLOBAL GROUP, INC. BLUU S-1 OTC Taurus Financial Partners, LLC
OCULUS INNOVATIVE SCIENCES, INC. OCLS S-1 Nasdaq Trombly Business Law, PC
LION BIOTECHNOLOGIES, INC. LBIO S-3 OTC TroyGould PC
BUCKEYE PARTNERS, L.P. BPL S-3 NYSE Vinson & Elkins L.L.P.
TARGA RESOURCES CORP. TRGP S-4 NYSE Vinson & Elkins LLP
TARGA RESOURCES PARTNERS LP NGLS S-4 NYSE Vinson & Elkins LLP
VOYA RETIREMENT INSURANCE & ANNUITY CO ~ S-3 ~ Voya Retirement Insurance and Annuity Company
TARGA RESOURCES CORP. TRGP S-4 NYSE Wachtell, Lipton, Rosen & Katz
TARGA RESOURCES PARTNERS LP NGLS S-4 NYSE Wachtell, Lipton, Rosen & Katz
PELICAN LANDING GOLF RESORT VENTURES INC ~ S-3 ~ WCI Communities, Inc.
ENGILITY HOLDINGS, INC. EGL S-4 NYSE Weil, Gotshal & Manges LLP
SYNCHRONY FINANCIAL SYF S-3 NYSE Weil, Gotshal & Manges LLP
ADAMIS PHARMACEUTICALS CORP ADMP S-3 Nasdaq Weintraub Tobin Chediak Coleman Grodin, Law Corp.
ACCESS MIDSTREAM PARTNERS LP ACMP S-4 NYSE Williams Partners GP LLC
ENDO INTERNATIONAL PLC ENDP S-4 Nasdaq Willkie Farr & Gallagher LLP
WAVE SYSTEMS CORP WAVX S-3 Nasdaq Willkie Farr & Gallagher LLP
JUNO THERAPEUTICS, INC. ~ S-1 ~ Wilson Sonsini Goodrich & Rosati PC
CAPE BANCORP, INC. CBNJ S-4 Nasdaq Windels Marx Lane & Mittendorf, LLP
CEMPRA, INC. CEMP S-3 Nasdaq Wyrick Robbins Yates & Ponton LLP

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

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Click here to review the week’s underwriters.

Have a great week.

IPOs and Transactions: November 10 – 14

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 Barington/ Hilco Acquisition Corp. w/ Graubard Miller and Kramer Levin Naftalis & Frankel LLP, Energous Corp. w/ Goodwin Procter LLP and K&L Gates LLP and Village Bank & Trust Financial Corp. w/ LeClairRyan, PC and Silver, Freedman, Taff & Tiernan LLP.

