IPOs and Transactions: March 31 – April 4

There were 63 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Research Solutions Inc. w/ Blank Rome LLP and Stubbs Alderton & Markiles LLP, United States Gasoline Fund LP w/ Reed Smith LLP and Gramercy Property Trust Inc. w/ Morgan, Lewis & Bockius LLP.

We appreciate that they selected to work with us and we’re pleased that they found us both accurate and affordable.

VDR_PPC_EMAIL

Registrant Symbol Form Exchange Law firm / Advisor
MEMORIAL RESOURCE DEVELOPMENT CORP. S-1 Akin Gump Strauss Hauer & Feld LLP
LDR HOLDING CORP LDRH S-1 Nasdaq Andrews Kurth LLP
BACTERIN INTERNATIONAL HOLDINGS, INC. BONE S-3 NYSE Bacterin International Holdings, Inc.
WEATHERFORD INTERNATIONAL LTD S-4 Baker & McKenzie LLP
FIDELITY NATIONAL FINANCIAL, INC. FNF S-4 NYSE Baker Botts L.L.P
FIDELITY SOUTHERN CORP LION S-3 Nasdaq Baker, Donelson, Bearman, Caldwell & Berkowitz, P.C.
BNC BANCORP BNCN S-4 Nasdaq Barnes & Thornburg, LLP
RESEARCH SOLUTIONS, INC. RSSS S-1 OTC Blank Rome LLP
BLASTGARD INTERNATIONAL INC BLGA 10-12B OTC BlastGard International, Inc.
MAGNUM HUNTER RESOURCES CORP MHR S-1 NYSE Bracewell & Giuliani LLP
TRANS WORLD ENTERTAINMENT CORP TWMC S-1 Nasdaq Cahill Gordon & Reindel LLP
PBF LOGISTICS LP S-1 Cahill Gordon & Reindel LLP
ORBCOMM INC. ORBC S-3 Nasdaq Chadbourne & Parke LLP
AMERICAN GENE ENGINEER CORP S-1 Chiang Law Office, P.C.
HIGHER ONE HOLDINGS, INC. ONE S-3 NYSE Cleary Gottlieb Steen & Hamilton LLP
MATERIALISE NV F-1 Clifford Chance US LLP
LUMENA PHARMACEUTICALS, INC. S-1 Nasdaq Cooley LLP
ARCA BIOPHARMA, INC. ABIO S-3 Nasdaq Cooley LLP
REGADO BIOSCIENCES INC RGDO S-1 Nasdaq Cooley LLP
BANKWELL FINANCIAL GROUP, INC. BWFG S-1 OTC Covington & Burling LLP
ERICKSON HELICOPTERS INC S-4 Covington & Burling LLP
QUICKSILVER RESOURCES INC KWK S-4 NYSE Davis Polk & Wardwell LLP
ABENGOA YIELD PLC F-1 Davis Polk & Wardwell LLP
CHEETAH MOBILE INC. F-1 Davis Polk & Wardwell LLP
GARRISON CAPITAL INC. GARS N-2 Nasdaq Dechert LLP
TEKLA HEALTHCARE GROWTH & INCOME FUND N-2 Dechert LLP
GENEREX BIOTECHNOLOGY CORP GNBT S-1 OTC Eckert Seamans Cherin & Mellott, LLC
COEUR MINING, INC. CDE S-4 NYSE Gibson, Dunn & Crutcher LLP
ASSOCIATED BANC-CORP ASBC S-4 Nasdaq Godfrey & Kahn, S.C.
IMPRIVATA INC S-1 Goodwin Procter LLP
BANKWELL FINANCIAL GROUP, INC. BWFG S-1 OTC Hinckley, Allen & Snyder LLP
SOUTHWESTERN ELECTRIC POWER CO SWSEP S-3 Hunton & Williams LLP
K2 DESIGN & STRATEGY, INC. S-1 K2 Design & Strategy Inc.
GTT COMMUNICATIONS, INC. GTT S-3 NYSE Kelley Drye & Warren LLP
LDR HOLDING CORP LDRH S-1 Nasdaq Latham & Watkins LLP
LUMENA PHARMACEUTICALS, INC. S-1 Nasdaq Latham & Watkins LLP
ADVANCED DRAINAGE SYSTEMS, INC. S-1 Latham & Watkins LLP
ARES MANAGEMENT LP S-1 Latham & Watkins LLP
ARISTA NETWORKS, INC. S-1 Latham & Watkins LLP
NW18 HSN HOLDINGS PLC F-1 Latham & Watkins LLP
TRUECAR, INC. S-1 Latham & Watkins LLP
