IPOs and Transactions: February 16 – 20 ~ w/ LinkedIn invite

There were 30 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Rock Creek Pharmaceuticals Inc. w/ Foley & Lardner LLP, Macquarie Infrastructure Co Inc. w/ White & Case LLP and American Realty Capital NYC REIT II w/ Foley & Lardner LLP and Proskauer Rose LLP.

We appreciate that they selected to work with us and we’re pleased that they found us to be the intelligent value for 2015.

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Registrant Symbol Form Exchange Law firm / Advisor
ALLSTATE LIFE INSURANCE CO ~ S-3 ~ Allstate Life Insurance Company
APPLIED MINERALS, INC. AMNL S-1 ~ Applied Minerals, Inc.
ARCADIA BIOSCIENCES, INC. ~ S-1 ~ Arcadia Biosciences, Inc.
BRILLIANT ACQUISITION,INC. ~ 10-12G ~ Brilliant Acquisition, Inc.
GAIA, INC. ~ 10-12B ~ Brownstein Hyatt Farber Schreck, LLP
ARCADIA BIOSCIENCES, INC. ~ S-1 ~ Cooley LLP
EASIC CORP ~ S-1 ~ Cooley LLP
MAJESCO ~ S-4 ~ Cover-All Technologies Inc.
ULTRA CLEAN HOLDINGS, INC. UCTT S-3 Nasdaq Davis Polk & Wardwell LLP
CRESCENT CAPITAL BDC, INC. ~ 10-12G ~ Dechert LLP
TRILOMA EIG GLOBAL ENERGY FUND, LLC ~ N-2 ~ Dechert LLP
TRILOMA EIG TRUST ~ N-2 ~ Dechert LLP
CONTEXT FUNDAMENTAL VALUE LONG/SHORT FUND ~ N-2 ~ Drinker Biddle & Reath, LLP
EASIC CORP ~ S-1 ~ eASIC Corporation
TRILOMA EIG GLOBAL ENERGY FUND, LLC ~ N-2 ~ EIG Global Energy Partners, LLC
TRILOMA EIG TRUST ~ N-2 ~ EIG Global Energy Partners, LLC
ROCK CREEK PHARMACEUTICALS, INC. RCPI S-3 Nasdaq Foley & Lardner LLP
SOLAREDGE TECHNOLOGIES INC ~ S-1 Nasdaq Gibson, Dunn & Crutcher LLP
PRUCO LIFE OF NEW JERSEY VARIABLE CONTRACT REAL PROPERTY ACC ~ S-1 ~ Goodwin Procter LLP
PRUCO LIFE VARIABLE CONTRACT REAL PROPERTY ACCOUNT ~ S-1 ~ Goodwin Procter LLP
COLLABRX, INC. CLRX S-1 Nasdaq Goodwin Procter LLP
JERNIGAN CAPITAL, INC. ~ S-11 ~ Greenberg Traurig, LLP
HERZFELD CARIBBEAN BASIN FUND INC CUBA N-2 Nasdaq Herzfeld Caribbean Basin Fund, Inc.
CELLECTIS S.A. ~ F-1 ~ Jones Day
PHILADELPHIA ENERGY SOLUTIONS INC. ~ S-1 ~ Latham & Watkins LLP
CELLECTIS S.A. ~ F-1 ~ Latham & Watkins LLP
STAMPS.COM INC STMP S-3 Nasdaq Manatt, Phelps & Phillips, LLP
LAWSON PRODUCTS INC/NEW/DE/ LAWS S-3 Nasdaq McDermott Will & Emery LLP
PIERIS PHARMACEUTICALS, INC. PIRS S-1 OTC Markets Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
JERNIGAN CAPITAL, INC. ~ S-11 ~ Morrison & Foerster LLP
GLOBAL TECHNOLOGIES CORP ~ S-1 ~ Office of Richard Rubin
SOLAREDGE TECHNOLOGIES INC ~ S-1 Nasdaq O’Melveny & Myers LLP
OPULENT ACQUISITION, INC. ~ 10-12G ~ Opulent Acquisition, Inc.
ARCADIA BIOSCIENCES, INC. ~ S-1 ~ Orrick, Herrington & Sutcliffe LLP
MAJESCO ~ S-4 ~ Pepper Hamilton LLP
HERZFELD CARIBBEAN BASIN FUND INC CUBA N-2 Nasdaq Pepper Hamilton LLP
EASIC CORP ~ S-1 ~ Pillsbury Winthrop Shaw Pittman LLP
AMERICAN REALTY CAPITAL NEW YORK CITY REIT II, INC. ~ S-11 ~ Proskauer Rose LLP
AMERICAN REALTY CAPITAL NEW YORK CITY REIT II, INC. ~ S-11 ~ RCS Capital
CATALENT, INC. CTLT S-1 NYSE Shearman & Sterling L.L.P.
COLLABRX, INC. CLRX S-1 Nasdaq Sichenzia Ross Friedman Ference LLP
DAIMLER TRUST LEASING LLC ~ S-3 ~ Sidley Austin LLP
MAJESCO ~ S-4 ~ Sills Cummis & Gross P.C.
CATALENT, INC. CTLT S-1 NYSE Simpson Thacher & Bartlett LLP
SOLAREDGE TECHNOLOGIES INC ~ S-1 Nasdaq SolarEdge Technologies, Inc.
STAMPS.COM INC STMP S-3 Nasdaq Stamps.com Inc.
GLOBAL TECHNOLOGIES CORP ~ S-1 ~ Thomas J. Craft, Jr., Esq.
TRILOMA EIG GLOBAL ENERGY FUND, LLC ~ N-2 ~ Triloma Financial Group, LLC
TRILOMA EIG TRUST ~ N-2 ~ Triloma Financial Group, LLC
PHILADELPHIA ENERGY SOLUTIONS INC. ~ S-1 ~ Vinson & Elkins L.L.P.
MACQUARIE INFRASTRUCTURE CO LLC MIC S-4 NYSE White & Case 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: February 16 – 20 (plus LinkedIn invite)