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

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Registrant Symbol Form Exchange Law firm / advisor
SEACOAST BANKING CORP OF FLORIDA SBCF S-3 Nasdaq Alston & Bird LLP
AMERIPRISE CERTIFICATE CO ~ S-1 ~ Ameriprise Certificate Company
ECO-STIM ENERGY SOLUTIONS, INC. ESES S-1 OTC Andrews Kurth LLP
MACROGENICS INC MGNX S-3 Nasdaq Arnold & Porter LLP
AZURE MIDSTREAM PARTNERS, LP ~ S-1 ~ Baker Botts L.L.P.
INTRICON CORP IIN S-3 Nasdaq Blank Rome LLP
WINTRUST FINANCIAL CORP WTFC S-4 OTC Boardman & Clark LLP
DYNAVAX TECHNOLOGIES CORP DVAX S-3 Nasdaq Cooley LLP
NEW RELIC INC ~ S-1 ~ Cooley LLP
PICO HOLDINGS INC /NEW PICO S-3 Nasdaq Cooley LLP
MARTIN MARIETTA MATERIALS INC MLM S-4 NYSE Cravath, Swaine & Moore LLP
PISHPOSH, INC. ~ S-1 ~ David Lubin & Associates, PLLC
BLUE EARTH, INC. BBLU S-3 Nasdaq Davidoff Hutcher & Citron, LLP
INTREPID AVIATION LTD ~ S-1 ~ Davis Polk & Wardwell LLP
CYTORI THERAPEUTICS, INC. CYTX S-3 Nasdaq DLA Piper LLP
COHBAR, INC. ~ S-1 ~ Dorsey & Whitney LLP
HEARTLAND FINANCIAL USA INC HTLF S-4 Nasdaq Dorsey & Whitney LLP
BUSINESS FIRST BANCSHARES, INC. ~ S-4 ~ Fenimore, Kay, Harrison & Ford LLP
FIRST NBC BANK HOLDING CO NBCB S-3 Nasdaq Fenimore, Kay, Harrison & Ford, LLP
GOPRO, INC. GPRO S-1 Nasdaq Fenwick & West LLP
NEW RELIC INC ~ S-1 ~ Fenwick & West LLP
COHBAR, INC. ~ S-1 ~ Garvey Schubert Barer
COUNTY BANCORP, INC. ~ S-1 ~ Godfrey & Kahn, S.C.
ENERGOUS CORP WATT S-1 Nasdaq Goodwin Procter LLP
HORTONWORKS, INC. ~ S-1 ~ Goodwin Procter LLP
BARINGTON/HILCO ACQUISITION CORP. ~ S-1 ~ Graubard Miller
OXFORD CITY FOOTBALL CLUB, INC. OXFC S-1 OTC Harrison Law, P.A.
FIVE PRIME THERAPEUTICS INC FPRX S-3 Nasdaq Hogan Lovells US LLP
CHERRY HILL MORTGAGE INVESTMENT CORP CHMI S-3 NYSE Hunton & Williams LLP
CHERRY HILL MORTGAGE INVESTMENT CORP CHMI S-3 NYSE Hunton & Williams LLP
IBERIABANK CORP IBKC S-4 Nasdaq Jones Walker LLP
AUREUS INC ~ S-1 ~ Joseph I. Emas Atty.
ENERGOUS CORP WATT S-1 Nasdaq K&L Gates LLP
BUSINESS FIRST BANCSHARES, INC. ~ S-4 ~ Kantrow, Spaht, Weaver & Blitzer (APLC)
KINDER HOLDING CORP. ~ 10-12G ~ Kinder Holding Corp.
INTERNATIONAL MARKET CENTERS, INC. ~ S-11 ~ Kirkland & Ellis LLP
BARINGTON/HILCO ACQUISITION CORP. ~ S-1 ~ Kramer Levin Naftalis & Frankel LLP
KVINTESS F&DI HOLDINGS CORP. ~ 10-12G ~ KVintess F&DI Holdings Corp.
EL POLLO LOCO HOLDINGS, INC. LOCO S-1 Nasdaq Latham & Watkins LLP
EVOKE PHARMA INC EVOK S-3 Nasdaq Latham & Watkins LLP
INTREPID AVIATION LTD ~ S-1 ~ Latham & Watkins LLP