FAIRWIND ENERGY INC. S-1 Law Offices of Thomas E. Puzzo, PLLC
TRUSTCO BANK CORP N Y TRST S-3 Nasdaq Lewis, Rice & Fingersh, L.C.
ABENGOA YIELD PLC F-1 Linklaters LLP
ECM ENERGY SERVICES INC S-1 Loeb & Loeb, LLP
REGADO BIOSCIENCES INC RGDO S-1 Nasdaq Lowenstein Sandler LLP
DOMINION GAS HOLDINGS, LLC S-4 McGuireWoods LLP
GRAMERCY PROPERTY TRUST INC. GPT S-3 NYSE Morgan, Lewis & Bockius LLP
QUINTANA SHIPPING LTD. S-1 Morgan, Lewis & Bockius LLP
PARADIGM OIL & GAS, INC. PDGOD 10-12G OTC Paradigm Oil and Gas, Inc.
MATERIALISE NV F-1 Paul Hastings LLP
CRYSTAL SPRINGS OF ALABAMA HOLDINGS, LLC S-4 Paul, Weiss, Rifkind, Wharton & Garrison LLP
U.S. WELL SERVICES, LLC S-4 Porter Hedges LLP
AMERICAN REALTY CAPITAL CENTERS, INC. 10-12B Proskauer Rose LLP
ARES MANAGEMENT LP S-1 Proskauer Rose LLP
UNITED STATES 12 MONTH OIL FUND, LP USL S-3 NYSE Reed Smith LLP
UNITED STATES COMMODITY INDEX FUNDS TRUST USCI S-1 NYSE Reed Smith LLP
UNITED STATES GASOLINE FUND, LP UGA S-3 NYSE Reed Smith LLP
RXI PHARMACEUTICALS CORP RXII S-3 Nasdaq Ropes & Gray LLP
ECM ENERGY SERVICES INC S-1 Schiff Hardin LLP
TOSHOAN HOLDINGS, INC. S-1 Securities Compliance Group, Ltd.
500.COM LTD WBAI F-1 NYSE Shearman & Sterling LLP
TUNIU CORP F-1 Shearman & Sterling LLP
ENERGY XXI (BERMUDA) LTD EXXI S-4 Nasdaq Sidley Austin LLP
NW18 HSN HOLDINGS PLC F-1 Sidley Austin LLP
500.COM LTD WBAI F-1 NYSE Simpson Thacher & Bartlett
ARES MANAGEMENT LP S-1 Simpson Thacher & Bartlett LLP
CHEETAH MOBILE INC. F-1 Skadden, Arps, Slate, Meagher & Flom LLP
TUNIU CORP F-1 Skadden, Arps, Slate, Meagher & Flom LLP
CENTERSTATE BANKS, INC. CSFL S-4 Nasdaq Smith Mackinnon, PA
FOUR OAKS FINCORP INC FOFN S-1 OTC Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P.
ADVANCED DRAINAGE SYSTEMS, INC. S-1 Squire Sanders (US) LLP
PBF LOGISTICS LP S-1 Stroock & Stroock & Lavan LLP
RESEARCH SOLUTIONS, INC. RSSS S-1 OTC Stubbs Alderton & Markiles, LLP
THL CREDIT, INC. TCRD N-2 Nasdaq Sutherland Asbill & Brennan LLP
ENERGY XXI (BERMUDA) LTD EXXI S-4 Nasdaq Vinson & Elkins L.L.P.
MEMORIAL RESOURCE DEVELOPMENT CORP. S-1 Vinson & Elkins L.L.P.
QUINTANA SHIPPING LTD. S-1 Vinson & Elkins L.L.P.
PBF LOGISTICS LP S-1 Vinson & Elkins LLP
CENTERSTATE BANKS, INC. CSFL S-4 Nasdaq Wachtell, Lipton, Rosen & Katz
FIDELITY NATIONAL FINANCIAL, INC. FNF S-4 NYSE Weil, Gotshal & Manges LLP
AMC ENTERTAINMENT INC S-4 Weil, Gotshal & Manges LLP
GABELLI HEALTHCARE & WELLNESSRX TRUST GRXPRA N-2 NYSE Willkie Farr & Gallagher LLP
LTX-CREDENCE CORP LTXC S-3 Nasdaq Wilmer Cutler Pickering Hale and Dorr LLP
IMPRIVATA INC S-1 Wilmer Cutler Pickering Hale and Dorr LLP
ARISTA NETWORKS, INC. S-1 Wilson Sonsini Goodrich & Rosati, P.C.
TRUECAR, INC. S-1 Wilson Sonsini Goodrich & Rosati, P.C.
BNC BANCORP BNCN S-4 Nasdaq Womble Carlyle Sandridge & Rice, LLP
CHANTICLEER HOLDINGS, INC. HOTR S-3 Nasdaq Womble Carlyle Sandridge & Rice, 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.

