IPO Underwriters of the Week: October 13 – 17

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 +
POLYPID LTD. F-1 Aegis Capital Corp. MLV & Co. Chardan Capital Markets, LLC
OCEAN RIG PARTNERS LP F-1 Barclays Capital Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. Credit Suisse Securities (USA) LLC / Deutsche Bank Securities Inc. / UBS Securities LLC / Raymond James & Associates, Inc.
VERISILICON HOLDINGS CO LTD F-1 Barclays Capital Inc. Jefferies LLC Stifel, Nicolaus & Company, Inc. / Wells Fargo Securities, LLC / Oppenheimer & Co. Inc.
PROPHECY ALPHA FUND I N-2 Capital Investment Group, Inc. ~ ~
POLAR STAR REALTY TRUST INC. S-11 FBR Capital Markets & Co. Wunderlich Securities, Inc. ~
INOGEN INC S-1 J.P. Morgan Securities LLC William Blair & Company, L.L.C Leerink Partners, LLC / Needham & Company, LLC
CITY OFFICE REIT, INC. S-11 Janney Montgomery Scott LLC Wunderlich Securities, Inc. Oppenheimer & Co. Inc.
EVENTURE INTERACTIVE, INC. S-1 Kodiak Capital Group, LLC Monarch Bay Securities, LLC ~
ADVANCED CELL TECHNOLOGY, INC. S-3 Lincoln Park Capital Fund, LLC ~ ~
WORKIVA LLC S-1 Morgan Stanley & Co. LLC Credit Suisse Securities (USA) LLC Robert W. Baird & Co. Inc. / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc.
NEOTHETICS, INC. S-1 Piper Jaffray & Co. Guggenheim Securities, LLC Needham & Company, LLC
HABIT RESTAURANTS, INC. S-1 Piper Jaffray & Co. Robert W. Baird & Co. Inc. Wells Fargo Securities, LLC / Raymond James & Associates / Stephens Inc. / Stifel, Nicolaus & Company, Inc.
RICH CIGARS INC S-1 RichKeys  Enterprises, LLC ~ ~
XUMANII INTERNATIONAL HOLDINGS CORP S-1 Southridge ~ ~
NORTH BAY RESOURCES INC S-1 Tangiers Capital, LLC ~ ~
OMAGINE, INC. S-1 YA Global Master SPV Ltd. ~ ~

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

Have a great week.

…Tuesday, Wednesday, Kudosday…

KUDOS_VF

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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 Entire Team

Many thanks for your efforts in preparation of this 10-K. It is the best filing made by [the company] so far.

I am pleased to be working with such a professional team which provides a tremendous boost of confidence. I look forward to continue our working relationship with you.

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KUDOS_quoteKudos to Transaction team

On behalf of [company] management and our Board, I wanted to express my sincere gratitude and thanks for your support and HARDWORK throughout the past few weeks. Excellent teamwork! Enjoy your weekend!.

 

 

KUDOS_quoteKudos to Entire Team

Thanks! You guys are really fast.

 

 

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KUDOS_quoteKudos to XBRL SaaS Team

Thanks for fixing the FN on Note G. We went with option A to fix the balance sheet, and it now looks fine. Thanks for pointing out the nuances, which have also now been fixed.

As an aside, so far, I really like working with your software. Much easier to work with than our previous software product.

 

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KUDOS_quoteKudos to Transaction Team

… our experience was quite positive. The staff was responsive and timely, especially given the crunch we were under.

I would be more than happy to recommend Vintage’s services to others.

 

 

 

Thanks to our experts for delivering intelligent value!

 

Board members are under a lot of pressure. Sending “Tweets” is not one of them.

The 11th Annual NYSE Boardroom Summit was an exceptional conference. Hundreds of directors, general counsel and compliance officers from hundreds of public companies’ boards assembled to review the essential issues that drove success in 2014 and what will drive success in 2015.

NYSEBOARD

One point was evident – the board members in attendance have an intense desire to be effective as possible: cyber-security, succession, diversity, culture, activists, crisis preparation, say-on-pay were all on the two-day agenda. The common tread across all these topics was understanding and mitigating risk for company and shareholder alike. You can download the summit handbook here now, courtesy of the NYSE Governance Services team.

One of the most promising sessions (that pertains to this blog) was titled “Social Media and the Changing Landscape of Corporate Disclosure.” Being a noise-maker in the shareholder communications industry, I was looking forward to hearing what boards were doing in regard to social media: 1.) what channels do they use, 2.) what topics do they share, 3.) how they work with the company to assure no material disclosure.

Well, the conference would have none of that. Having directors personally active in outbound social media was never discussed. Not even in the slightest. The dialog was completely focused on the business and risk oversight of the companies’ use of social media. It’s important to emphasize there was not a “should we or shouldn’t we” debate like is still lingering in investor relations. The board was not “against” social media - it’s just not in their sphere of communication responsibilities.