SMART SAND PARTNERS LP ~ S-1 ~ Latham & Watkins LLP
YGEIA CONSULTING GROUP, INC. ~ S-1 ~ Law Office of Clifford J. Hunt, P.A.
ADOMANI, INC. ~ S-1 ~ Law Office of Conrad C. Lysiak, P.S.
VILLAGE BANK & TRUST FINANCIAL CORP. VBFC S-1 Nasdaq LeClairRyan, PC
RAVEN INDUSTRIES INC RAVN S-3 Nasdaq Maslon Edelman Borman & Brand, LLP
GULFSLOPE ENERGY, INC. GSPE S-3 OTC Mayer Brown LLP
OVASCIENCE, INC. OVAS S-3 Nasdaq Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
NEXPOINT MULTIFAMILY REALTY TRUST, INC. ~ S-11 ~ Morris, Manning & Martin, LLP
PORTUS CORP PORS S-1 OTC Northwest Law Group
ON DECK CAPITAL INC ~ S-1 ~ Orrick, Herrington & Sutcliffe LLP
US NUCLEAR CORP. ~ S-1 ~ Paesano Akkashian, P.C.
ROCKY MOUNTAIN CHOCOLATE FACTORY, INC. ~ S-4 ~ Perkins Coie LLP
CHINA TMK BATTERY SYSTEMS INC. DFEL 10-12G OTC Pillsbury Winthrop Shaw Pittman LLP
UNIQUE FABRICATING, INC. ~ S-1 ~ Polsinelli, P.C.
BONE BIOLOGICS, CORP. ~ S-1 ~ Reed Smith LLP
HEARTLAND FINANCIAL USA INC HTLF S-4 Nasdaq Reinhart Boerner Van Deuren S.C.
TIPTREE FINANCIAL INC. TIPT S-3 Nasdaq Schulte Roth & Zabel LLP
CHINA TMK BATTERY SYSTEMS INC. DFEL 10-12G OTC Sichenzia Ross Friedman Ference LLP
WINTRUST FINANCIAL CORP WTFC S-4 OTC Sidley Austin LLP
UNIQUE FABRICATING, INC. ~ S-1 ~ Sills Cummis & Gross, P.C.
VILLAGE BANK & TRUST FINANCIAL CORP. VBFC S-1 Nasdaq Silver, Freedman, Taff & Tiernan LLP
WALTER ENERGY, INC. WLT S-3 NYSE Simpson Thacher & Bartlett LLP
EL POLLO LOCO HOLDINGS, INC. LOCO S-1 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
INTERNATIONAL MARKET CENTERS, INC. ~ S-11 ~ Skadden, Arps, Slate, Meagher & Flom LLP
MOELIS & CO MC S-1 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
IBERIABANK CORP IBKC S-4 Nasdaq Smith Mackinnon, PA
CORE MOLDING TECHNOLOGIES INC CMT S-3 NYSE Squire Patton Boggs (US) LLP
LANTRONIX INC LTRX S-3 Nasdaq Stradling Yocca Carlson & Rauth, P.C.
HORTONWORKS, INC. ~ S-1 ~ Sullivan & Cromwell LLP
MOELIS & CO MC S-1 NYSE Sullivan & Cromwell LLP
COUNTY BANCORP, INC. ~ S-1 ~ Vedder Price P.C.
AZURE MIDSTREAM PARTNERS, LP ~ S-1 ~ Vinson & Elkins L.L.P.
ECO-STIM ENERGY SOLUTIONS, INC. ESES S-1 OTC Vinson & Elkins L.L.P.
NISKA GS HOLDINGS I, L.P. ~ S-4 ~ Vinson & Elkins L.L.P.
SMART SAND PARTNERS LP ~ S-1 ~ Vinson & Elkins L.L.P.
SPRAGUE RESOURCES LP SRLP S-3 NYSE Vinson & Elkins L.L.P.
TECHTARGET INC TTGT S-3 Nasdaq Wilmer Cutler Pickering Hale and Dorr LLP
GOPRO, INC. GPRO S-1 Nasdaq Wilson Sonsini Goodrich & Rosati PC
ON DECK CAPITAL INC ~ S-1 ~ Wilson Sonsini Goodrich & Rosati, P.C.