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IPO Underwriters of the Week: March 31 – April 4

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

VDR_PPC_EMAIL

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3
RESEARCH SOLUTIONS, INC. S-1 Aegis Capital Corp.
PBF LOGISTICS LP S-1 Barclays Capital Inc. UBS Securities LLC
ADVANCED DRAINAGE SYSTEMS, INC. S-1 Barclays Capital Inc. Deutsche Bank Securities Inc. Citigroup Global Markets Inc. / RBC Capital Markets, LLC
NW18 HSN HOLDINGS PLC F-1 Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC
ABENGOA YIELD PLC F-1 Citigroup Global Markets Inc. Merrill Lynch, Pierce, Fenner & Smith Inc.
LUMENA PHARMACEUTICALS, INC. S-1 Citigroup Global Markets Inc. Cowen and Company, LLC Leerink Partners LLC
MEMORIAL RESOURCE DEVELOPMENT CORP. S-1 Citigroup Global Markets Inc.
500.COM LTD F-1 Deutsche Bank Securities Inc. Credit Suisse Securities (USA) LLC Morgan Stanley & Co. International PLC
TRUECAR, INC. S-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC
ARES MANAGEMENT LP S-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman, Sachs & Co. / Morgan Stanley & Co. LLC / Wells Fargo Securities, LLC / Barclays Capital Inc / Citigroup Global Markets Inc. / Credit Suisse Securities (USA) LLC / Deutsche Bank Securities Inc. / RBC Capital Markets, LLC / UBS Securities LLC / BMO
IMPRIVATA INC S-1 J.P. Morgan Securities LLC Piper Jaffray & Co. William Blair & Company, LLC / Wells Fargo Securities, LLC / Stephens Inc.
REGADO BIOSCIENCES INC S-1 Jefferies LLC Deutsche Bank Securities Inc. Cowan and Company
ECM ENERGY SERVICES INC S-1 Maxim Group LLC
TUNIU CORP F-1 Morgan Stanley & Co. International PLC Credit Suisse Securities (USA) LLC China Renaissance Securities (Hong Kong) Ltd.
CHEETAH MOBILE INC. F-1 Morgan Stanley & Co. International PLC J.P. Morgan Securities LLC Credit Suisse Securities (USA) LLC / Macquarie Capital (USA) Inc.
QUINTANA SHIPPING LTD. S-1 Morgan Stanley & Co. LLC Deutsche Bank Securities Inc. Jefferies LLC / ABN AMRO Securities (USA) LLC / DVB Capital Markets LLC / Global Hunter Securities, LLC
ARISTA NETWORKS, INC. S-1 Morgan Stanley & Co. LLC Citigroup Global Markets Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. /  Barclays Capital Inc. /  Credit Suisse Securities (USA) LLC /  Deutsche Bank Securities Inc. / RBC Capital Markets, LLC / Wells Fargo Securities, LLC / Wells Fargo Securities, LLC / Cowen and Company, LLC / JM
MATERIALISE NV F-1 Piper Jaffray & Co. Credit Suisse Securities (USA) LLC BB&T Capital Markets, a division of BB&T Securities, LLC /  Janney Montgomery Scott LLC /  Stephens Inc. /  KBC Securities N.V.
LDR HOLDING CORP S-1 Piper Jaffray & Co. William Blair & Company, L.L.C. Cowen and Company, LLC / RBC Capital Markets, LLC / JMP Securities LLC / Stephens Inc. / Bryan, Garnier & Co.
BANKWELL FINANCIAL GROUP, INC. S-1 Sandler O’Neill + Partners, L.P.