Ironically, these four tweets best summarize the session:

  • Boards’ responsibility is to concentrate on social media risk and policy rather than “tweeting.” #NYSummit
  • Boards to focus on the prevention of the negative rather than the promotion of the positive re: #socialmedia #NYSummit

Have a great day.

IPOs and Transactions: October 6 – 10

There were 43 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Ibio Inc. w/ Andrew Abramowitz PLLC and 22nd Century Group Inc. w/ Foley & Lardner 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 Exchange Law firm / Advisor
ALLSTATE LIFE INSURANCE CO ~ S-3 ~ Allstate Life Insurance Company
IBIO, INC. IBIO S-1 NYSE Andrew Abramowitz, PLLC
ENERGIE HOLDINGS, INC. ELED S-1 OTC Andrew I., Telsey P.C.
LANDMARK INFRASTRUCTURE PARTNERS LP ~ S-11 ~ Andrews Kurth LLP
SOTHERLY HOTELS INC. SOHO S-3 Nasdaq Baker & McKenzie LLP
QVC INC ~ S-4 ~ Baker Botts L.L.P.
AUTOGENOMICS, INC. AGMX S-1 ~ Bingham McCutchen LLP
BANNER CORP BANR S-4 Nasdaq Breyer & Associates PC
NICOLET BANKSHARES INC NCBS S-3 OTC Bryan Cave LLP
AGENUS INC AGEN S-3 Nasdaq Choate, Hall & Stewart LLP
ONEMAIN FINANCIAL HOLDINGS, INC. ~ S-1 ~ Cleary Gottlieb Steen & Hamilton LLP
AUTOGENOMICS, INC. AGMX S-1 ~ Cooley LLP
ONEMAIN FINANCIAL HOLDINGS, INC. ~ S-1 ~ Davis Polk & Wardwell LLP
ACTION SPORTS MEDIA, INC. ~ S-1 ~ Diane D. Dalmy  Atty.
PURE BIOSCIENCE, INC. PURE S-1 OTC DLA Piper LLP (US)
ASCENT SOLAR TECHNOLOGIES, INC. ASTI S-3 Nasdaq Faegre Baker Daniels LLP
22ND CENTURY GROUP, INC. XXII S-3 NYSE Foley & Lardner LLP
FORMIGLI INC. ~ S-1 ~ Formigli Inc.
NAVIOS MARITIME MIDSTREAM PARTNERS LP ~ F-1 ~ Fried, Frank, Harris, Shriver & Jacobson LLP
HEAT BIOLOGICS, INC. HTBX S-3 Nasdaq Gracin & Marlow, LLP
HISTOGENICS CORP ~ S-1 ~ Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP
NEW CENTURY RESOURCE ~ 10-12G ~ Heston Nielson, Esq.
ELLINGTON RESIDENTIAL MORTGAGE REIT EARN S-3 NYSE Hunton & Williams LLP
SUNRISE TOURS, INC. ~ S-1 ~ InCorp Services, Inc
AB INTERNATIONAL GROUP CORP. ~ S-1 ~ InCorp Services, Inc
KNIGHT KNOX DEVELOPMENT CORP. ~ S-1 ~ John T. Root, Jr.
SPRINT CORP S S-4 NYSE Jones Day
HISTOGENICS CORP ~ S-1 ~ K&L Gates LLP
VICAN RESOURCES, INC. VCAN S-1 OTC Kenneth I. Denos, P.C.
BANNER CORP BANR S-4 Nasdaq Lane Powell PC
NAVIOS MARITIME MIDSTREAM PARTNERS LP ~ F-1 ~ Latham & Watkins LLP
LANDMARK INFRASTRUCTURE PARTNERS LP ~ S-11 ~ Latham & Watkins LLP
INC RESEARCH HOLDINGS, INC. ~ S-1 ~ Latham & Watkins LLP
ATLAS RESOURCES LLC ~ S-4 ~ Ledgewood
ORBIS CORP ~ S-1 ~ Legal & Compliance, LLC
CALIFORNIA REPUBLIC FUNDING LLC ~ S-3 ~ Mitchell Silberberg & Knupp LLP
ASPEN GROUP, INC. ASPUE S-1 OTC Nason, Yeager, Gerson, White & Lioce, P.A.
ONCONOVA THERAPEUTICS, INC. ONTX S-3 Nasdaq Pepper Hamilton LLP
ETF MANAGERS GROUP COMMODITY TRUST I ~ S-1 ~ Reed Smith LLP
MINISTRY PARTNERS INVESTMENT COMPANY, LLC ~ S-1 ~ Rushall & McGeever
INTERCORP FINANCIAL SERVICES INC. ~ F-1 ~ Shearman & Sterling LLP
CALIFORNIA REPUBLIC FUNDING LLC ~ S-3 ~ Sidley Austin LLP
INTERCORP FINANCIAL SERVICES INC. ~ F-1 ~ Simpson Thacher & Bartlett LLP
BB&T CORP BBTPRE S-4 NYSE Squire Patton Boggs (US) LLP
FIAT INVESTMENTS N.V. ~ F-1 ~ Sullivan & Cromwell LLP
BB&T CORP BBTPRE S-4 NYSE The Bank of Kentucky Financial Corporation
PRECISION OPTICS CORPORATION, INC. PREO S-1 OTC Trombly Business Law, P.C.
MARKWEST ENERGY PARTNERS L P MWE S-3 NYSE Vinson & Elkins L.L.P.
RHINO RESOURCE PARTNERS LP RNO S-3 NYSE Vinson & Elkins L.L.P.
BB&T CORP BBTPRE S-4 NYSE Wachtell, Lipton, Rosen & Katz
NEW REMY HOLDCO CORP. ~ S-4 ~ Weil, Gotshal & Manges LLP
INC RESEARCH HOLDINGS, INC. ~ S-1 ~ Weil, Gotshal & Manges LLP
AUSCRETE CORP ~ S-1 ~ White – Welker & Welker, LLC
NEW REMY HOLDCO CORP. ~ S-4 ~ Willkie Farr & Gallagher LLP
INC RESEARCH HOLDINGS, INC. ~ S-1 ~ Wyrick Robbins Yates & Ponton LLP
BB&T CORP BBTPRE S-4 NYSE Ziegler & Schneider, P.S.C.
ON TRACK INNOVATIONS LTD OTIV S-3 Nasdaq 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.