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 +
ALLSTATE LIFE INSURANCE CO S-3 Allstate Distributors, L.L.C. ~ ~
ARCADIA BIOSCIENCES, INC. S-1 Credit Suisse Securities LLC J.P. Morgan Securities LLC Piper Jaffray & Co.
SOLAREDGE TECHNOLOGIES INC S-1 Goldman, Sachs & Co. Deutsche Bank Securities Inc. Needham & Company, LLC / Canaccord Genuity Inc. / Roth Capital Partners LLC
PHILADELPHIA ENERGY SOLUTIONS INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Credit Suisse Securities LLC ~
CELLECTIS S.A. F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Jefferies LLC Piper Jaffray & Co. / Oppenheimer & Co. Inc. / Trout Capital LLC
EASIC CORP S-1 Morgan Stanley & Co. LLC Deutsche Bank Securities Inc. Raymond James & Associates, Inc. / Robert W. Baird & Co. Inc. / William Blair & Company, L.L.C. / Roth Capital Partners, LLC / Northland Securities, Inc.
CATALENT, INC. S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC ~
PRUCO LIFE OF NEW JERSEY VARIABLE CONTRACT REAL PROPERTY ACC S-1 Pruco Securities, LLC ~ ~
PRUDENTIAL VARIABLE CONTRACT REAL PROPERTY ACCOUNT S-1 Pruco Securities, LLC ~ ~
JERNIGAN CAPITAL, INC. S-11 Raymond James & Associates, Inc. ~ ~

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

Have a great week.

Vintage to Lead Social Media Discussion at NYSE Governance Services West Coast Boardroom Summit & Peer Exchange

“Social Media: Communications, Compliance, or Just Plain Circumspect?” session to be held in Westlake Village, CA, February 25 – 26

Vinatge_nyse

We’re here early for the sound check. 1 – 2 – 3 – 4 check, check…

NEW YORK, February 18, 2015 / — Vintage, the capital markets, corporate services and institutional & fund services division of PR Newswire, today announced that the company will be hosting an interactive roundtable with board members, C-level executives and general counsel from public companies at the NYSE Governance Services West Coast Boardroom Summit & Peer Exchange.