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

Have a great week.

Satisfying Regulation Fair Disclosure (RegFD): 8-K, newswire, websites, social media

With today’s one year anniversary of the SEC’s social media guidance added to RegFD, it seems a good a time as any to refresh the details of RegFD.

Issuers have considerable flexibility in determining how to satisfy the public disclosure requirements of RegFD. The public disclosure requirement can be satisfied by filing the information in a Form 8-K or by any other non-exclusionary method of disclosure that is reasonably designed to provide broad public access to the information.

RegFD was implemented October 2000 to address perceived abuses involving the selective disclosure of material nonpublic information to analysts, institutional shareholders and others with the opportunity to profit from such information. Prior to the adoption of RegFD, a number of public companies were disclosing earnings results and other nonpublic information to analysts and institutional investors before broadly disseminating that information to the general public. The SEC believed this informational disparity undermined the investing public’s confidence in the fairness and integrity of securities markets, since those who were privy to such information had the opportunity to profit at the expense of the uninformed.

BWO_038L

 

At the time RegFD was adopted, the SEC recognized the potential for using website disclosure as an acceptable means of satisfying the “public disclosure” requirement of RegFD, but stopped short of concluding that such disclosure would, by itself, suffice.

In August 2008, the SEC issued an Interpretative ReleaseCommission Guidance on the Use of Company Websites – in which it concluded that certain issuers could, subject to certain conditions, satisfy the public disclosure requirement under RegFD by posting information to their websites. To take advantage of this means of satisfying the disclosure requirement, an issuer must that its website is a recognized channel of distribution and that the disclosed information is posted and accessible on the website and has been “disseminated” for purposes of the regulation.

In this regard, the release noted that whether a company’s website is a “recognized channel of distribution” will depend on the steps the company has taken to alert the market to its website and its disclosure practices, as well as the use by investors and the market of the company’s website. Similarly, one of the factors to be considered in determining whether information on the website has been “disseminated” for purposes of RegFD is whether the company has made investors and the markets aware that it will post information on its website. While the release did not provide “bright-line” guidance as to when the public disclosure requirements of RegFD could be satisfied by an issuer’s website posting, it did provide a non-exclusive list of considerations that an issuer could use to make such a determination.

Questions regarding the legality and propriety of public disclosure through websites resurfaced when Netflix and its CEO, Reed Hastings, received Wells notices from the SEC staff communicating the staff’s intent to recommend an enforcement action against them for violation of RegFD. The staff’s action was in response to a July 2012 post on Mr. Hastings’ Facebook page, stating that in June 2012 monthly viewing of Netflix had exceeded a billion hours for the first time ever. Within two trading days of Mr. Hastings’ post, Netflix’s stock price had risen by nearly 20%, although it is not clear whether this rise was due to the Facebook post or other factors. The SEC ultimately determined not to bring an enforcement action against Netflix or Mr. Hastings. However, it released a 21A report of investigation to provide guidance to issuers regarding how RegFD and the earlier guidance in its 2008 Interpretive Release on the use of company websites apply to disclosures made through social media channels.

Click the image to request our free Corporate Governance Handbook.

Click the image to request our free Corporate Governance Handbook.

The April 3, 2013 report noted that in light of the direct and immediate communication made possible by social media channels, the SEC expected issuers to rigorously examine whether a particular channel is a “recognized channel of distribution” prior to disclosing any material information through it. To this end, the SEC emphasized that, as outlined in its 2008 Interpretive Release, the investing public should be alerted to the channels of distribution a company will use to disseminate material nonpublic information. The SEC suggested that a company could provide appropriate notice to the investing public by disclosing on its website the specific social media channels the company intends to use for the dissemination of material nonpublic information. The SEC cautioned that the disclosure of material nonpublic information on the personal social media site of an individual corporate officer – without advance notice to investors that the site could be used for such purpose – would likely be a violation of RegFD.