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

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Click here to review the week’s underwriters.

Have a great week.

IPOs and Transactions: November 3 – 7

There were 69 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Computron Inc. w/ Eilers Law Group PA and QTS Realty Trust Inc. w/ Hogan Lovells US LLP.

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

Q#_lawyer_art

Registrant Symbol Form Exchange Law firm / Advisor
AERIE PHARMACEUTICALS INC AERI S-3 Nasdaq Aerie Pharmaceuticals, Inc.
GULFPORT ENERGY CORP GPOR S-4 Nasdaq Akin Gump Strauss Hauer & Feld LLP
ALLSTATE LIFE INSURANCE CO ~ S-3 ~ Allstate Life Insurance Company
LDR HOLDING CORP LDRH S-3 Nasdaq Andrews Kurth LLP
ATLAS ENERGY GROUP, LLC ~ 10-12B ~ Atlas Energy Group, LLC
ONCOR ELECTRIC DELIVERY CO LLC ~ S-4 ~ Baker & McKenzie LLP
RICE MIDSTREAM PARTNERS LP ~ S-1 ~ Baker Botts L.L.P.
CONTINENTAL BUILDING PRODUCTS, INC. CBPX S-1 NYSE Baker Botts L.L.P.
TGC INDUSTRIES INC TGE S-4 Nasdaq Baker Botts L.L.P.
TRANSENTERIX INC. TRXC S-3 NYSE Ballard Spahr LLP
GLADSTONE LAND CORP LAND S-11 Nasdaq Bass, Berry & Sims PLC
LISSOME TRADE CORP. ~ S-1 ~ Bauman & Associates Law Firm
DOMINOVAS ENERGY CORP DNRG S-1 OTC Bauman & Associates Law Firm
GEN3BIO, INC. ~ S-1 ~ Brunson Chandler & Jones, PLLC
JAMES RIVER GROUP HOLDINGS, LTD. ~ S-1 ~ Bryan Cave LLP
RING ENERGY, INC. REI S-3 NYSE Burleson LLP
CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORP ~ S-3 ~ Cadwalader, Wickersham & Taft LLP
BECTON DICKINSON & CO BDX S-4 NYSE CareFusion Corporation
NUVEEN TECHNOLOGY OPPORTUNITIES FUND ~ N-2 ~ Chapman and Cutler LLP
INOTEK PHARMACEUTICALS CORP ~ S-1 ~ Cooley LLP
CYMABAY THERAPEUTICS, INC. CBAY S-3 Nasdaq Cooley LLP
NEW MOON B.V. ~ S-4 ~ Cravath, Swaine & Moore LLP
CYMABAY THERAPEUTICS, INC. CBAY S-3 Nasdaq CymaBay Therapeutics, Inc.
EARTH BRAND HOLDINGS, INC. ~ S-1 ~ David Lubin & Associates, PLLC
TGC INDUSTRIES INC TGE S-4 Nasdaq Dawson Geophysical Company
CAREY CREDIT INCOME FUND ~ 10-12G ~ Dechert LLP
INTERNATIONAL STEM CELL CORP ISCO S-1 OTC DLA Piper LLP
MIDWAY GOLD CORP MDW S-3 NYSE Dorsey & Whitney LLP
COMPUTRON, INC. ~ S-1 ~ Eilers Law Group, PA
MILLENNIUM INVESTMENT & ACQUISITION CO INC. SMCG N-2 OTC Ellenoff Grossman & Schole LLP
ENDURANCE INTERNATIONAL GROUP HOLDINGS, INC. EIGI S-3 Nasdaq Endurance International Group Holdings, Inc.
FDO HOLDINGS, INC. ~ S-1 ~ FDO Holdings, Inc.
WISCONSIN PUBLIC SERVICE CORP WSPBP S-3 OTC Foley & Lardner LLP
AERIE PHARMACEUTICALS INC AERI S-3 Nasdaq Fried, Frank, Harris, Shriver & Jacobson LLP
CONTINENTAL BUILDING PRODUCTS, INC. CBPX S-1 NYSE Gibson, Dunn & Crutcher LLP
KITARA MEDIA CORP. KITM S-4 OTC Gibson, Dunn & Crutcher LLP
INOTEK PHARMACEUTICALS CORP ~ S-1 ~ Goodwin Procter LLP
PERNIX THERAPEUTICS HOLDINGS, INC. PTX S-3 Nasdaq Goodwin Procter LLP
KITARA MEDIA CORP. KITM S-4 OTC Graubard Miller
PLATFORM SPECIALTY PRODUCTS CORP PAH S-1 NYSE Greenberg Traurig, P.A.
TGC INDUSTRIES INC TGE S-4 Nasdaq Haynes and Boone, LLP
QTS REALTY TRUST, INC. QTS S-3 NYSE Hogan Lovells US LLP
DEER VALLEY ACQUISITION CORP ~ 10-12G ~ James Cassidy, Esq.