Social Media: Communications, Compliance, or Just Plain Circumspect?

“In today’s environment, where social media is changing the way companies communicate and disclose information to customers and shareholders, boards need to understand the key trends affecting social media and the associated risks. This discussion will look at how companies can use social media to announce key information, improve marketing and customer service efforts, and steps companies should take to avoid social media blunders by key employees or what to do when a blunder occurs.”

Hosting the discussion will be Bradley H. Smith, Director of Marketing, IR and Compliance Services at PR Newswire & Vintage. Smith is a frequent presenter, pundit and blogger on shareholder communications and corporate compliance.

This conference is a continuing example of the NYSE Governance Services’ ongoing leadership and value the NYSE brings to its issuers. Vintage is proud to be an active participant.

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About Vintage

Vintage, a PR Newswire division, is a top-three provider of full-service regulatory compliance and shareholder communications services, delivered across our three practice areas: Capital Markets, Corporate Services and Institutional & Fund Services.

Founded in 2002 and acquired by PR Newswire in 2007, Vintage has evolved to become the industry’s intelligent value choice. We deliver a flexible balance of people, facilities and technology to ensure that regulatory compliance and shareholder communications processes are efficient, transparent and painless. Services include IPO registrations, transactions, virtual data rooms, EDGAR & XBRL filing, typesetting, financial printing and investor relations websites. www.thevintagegroup.com

About PR Newswire

PR Newswire (www.prnewswire.com) 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 60 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. www.prnewswire.com

Media Contact:

Bradley H. Smith
Director of Marketing, IR and Compliance Services
PR Newswire & Vintage
+1 201.942.7157
bradley.smith@prnewswire.com

IPOs and Transactions: February 9 – 13 / plus S-1 workflow whitepaper

There were 47 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including XCEL Brands w/ Blank Rome LLP and Morgan, Lewis & Bockius LLP, Urigen Pharmaceuticals Inc. w/ Loeb & Loeb LLP and Soul & Vibe Interactive 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 for 2015.