What is Material Information? RegFD only prohibits the selective disclosure of material information. RegFD does not define materiality, but instead relies on the definition that has developed through case law. Based on the general principles established by the courts, information would be considered material if:

  • There is a substantial likelihood that a reasonable investor would consider it important in making an investment decision
  • It would be viewed by a reasonable investor as significantly altering the total mix of information available
  • It is reasonably certain to have a substantial effect on the market price of the issuer’s securities

Given the fact-dependent nature of the analysis, there is no bright-line rule as to what should be considered material for purposes of RegFD. In the adopting release for RegFD, however, the SEC provided a non-exclusive list of the types of information and events that issuers should carefully review to assess materiality:

  • Earnings information
  • Mergers, acquisitions, tender offers, joint ventures or changes in assets
  • New products or discoveries, or developments regarding customers or suppliers (e.g., the acquisition or loss of a contract)
  • Changes in control or in management
  • Change in auditors or auditor notification that the issuer may no longer rely on an auditor’s audit report
  • Events regarding the issuer’s securities — e.g., defaults on senior securities, calls of securities for redemption, repurchase plans, stock splits or changes in dividends, changes to the rights of security holders, public or private sales of additional securities
  • Bankruptcies or receiverships

The SEC has made clear that any communication between an issuer and analysts regarding earnings involves a high degree of risk under RegFD. As a result, any information that an issuer plans to disclose to an analyst should be carefully scrutinized to confirm that it is not material or has already been publicly disseminated. If those determinations cannot be made with certainty, the issuer should consider the information material and comply with the public disclosure requirements of RegFD.

How Investors Consume Content Q#3: In regard to “shareholder confidence,” which statement is mostly true for you? (who do you trust more?)

In context to the High Frequency Trading shenanigans that have been in the news lately (read THIS story from yesterday’s WSJ as well as read our perspective on not enabling HFT) a question to investors about trust seemed appropriate and timely.

Specially, are the issuers being ‘lumped in” with the Wall Street investment process? Is investor relations able to communicate “confidence” in light of the ongoing stories of bad decisions coming from Wall Street? One bad apple, et al.

Fortunately, investors do differentiate between the equities and “Wall Street.” Run the math – investors trust the companies almost  5X (44% v 8%) more. High fives and fist bumps for IR!

CLICK TO ENLARGE

 

.Cick here for a blog post about our IR website services.

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Have a great day.

Master Limited Partnerships (MLP) Companies to Webcast Live, April 3rd at WealthManagement.com Investor Conference

Main Street and Wall Street investors to attend at RetailInvestorConferences.com

New York, NY, March 31, 2014 /PRNewswire/ — WealthManagement.com, working with PR Newswire and other organizations, today announced the agenda of the upcoming RetailInvestorConferences.com, the monthly online investor conference series. Individual investors, institutional investors and analysts are invited.

RIC_lobby

CLICK THE IMAGE to pre-register and save time: There is no fee for anyone to log-in, attend the live presentations and ask questions.

LINK: www.retailinvestorconferences.com > red “register/ watch event now” button

April 3rd Agenda: all times are Eastern standard

9:15 AM National Association of Publicly Traded Partnerships NAPTP Executive Director Keynote
10:00 AM Tortoise Capital Advisors LLC
10:45 AM CVR Partners, LP NYSE: UAN
11:30 PM EV Energy Partners LP NASDAQ: EVEP
12:15 PM StoneMor Partners LP NYSE: STON
1:00 PM MainGate MLP Fund OTC: AMLPX, MLCPX (as of 3/31/14) and IMLPX
1:45 PM OCI Partners LP NYSE: OCIP

MLPs are favored by many retail investors because they offer the affordability and liquidity of corporate stocks and bonds combined with the advantages of investing in a partnership. MLPs generally pay investors regular cash distributions, and many offer growth potential as well. There are more than 90 MLPs on the market, with the majority in industries related to energy and natural resources.

The next event is May 1st, 2014 — time slots are filling quickly: It is recommended that public companies book their preferred time slot now. Click here to email John Viglotti at PR Newswire. IR firms and PR firms are invited to contact Viglotti.

Planning calendar available: To facilitate investor relations scheduling and budgeting, a full calendar of Retail Investor Conferences.com dates is available at http://www.retailinvestorconferences.com/VRIC_calendar.html

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About RetailInvestorConferences.com

Since 2010, RetailInvestorConferences.com, created by BetterInvesting (NAIC)PR Newswire and MUNCmedia, has been the only monthly virtual investor conference series that provides an interactive forum for presenting companies to meet directly with retail investors using a graphically-enhanced online platform.

Designed to replicate the look and feel of location-based investor conferences, Retail Investor Conferences unites PR Newswire’s leading-edge online conferencing and investor communications capabilities with BetterInvesting’s extensive retail investor audience network.