ELM VALLEY ACQUISITION CORP ~ 10-12G ~ James Cassidy, Esq.
FOX VALLEY ACQUISITION CORP ~ 10-12G ~ James Cassidy, Esq.
OAK VALLEY ACQUISITION CORP ~ 10-12G ~ James Cassidy, Esq.
OWL VALLEY ACQUISITION CORP ~ 10-12G ~ James Cassidy, Esq.
REDWOOD VALLEY ACQUISITION CORP ~ 10-12G ~ James Cassidy, Esq.
SPRUCE VALLEY ACQUISITION CORP ~ 10-12G ~ James Cassidy, Esq.
PMFG, INC. PMFG S-3 Nasdaq Jones Day
NUVEEN TECHNOLOGY OPPORTUNITIES FUND ~ N-2 ~ K&L Gates LLP
PRIMO WATER CORP PRMW S-3 Nasdaq K&L Gates LLP
MOMO INC. ~ F-1 ~ Kirkland & Ellis International LLP
SAGENT PHARMACEUTICALS, INC. SGNT S-3 Nasdaq Kirkland & Ellis LLP
ZOE’S KITCHEN, INC. ZOES S-1 NYSE Kirkland & Ellis LLP
ALPINE 4 AUTOMOTIVE TECHNOLOGIES LTD. ~ S-4 ~ Kirton | McConkie
FDO HOLDINGS, INC. ~ S-1 ~ Latham & Watkins LLP
TERRYVILLE MINERAL & ROYALTY PARTNERS LP ~ S-1 ~ Latham & Watkins LLP
PLATFORM SPECIALTY PRODUCTS CORP PAH S-1 NYSE Latham & Watkins LLP
ZOGENIX, INC. ZGNX S-3 Nasdaq Latham & Watkins LLP
ZOE’S KITCHEN, INC. ZOES S-1 NYSE Latham & Watkins LLP
PANEX RESOURCES INC. DBGF S-1 OTC Law Office of Conrad C. Lysiak, P.S.
IVDESK HOLDINGS, INC. ~ S-1 ~ Michael A. Littman, Atty.
JOBBOT INC. ~ S-1 ~ Mintz & Fraade, P.C
NEW MOON B.V. ~ S-4 ~ Mylan Inc.
KRAIG BIOCRAFT LABORATORIES, INC KBLB S-1 OTC Ofsink, LLC
UROPLASTY INC UPI S-3 Nasdaq Oppenheimer Wolff & Donnelly LLP
INPHI CORP IPHI S-3 NYSE Pillsbury Winthrop Shaw Pittman LLP
FDO HOLDINGS, INC. ~ S-1 ~ Proskauer Rose LLP
INTERCLOUD SYSTEMS, INC. ICLD S-3 Nasdaq Pryor Cashman LLP
ROCKET FUEL INC. FUEL S-3 Nasdaq Rocket Fuel Inc.
MILLENNIUM INVESTMENT & ACQUISITION CO INC. SMCG N-2 OTC Ryley Carlock & Applewhite
RIGHTSCORP, INC. RIHT S-1 OTC Sichenzia Ross Ference Friedman LLP
MEDBOX, INC. ~ S-1 ~ Sichenzia Ross Friedman Ference LLP
SORRENTO THERAPEUTICS, INC. SRNE S-3 Nasdaq Sichenzia Ross Friedman Ference LLP
SIERRA MADRE MINING ~ S-1 ~ Sierra Madre Mining, Inc.
TALEN ENERGY CORP ~ S-1 ~ Simpson Thacher & Bartlett LLP
MOMO INC. ~ F-1 ~ Skadden, Arps, Slate, Meagher & Flom LLP
AUTOHOME INC. ATHM F-1 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
BECTON DICKINSON & CO BDX S-4 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
BUILDERS FIRSTSOURCE, INC. BLDR S-3 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
NUVOLA, INC. ~ S-1 ~ Stoecklein Law Group, LLP
SIRRUS CORP. ~ S-1 ~ Szaferman, Lakind, Blumstein, & Blader, P.C.
TERRYVILLE MINERAL & ROYALTY PARTNERS LP ~ S-1 ~ Vinson & Elkins L.L.P.
RICE MIDSTREAM PARTNERS LP ~ S-1 ~ Vinson & Elkins L.L.P.
NISKA GS HOLDINGS I, L.P. ~ S-3 ~ Vinson & Elkins LLP
TALEN ENERGY CORP ~ S-1 ~ Vinson & Elkins LLP
BECTON DICKINSON & CO BDX S-4 NYSE Wachtell, Lipton, Rosen & Katz
JAMES RIVER GROUP HOLDINGS, LTD. ~ S-1 ~ Willkie Farr & Gallagher LLP
ENDURANCE INTERNATIONAL GROUP HOLDINGS, INC. EIGI S-3 Nasdaq Wilmer Cutler Pickering Hale and Dorr LLP
CAREY CREDIT INCOME FUND ~ 10-12G ~ Wilmington Trust, National Association
ROCKET FUEL INC. FUEL S-3 Nasdaq Wilson Sonsini Goodrich & Rosati PC
AUTOHOME INC. ATHM F-1 NYSE Wilson Sonsini Goodrich & Rosati, P.C.
PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB S-3 Nasdaq Wilson Sonsini Goodrich & Rosati, P.C.