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Registrant Symbol Form Exchange Law firm / Advisor
RENASANT CORP RNST S-4 Nasdaq Alston & Bird LLP
APPLICABLE ENTERPRISES INC. ~ S-1 ~ Applicable Enterprises Inc.
CHESAPEAKE UTILITIES CORP CPK S-4 NYSE Baker & Hostetler LLP
EQT GP HOLDINGS, LP ~ S-1 ~ Baker Botts L.L.P.
KLOX TECHNOLOGIES, INC. ~ F-1 Nasdaq BCF LLP
XCEL BRANDS, INC. XELB S-1 OTC Markets Blank Rome LLP
MANITEX INTERNATIONAL, INC. MNTX S-3 Nasdaq Bryan Cave LLP
OPTILEAF, INC. ~ S-1 ~ Byrd & Byrd, PL
UBS COMMERCIAL MORTGAGE SECURITIZATION CORP. ~ S-3 ~ Cadwalader, Wickersham & Taft LLP
HEYU LEISURE HOLIDAYS CORP ~ S-1 ~ Cassidy & Associates
PROTEA BIOSCIENCES GROUP, INC. PRGB S-1 OTC Markets CKR Law LLP
NATIONAL STORAGE AFFILIATES TRUST ~ S-11 ~ Clifford Chance US LLP
VIEWRAY INC ~ S-1 ~ Cooley LLP
KLOX TECHNOLOGIES, INC. ~ F-1 Nasdaq Cooley LLP
VALERITAS INC ~ S-1 Nasdaq Cooley LLP
LUNA INNOVATIONS INC LUNA S-4 Nasdaq Cooley LLP
BOOT BARN HOLDINGS, INC. BOOT S-1 NYSE Cravath, Swaine & Moore LLP
PGI SPECIALTY MATERIALS, INC. ~ S-1 ~ Davis Polk & Wardwell LLP
Q2 HOLDINGS, INC. QTWO S-1 NYSE DLA Piper LLP
ASCENT SOLAR TECHNOLOGIES, INC. ASTI S-3 Nasdaq Faegre Baker Daniels LLP
DIGI OUTDOOR MEDIA INC. ~ S-1 ~ Fifth Avenue Law Group, PLLC
HEALTH INSURANCE INNOVATIONS, INC. HIIQ S-3 Nasdaq Foley & Lardner LLP
ENDONOVO THERAPEUTICS, INC. ENDV S-1 ~ Frank J. Hariton, Esq.
FRESH PROMISE FOODS, INC. FPFID S-1 ~ Fresh Promise Foods, Inc.
NEW FUEL SYSTEMS INC. ~ F-1 ~ Gary R. Henrie, Attorney at Law
KLOX TECHNOLOGIES, INC. ~ F-1 Nasdaq Goodwin Procter LLP
VIGGLE INC. VGGL S-3 Nasdaq Greenberg Traurig, LLP
FORTUNESWELL CORP ~ S-1 ~ Harold Gewerter, Esq., Ltd.
CALLON PETROLEUM CO CPE S-3 NYSE Haynes and Boone, LLP
PAZOO, INC. PZOO S-1 ~ Heimerl Law Firm
RENASANT CORP RNST S-4 Nasdaq Heritage Financial Group, Inc.
JOYMAIN INTERNATIONAL DEVELOPMENT GROUP INC. JIDG S-1 OTC Markets Hunter Taubman Weiss LLP
EASTSIDE DISTILLING, INC. ESDI S-1 ~ Indeglia & Carney, LLP.
CROW POINT GLOBAL DIVIDEND PLUS FUND ~ N-2 ~ James B. Craver & Associates, P.C.
EMERGENT HEALTH CORP. EMGE S-1 ~ Jeffrey G. Klein, Attorney At Law
IBERIABANK CORP IBKC S-4 Nasdaq Jones Walker LLP
GO EZ CORP GEZC S-1 ~ LAR Law Group P.C.
NATIONAL STORAGE AFFILIATES TRUST ~ S-11 ~ Latham & Watkins LLP
VIEWRAY INC ~ S-1 ~ Latham & Watkins LLP
VALERITAS INC ~ S-1 Nasdaq Latham & Watkins LLP
URIGEN PHARMACEUTICALS, INC. ~ S-1 ~ Loeb & Loeb LLP
KIBUSH CAPITAL CORP ~ 10-12G ~ McGee Law Firm, LLC
BOOT BARN HOLDINGS, INC. BOOT S-1 NYSE Morgan Lewis & Bockius LLP
XCEL BRANDS, INC. XELB S-1 OTC Markets Morgan, Lewis & Bockius LLP
NANOVIBRONIX, INC. ~ 10-12G ~ NanoVibronix, Inc.
ECLIPSE RESOURCES CORP ECR S-1 NYSE Norton Rose Fulbright US LLP
ROSE ROCK INC. ~ S-1 ~ Novi & Wilkin Attorneys at Law
REMARK MEDIA, INC. MARK S-3 Nasdaq Olshan Frome Wolosky LLP
KLOX TECHNOLOGIES, INC. ~ F-1 Nasdaq Osler, Hoskin & Harcourt LLP
RENASANT CORP RNST S-4 Nasdaq Phelps Dunbar LLP
TEUCRIUM COMMODITY TRUST WEAT S-1 NYSE Reed Smith LLP
PARAMOUNT SUPPLY INC ~ S-1 ~ Rule144 Solution.com
CAPITAL ART, INC. ~ 10-12G ~ Sichenzia Ross Friedman Ference LLP
VUZIX CORP VUZI S-3 Nasdaq Sichenzia Ross Friedman Ference LLP
SOUL & VIBE INTERACTIVE INC. SOUL S-1 OTC Markets Sichenzia Ross Friedman Ference LLP
VERMILLION, INC. VRML S-3 Nasdaq Sidley Austin LLP
PGI SPECIALTY MATERIALS, INC. ~ S-1 ~ Simpson Thacher & Bartlett LLP
SUN PACIFIC POWER CORP ~ 10-12G ~ Sun Pacific Power Corp.
LUNA INNOVATIONS INC LUNA S-4 Nasdaq Tarter Krinsky & Drogin LLP
EQT GP HOLDINGS, LP ~ S-1 ~ Vinson & Elkins L.L.P.
CHESAPEAKE UTILITIES CORP CPK S-4 NYSE Vorys, Sater, Seymour and Pease LLP
Q2 HOLDINGS, INC. QTWO S-1 NYSE Wilson Sonsini Goodrich & Rosati, PC
IBERIABANK CORP IBKC S-4 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.