Media Contacts:

Bradley H. Smith
Director of Marketing, IR and Compliance Services
PR Newswire
+1.201.947.7157
bradley.smith@prnewswire.com

IPOs and Transactions: March 24 – 28

There were 60 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including XG Technology Inc. w/ Shearman & Sterling LLP + Robinson Brog Leinwand Greene Genovese & Gluck PC, Icahn Enterprises LP w/ Proskauer Rose LLP and Pzena Investment Management Inc. w/ Skadden, Arps, Slate, Meagher & Flom LLP.

We appreciate that they selected to work with us and we’re pleased that they found us both accurate and affordable.

VDR_PPC_EMAIL

Registrant Symbol Form Exchange Law firm / advisor
RCS CAPITAL CORP RCAP S-4 NYSE Akerman LLP
DOMINION MIDSTREAM PARTNERS, LP S-1 Andrews Kurth LLP
TITAN INTERNATIONAL INC TWI S-4 NYSE Bodman PLC
RCS CAPITAL CORP RCAP S-4 NYSE Bracewell & Giuliani LLP
BIOMET INC S-1 Cleary Gottlieb Steen & Hamilton LLP
AETOS CAPITAL DISTRESSED INVESTMENT STRATEGIES FUND LLC N-2 Clifford Chance US LLP
AETOS CAPITAL LONG/SHORT STRATEGIES FUND LLC N-2 Clifford Chance US LLP
AETOS CAPITAL MULTI-STRATEGY ARBITRAGE FUND LLC N-2 Clifford Chance US LLP
ARIOSA DIAGNOSTICS, INC. S-1 Cooley LLP
IRIDIUM COMMUNICATIONS INC. IRDMU S-3 Nasdaq Cooley LLP
SYNDAX PHARMACEUTICALS INC S-1 Cooley LLP
CYRUSONE INC. CONE S-3 Nasdaq Cravath, Swaine & Moore LLP
ARIOSA DIAGNOSTICS, INC. S-1 Davis Polk & Wardwell LLP
HD SUPPLY HOLDINGS, INC. HDS S-1 Nasdaq Debevoise & Plimpton LLP
SERVICEMASTER GLOBAL HOLDINGS INC S-1 Debevoise & Plimpton LLP
VOXELJET AG VJET F-1 NYSE Dechert LLP
TUBEMOGUL INC S-1 DLA Piper LLP (US)
TUBEMOGUL INC S-1 Fenwick & West LLP
ACTAVIS PLC S-4 NYSE Forest Laboratories, Inc.
ELLINGTON RESIDENTIAL MORTGAGE REIT EARN S-11 NYSE Fried, Frank, Harris, Shriver & Jacobson LLP
ADT CORP ADT S-4 NYSE Gibson, Dunn & Crutcher LLP
BOX INC S-1 Goodwin Procter LLP
MAPI – PHARMA LTD F-1 Gross, Kleinhendler, Hodak, Halevy, Greenberg & Co.
MAPI – PHARMA LTD F-1 Haynes and Boone, LLP
IBERIABANK CORP IBKC S-4 Nasdaq Haynie Rake Repass & Lowry, P.C.
ACTINIUM PHARMACEUTICALS, INC. ATNM S-3 OTC Hiscock & Barclay, LLP
SYNDAX PHARMACEUTICALS INC S-1 Hogan Lovells US LLP
ELLINGTON RESIDENTIAL MORTGAGE REIT EARN S-11 NYSE Hunton & Williams LLP
RCS CAPITAL CORP RCAP S-4 NYSE Investors Capital Holdings, Ltd.
AXIALL CORP/DE/ AXLL S-4 NYSE Jones Day
IBERIABANK CORP IBKC S-4 Nasdaq Jones Walker LLP
AFS SENSUB CORP. S-3 Katten Muchin Rosenman LLP
WHEELER REAL ESTATE INVESTMENT TRUST, INC. WHLR S-11 Nasdaq Kaufman & Canoles, P.C.
NORDSTROM INC JWN S-4 NYSE Lane Powell PC
ACTAVIS PLC S-4 NYSE Latham & Watkins LLP
PELICAN LANDING GOLF RESORT VENTURES INC S-4 Latham & Watkins LLP
REGENCY ENERGY PARTNERS LP RGP S-3 NYSE Latham & Watkins LLP
SEAWORLD ENTERTAINMENT, INC. SEAS S-1 NYSE Latham & Watkins LLP
SIRVA INC S-1 Latham & Watkins LLP
NEMAURA MEDICAL INC. S-1 Loeb & Loeb LLP
CAPITAL ONE AUTO RECEIVABLES LLC S-3 Mayer Brown LLP
WHEELER REAL ESTATE INVESTMENT TRUST, INC. WHLR S-11 Nasdaq McCarter & English, LLP