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.

IPOs and Transactions: October 27- 31

There were 44 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including MergeWorthRx Corp. w/ Goodwin Procter LLP and McDermott Will & Emery LLP, Cube Thematic Alternatives Fund w/ Ropes & Gray LLP and Cytoserbents Corp. w/ Goodwin Procter LLP and DLA Piper LLP.

Q#_lawyer_art

Registrant Symbol Form Law firm / Advisor
ALADDIN INTERNATIONAL INC /MN/ 10-12G Aladdin International, Inc.
FS ENERGY & POWER FUND N-2 Alston & Bird LLP
ENLINK MIDSTREAM PARTNERS, LP ENLK S-3 Baker Botts L.L.P.
AAC HOLDINGS, INC. AAC S-4 Bass, Berry & Sims PLC
J. ALEXANDER’S HOLDINGS, INC. S-1 Bass, Berry & Sims PLC
MID PENN BANCORP INC MPB S-4 Bybel Rutledge LLP
COYOTE VALLEY ACQUISITION CORP 10-12G Coyote Valley Acquisition Corp.
CHAMPION INVESTMENTS, INC. N-2 Daniel R. Kirshbaum, Esq.
MIDWEST CABLE, INC. S-1 Davis Polk & Wardwell LLP
CORPORATE CAPITAL TRUST, INC. N-2 Dechert LLP
FS ENERGY & POWER FUND N-2 Dechert LLP
CYTOSORBENTS CORP CTSO S-1 DLA Piper LLP
DOMINION MINERALS CORP 10-12G Dominion Minerals Corp.
SOLIGENIX, INC. SNGX S-1 Duane Morris LLP
INVENTERGY GLOBAL, INC. INVT S-3 Ellenoff Grossman & Schole LLP
ROSEWOOD RESOURCES, INC. S-1 Gary R. Henrie Atty.
CYTOSORBENTS CORP CTSO S-1 Goodwin Procter LLP
MERGEWORTHRX CORP. MWRX S-4 Goodwin Procter LLP
ENOVA INTERNATIONAL, INC. S-1 Hunton & Williams LLP
MEDIJANE HOLDINGS INC. MJMD S-1 J.M. Walker & Associates
CELLCEUTIX CORP CTIX S-3 K&L Gates LLP
NANOVIRICIDES, INC. NNVC S-3 Kane Kessler, P.C.
EVERYWARE GLOBAL, INC. EVRY S-1 Kirkland & Ellis LLP
EVERYWARE GLOBAL, INC. EVRY S-1 Kirkland & Ellis LLP
ENVIVA PARTNERS, LP S-1 Latham & Watkins LLP
LA QUINTA HOLDINGS INC. LQ S-1 Latham & Watkins LLP
TRUECAR, INC. TRUE S-1 Latham & Watkins LLP
KALLO INC. KALO S-1 Law Office of Conrad C. Lysiak, P.S.
SOLIGENIX, INC. SNGX S-1 Lowenstein Sandler LLP
LYNDEN ENERGY CORP. 10-12G Lynden Energy Corp.
MERGEWORTHRX CORP. MWRX S-4 McDermott Will & Emery LLP
MIDWEST CABLE, INC. S-1 Midwest Cable, Inc.
MIKE THE PIKE PRODUCTIONS, INC. 10-12G Mike The Pike Productions Inc.
AMEDICA CORP AMDA S-1 Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
GREEN EARTH TECHNOLOGIES, INC GETG S-1 Morse, Zelnick, Rose & Lander, LLP
MYECHECK, INC. 10-12G MyECheck Inc.
NASCENT BIOTECH INC. 10-12G Nascent Biotech Inc.
J. ALEXANDER’S HOLDINGS, INC. S-1 Paul, Weiss, Rifkind, Wharton & Garrison LLP
ALGAE DYNAMICS CORP. S-1 Peterson & Company, LLP
EGAIN CORP EGAN S-3 Pillsbury Winthrop Shaw Pittman LLP
PROSHARES TRUST II CROC S-1 ProShare Capital Management LLC