IPO Underwriters of the Week: October 6 – 10

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.

VDR_banner_blog

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
ALLSTATE LIFE INSURANCE CO S-3 ALFS, Inc. Allstate Distributors, L.L.C. Morgan Stanley & Co. LLC
IBIO, INC. S-1 Aspire Capital Fund, LLC ~ ~
HEAT BIOLOGICS, INC. S-3 Cantor Fitzgerald & Co. ~ ~
ONCONOVA THERAPEUTICS, INC. S-3 Cantor Fitzgerald & Co. ~ ~
ONEMAIN FINANCIAL HOLDINGS, INC. S-1 Citigroup Global Markets Inc. ~ ~
HISTOGENICS CORP S-1 Cowen and Company, LLC Needham & Company, LLC Canaccord Genuity Inc. / BTIG, LLC
INTERCORP FINANCIAL SERVICES INC. F-1 Credit Suisse Securities (USA) LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Morgan Stanley & Co. LLC / Itau BBA USA Securities Inc.
ENERGIE HOLDINGS, INC. S-1 Dutchess Opportunity Fund, II, LP ~ ~
NEW REMY HOLDCO CORP. S-4 Fidelity National Financial, Inc. ~ ~
INC RESEARCH HOLDINGS, INC. S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC Robert W. Baird & Co. Inc. / Wells Fargo Securities, LLC / William Blair & Company L.L.C.
NAVIOS MARITIME MIDSTREAM PARTNERS LP F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC / J.P. Morgan Securities LLC / S. Goldman Advisors LLC
MINISTRY PARTNERS INVESTMENT COMPANY, LLC S-1 Ministry Partners Securities, LLC ~ ~
AGENUS INC S-3 MLV & Co. LLC ~ ~
ATLAS RESOURCES LLC S-4 Morgan Stanley & Co. LLC UBS Securities LLC ~
LANDMARK INFRASTRUCTURE PARTNERS LP S-11 Robert W. Baird & Co. Inc. Raymond James & Associates, Inc. RBC Capital Markets, LLC / Janney Montgomery Scott LLC
AUTOGENOMICS, INC. S-1 Stifel, Nicolaus & Company, Inc. Canaccord Genuity Inc. Cantor Fitzgerald & Co.

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

Have a great week.

The SEC is closed for Columbus Day: Monday, October 13

colunbus

In honor of Columbus Day, the SEC is closed on Monday, October 13, 2014. No files can be received.

Files submitted after 5:30 pm ET, Friday, October 10, 2014 will receive a filing date of October 14, 2014 and will be posted to the public on October 14, 2014 at 6:00 am ET.

As with other holiday closings, the following file types will receive a Friday, October 10, 2014 filing date if filed by 10:00 pm ET on Friday:

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

For any filing with a due date of Monday, October 13, 2014, the SEC will move the due date to the next business day, Tuesday, October 14, 2014.

Have a great holiday.

How Investors Consume Content Q#10: Do you use Twitter and/or StockTwits for research and investor news updates?

One of the topics featured on the all the agendas at last month’s corporate conferences was social media. Even though the event creators made time for the topic, the energy for the discussions within the rooms were lackluster – not negative, just blasé. There was a sense of leveling out on social media.

This seemed like an opportunity to review where investors are on the topic of social media, specially Twitter and StockTwits. Although the percentage of “yes” has dropped 4% since mid-2013, (assuming from Twitter fatigue) 13% is a meaningful audience.  Not to be ignored.

Q10_2014_100072zzzz

 

 Click image to enlarge.

Is there an easy way to reach the 13%? Yes.  Download this whitepaper for a practical plan.

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Have a great day.