MILLENIA HOPE INC MLHI 10-12G Millenia Hope, Inc.
CADUS CORP KDUS S-1 OTC Morrison Cohen LLP
YADKIN FINANCIAL CORP YDKN S-4 Nasdaq Nelson Mullins Riley & Scarborough LLP
NORDSTROM INC JWN S-4 NYSE Nordstrom, Inc.
FORWARD INDUSTRIES INC FORD S-1 Nasdaq Olshan Frome Wolosky LLP
VOXELJET AG VJET F-1 NYSE Paul Hastings LLP
HOUGHTON MIFFLIN HARCOURT CO HMHC S-1 Nasdaq Paul, Weiss, Rifkind, Wharton & Garrison LLP
INUVO, INC. INUV S-3 NYSE Pearlman Schneider LLP
SOLITARIO EXPLORATION & ROYALTY CORP. XPL S-3 NYSE Polsinelli PC
ICAHN ENTERPRISES L.P. IEP S-4 Nasdaq Proskauer Rose LLP
RCS CAPITAL CORP RCAP S-4 NYSE Proskauer Rose LLP
CBD ENERGY LTD YBD F-1 Reed Smith LLP
XG TECHNOLOGY, INC. XGTI S-1 Nasdaq Robinson Brog Leinwand Greene Genovese & Gluck P.C.
CARTER WILLIAM CO S-4 Ropes & Gray LLP
HD SUPPLY HOLDINGS, INC. HDS S-1 Nasdaq Ropes & Gray LLP
KARYOPHARM THERAPEUTICS INC. KPTI S-1 Nasdaq Ropes & Gray LLP
MERCURY PAYMENT SYSTEMS, INC. S-1 Nasdaq Ropes & Gray LLP
REALCO INTERNATIONAL, INC S-1 Securities Compliance Group, Ltd.
500.COM LTD WBAI F-1 NYSE Shearman & Sterling LLP
TITAN INTERNATIONAL INC TWI S-4 NYSE Shearman & Sterling LLP
XG TECHNOLOGY, INC. XGTI S-1 Nasdaq Shearman & Sterling LLP
GEOSPATIAL CORP GSPH S-1 OTC Sherrard, German & Kelly, P.C.
RR DONNELLEY & SONS CO RRD S-3 Nasdaq Sidley Austin LLP
500.COM LTD WBAI F-1 NYSE Simpson Thacher & Bartlett
KILGORE COMPANIES, LLC S-4 Simpson Thacher & Bartlett LLP
MERCURY PAYMENT SYSTEMS, INC. S-1 Nasdaq Simpson Thacher & Bartlett LLP
SEAWORLD ENTERTAINMENT, INC. SEAS S-1 NYSE Simpson Thacher & Bartlett LLP
SERVICEMASTER GLOBAL HOLDINGS INC S-1 Simpson Thacher & Bartlett LLP
PZENA INVESTMENT MANAGEMENT, INC. PZN S-3 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
TRIANGLE PETROLEUM CORP TPLM S-3 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
WESTERN ASSET MORTGAGE CAPITAL CORP WMC S-3 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
SPECTRUM PHARMACEUTICALS INC SPPI S-3 Nasdaq Stradling Yocca Carlson & Rauth
SOLAR CAPITAL LTD. SLRC N-2 Nasdaq Sutherland Asbill & Brennan LLP
SOLAR SENIOR CAPITAL LTD. SUNS N-2 Nasdaq Sutherland Asbill & Brennan LLP
SYNDAX PHARMACEUTICALS INC S-1 Syndax Pharmaceuticals, Inc.
PERNIX GROUP, INC. PRXG S-1 OTC Thompson Coburn LLP
CACHE INC CACH S-3 Nasdaq Thompson Hine LLP
CRESTWOOD MIDSTREAM PARTNERS LP CMLP S-3 NYSE Vinson & Elkins L.L.P.
DOMINION MIDSTREAM PARTNERS, LP S-1 Vinson & Elkins L.L.P.
ACTAVIS PLC S-4 NYSE Wachtell, Lipton, Rosen & Katz
PELICAN LANDING GOLF RESORT VENTURES INC S-4 WCI Communities, Inc.
SIRVA INC S-1 Weil, Gotshal & Manges LLP
CARTER WILLIAM CO S-4 William Carter Company
DURATA THERAPEUTICS, INC. DRTX S-3 Nasdaq Wilmer Cutler Pickering Hale and Dorr LLP
KARYOPHARM THERAPEUTICS INC. KPTI S-1 Nasdaq Wilmer Cutler Pickering Hale and Dorr LLP
BOX INC S-1 Wilson Sonsini Goodrich & Rosati, P.C.
YADKIN FINANCIAL CORP YDKN S-4 Nasdaq Womble Carlyle Sandridge & Rice, LLP
MAPI – PHARMA 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.