PROSHARES TRUST II CROC S-3 ProShare Capital Management LLC
CUBE THEMATIC ALTERNATIVES FUND N-2 Ropes & Gray LLP
AMEDICA CORP AMDA S-1 Schiff Hardin LLP
VIATAR CTC SOLUTIONS INC. S-1 Sichenzia Ross Friedman Ference LLP
PROSHARES TRUST II CROC S-3 Sidley Austin LLP
CARLYLE GROUP L.P. CG S-3 Simpson Thacher & Bartlett LLP
LA QUINTA HOLDINGS INC. LQ S-1 Simpson Thacher & Bartlett LLP
WASHINGTON PRIME GROUP INC. S-4 Simpson Thacher & Bartlett LLP
MID PENN BANCORP INC MPB S-4 Stevens & Lee, P.C.
AMERICAN DG ENERGY INC ADGE S-3 Sullivan & Worcester LLP
TECOGEN INC. TGEN S-3 Sullivan & Worcester LLP
SUN BANCORP INC /NJ/ SNBC S-3 Sun Bancorp, Inc.
ALCENTRA CAPITAL CORP ABDC N-2 Sutherland Asbill & Brennan LLP
CALAVO GROWERS INC CVGW S-3 TroyGould PC
ENVIVA PARTNERS, LP S-1 Vinson & Elkins L.L.P.
WASHINGTON PRIME GROUP INC. S-4 Wachtell, Lipton, Rosen & Katz
RICEBRAN TECHNOLOGIES RIBT S-3 Weintraub Tobin Chediak Coleman Grodin Law Corp.
TRUECAR, INC. TRUE S-1 Wilson Sonsini Goodrich & Rosati, P.C.

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Top SEC transactions law firms: Q1 – Q3 2014

In plain English, a capital markets transaction is an extremely important contract. For a soon-to-be public company, an S-1 is thee most important contract. However, as discussed last week, (read here) there are many types of transactions – across all three main exchanges: OTC Markets, Nasdaq and NYSE.

Total transactions count for the first two-thirds of 2014 is 1,858… and all of these transactions needed a law firm – if not two or more. In fact, the 1,858  transactions counted listed 450 different law firms. Below is a graph of the top twelve, by transaction count.

We carefully track all capital markets transactions as Vintage executes the drafting sessions for law firms. We have become the intelligent value for transactions: in-house, at a corporate or law office and now more increasing, 100% virtual. You can see an in-house drafting session in this video.

CLICK TO ENLARGE

Top twelve, in order of Q3 ranking. Click to enlarge.

If you are interested in this topic, please click here and opt-in to receive a weekly (Monday) update of transactions and law firms via email.

We also have a whitepaper that explains the ping-pong match an S-1 file plays between an issuer and the SEC. Click here to download it.

Have a great week

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.

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Click here to review the week’s underwriters.

Have a great week.

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.