IPO Underwriters of the Week: February 9 – 13

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.

WP_email_500

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
EQT GP HOLDINGS, LP S-1 Barclays Capital Inc. ~ ~
PGI SPECIALTY MATERIALS, INC. S-1 Citigroup Global Markets Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman, Sachs & Co. / Jefferies LLC / RBC Capital Markets, LLC
VIEWRAY INC S-1 Cowen and Company, LLC Stifel, Nicolaus & Company, Inc. ~
BOOT BARN HOLDINGS, INC. S-1 J.P. Morgan Securities LLC Piper Jaffray & Co. Jefferies LLC / Wells Fargo Securities, LLC / Robert W. Baird & Co. Inc.
Q2 HOLDINGS, INC. S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Stifel, Nicolaus & Company, Inc. / Raymond James & Associates, Inc. / Canaccord Genuity Inc. / Needham & Company, LLC
NATIONAL STORAGE AFFILIATES TRUST S-11 Jefferies LLC Morgan Stanley & Co. LLC Wells Fargo Securities, LLC
FRESH PROMISE FOODS, INC. S-1 JP Carey Enterprises, Inc. ~ ~
ENDONOVO THERAPEUTICS, INC. S-1 Kodiak Capital Partners, LLC ~ ~
VALERITAS INC S-1 Piper Jaffray & Co. Leerink Partners LLC Oppenheimer & Co. Inc.
UBS COMMERCIAL MORTGAGE SECURITIZATION CORP. S-3 UBS Securities LLC ~ ~
KLOX TECHNOLOGIES, INC. F-1 UBS Securities LLC Canaccord Genuity Inc. Needham & Company, LLC / National Bank of Canada Financial Inc.
FORTUNESWELL CORP S-1 Underhill Securities Corp. ~ ~
XCEL BRANDS, INC. S-1 Wunderlich Securities, Inc. ~ ~

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

Have a great week.

How Investors Consume Content Q#17: Do you use the advice from investment blogs or stock opinion newsletters?

Over half of investors look to newsletters for true research (and “opinions”) on your stock. Other than informational, is there a take-away action for IR regarding this? Keep track of what is being said by these investors.

The straight-forward way to do this, if you have not done this already, is browse onto the individual websites (i.e. Seeking Alpha, MarketWatch) and create a “portfolio.” In addition to your ticker, put in your competitors.

Q17_2015_100072

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If you are concerned about “too much” in your email inbox, many of the (free) sites allow you to set up when you want alerts delivered (immediate, daily, weekly).

Will newsletters be germane to your shareholder communications? Mostly not, but they are a free sentiment metric. Don’t make yourself crazy over what is said.

The SEC is closed for Presidents’ Day: Monday, February 16th

In honor of Presidents’ Day, the SEC is closed on Monday, February 16, 2015. No files can be received.

Files submitted after 5:30 pm ET, Friday, February 13, 2015 will receive a filing date of Tuesday, February 17, 2015 and will be posted to the public on February 18, 2015 at 6:00 am ET.

As with other holiday closings, the following file types will receive a Friday, February 13, 2015 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)
  • Rule 462(b) filings (e.g. S-1MEF, S-3MEF, etc.)

For any filing with a due date of Monday, February 16, 2015, the SEC will move the due date to the next business day, Tuesday, February 17, 2015.

Have a great day.