x

 

IPO Underwriters of the Week: March 24 – 28

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

VDR_PPC_EMAIL

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3
MAPI – PHARMA LTD F-1 Aegis Capital Corp.
DOMINION MIDSTREAM PARTNERS, LP S-1 Barclays Capital Inc. Citigroup Global Markets Inc.
HOUGHTON MIFFLIN HARCOURT CO S-1 Barclays Capital Inc. Credit Suisse Securities (USA), LLC Morgan Stanley & Co. LLC
ELLINGTON RESIDENTIAL MORTGAGE REIT S-11 Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc.
SYNDAX PHARMACEUTICALS INC S-1 Deutsche Bank Securities Inc. Jefferies LLC JMP Securities LLC / Wedbush Securities Inc.
500.COM LTD F-1 Deutsche Bank Securities Inc. Credit Suisse Securities (USA) LLC Morgan Stanley & Co. International PLC
BIOMET INC S-1 Goldman, Sachs & Co.
SEAWORLD ENTERTAINMENT, INC. S-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC
ACTAVIS PLC S-4 J.P. Morgan
SERVICEMASTER GLOBAL HOLDINGS INC S-1 J.P. Morgan Securities LLC Credit Suisse Securities (USA) LLC Goldman, Sachs & Co. / Morgan Stanley & Co. LLC
ARIOSA DIAGNOSTICS, INC. S-1 J.P. Morgan Securities LLC Citigroup Global Markets, Inc. Leerink Partners LLC / William Blair & Company, LLC
MERCURY PAYMENT SYSTEMS, INC. S-1 J.P. Morgan Securities LLC Barclays Capital Inc. Morgan Stanley & Co. LLC
WHEELER REAL ESTATE INVESTMENT TRUST, INC. S-11 Maxim Group LLC Newbridge Securities Corp.
HD SUPPLY HOLDINGS, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Barclays Capital Inc. Credit Suisse Securities (USA) LLC / J.P. Morgan Securities LLC /  Citigroup Global Markets Inc. / Deutsche Bank Securities Inc. /  Goldman, Sachs & Co.  / Morgan Stanley & Co. LLC / UBS Securities  LLC / Wells Fargo Securities, LLC / Robert W. Baird & Co
KARYOPHARM THERAPEUTICS INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Leerink Partners LLC JMP Securities LLC / Wedbush Securities Inc. / Oppenheimer & Co. Inc.
TUBEMOGUL INC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. RBC Capital Markets, LLC / BMO Capital Markets Corp. / Oppenheimer & Co. Inc.
ACTINIUM PHARMACEUTICALS, INC. S-3 MLV & Co. LLC
BOX INC S-1 Morgan Stanley & Co. LLC Credit Suisse Securities (USA) LLC J.P. Morgan Securities LLC / BMO Capital Markets Corp. / Canaccord Genuity Inc. /  Pacific Crest Securities LLC / Raymond James & Associates, Inc. /  Wells Fargo Securities, LLC
SIRVA INC S-1 Morgan Stanley & Co. LLC Goldman, Sachs & Co. J.P. Morgan Securities LLC / Robert W. Baird & Co. Inc. / William Blair & Company, L.L.C.
VOXELJET AG F-1 Piper Jaffray & Co. Citigroup Global Markets Ltd. Cowen and Company, LLC / Stephens Inc.
XG TECHNOLOGY, INC. S-1 Roth Capital Partners, LLC Feltl and Company, Inc.

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