IPOs and Transactions: September 2 – 5

There were 33 transactions filed with the SEC last (holiday) week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Corbus Pharmaceuticals Holdings Inc. w/ Lowenstein Sandler LLP, Symmetry Surgical Inc. w/ Ropes & Gray LLP and ABV Consulting Inc. w/ Szaferman, Lakind, Blumstein & Blader PC.

Learn exactly how we deliver intelligent value: speak with our experts at the Aegis Capital 2014 Healthcare Conference

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Registrant Symbol Form Type Exchange Law firm / Advisor
ROSE ROCK MIDSTREAM, L.P. RRMS S-4 NYSE Andrews Kurth LLP
ENDOSTIM, INC. ~ S-1 ~ Bryan Cave LLP
IWALLET CORP QUSR S-1 OTC Clark Corporate Law Group LLC
PERSHING GOLD CORP. PGLC S-1 OTC Davis Graham & Stubbs LLP
US DRY CLEANING SERVICES CORP UDRYW S-1 ~ Ellenoff Grossman & Schole LLP
ASCENT SOLAR TECHNOLOGIES, INC. ASTI S-1 Nasdaq Faegre Baker Daniels LLP
FRONTERA GROUP INC. ~ S-1 ~ Frontera Group Inc.
CELLULAR DYNAMICS INTERNATIONAL, INC. ICEL S-3 Nasdaq Godfrey & Kahn, S.C.
MACKINAC FINANCIAL CORP /MI/ MFNC S-4 Nasdaq Godfrey & Kahn, S.C.
FIRST MIDWEST BANCORP INC FMBI S-4 Nasdaq Great Lakes Financial Resources, Inc.
ARAZU, INC ~ S-1 ~ Hamilton & Associates Law Group, P.A.
NATIONAL RURAL UTILITIES COOPERATIVE FINANCE CORP /DC/ ~ S-4 ~ Hogan Lovells US LLP
MACKINAC FINANCIAL CORP /MI/ MFNC S-4 Nasdaq Honigman Miller Schwartz and Cohn LLP
GALENFEHA, INC. ~ S-1 ~ Karlen & Stolzar, LLP
STOCK BUILDING SUPPLY HOLDINGS, INC. STCK S-3 Nasdaq Kirkland & Ellis LLP
GALENFEHA, INC. ~ S-1 ~ Kyle L. Tingle, CPA, LLCs
KYTHERA BIOPHARMACEUTICALS INC KYTH S-3 Nasdaq Latham & Watkins LLP
NEFF CORP ~ S-1 ~ Latham & Watkins LLP
RADIUS HEALTH, INC. RDHEE S-3 Nasdaq Latham & Watkins LLP
CORBUS PHARMACEUTICALS HOLDINGS, INC. ~ S-1 ~ Lowenstein Sandler LLP
ENDOSTIM, INC. ~ S-1 ~ Lowenstein Sandler LLP
KEARNY FINANCIAL CORP. ~ S-1 ~ Luse Gorman Pomerenk & Schick, P.C.
CONNECTICUT WATER SERVICE INC / CT CTWSP S-3 OTC Murtha Cullina LLP
NL ONE CORP ~ S-1 ~ NL One Corporation
SYMMETRY SURGICAL INC. ~ S-4 ~ Ropes & Gray LLP
SEQUENTIAL BRANDS GROUP, INC. SQBG S-3 Nasdaq Sequential Brands Group, Inc.
FIRST MIDWEST BANCORP INC FMBI S-4 Nasdaq Seyfarth Shaw LLP
MARATHON PATENT GROUP, INC. MARA S-3 Nasdaq Sichenzia Ross Friedman Ference LLP
RENOVACARE, INC. RCAR S-1 OTC Sierchio & Company, LLP
NEFF CORP ~ S-1 ~ Simpson Thacher & Bartlett LLP
PROSPECT CAPITAL CORP PSEC N-2 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
GOOD TIMES RESTAURANTS INC GTIM S-1 Nasdaq Snell & Wilmer L.L.P.
KEARNY FINANCIAL CORP. ~ S-1 ~ Spidi & Fisch, P.C.
ROYAL BANCSHARES OF PENNSYLVANIA INC RBPAA S-3 OTC Stevens & Lee, P.C.
FIRST MIDWEST BANCORP INC FMBI S-4 Nasdaq Sullivan & Cromwell LLP
ABV CONSULTING, INC. ~ S-1 ~ Szaferman, Lakind, Blumstein & Blader, P.C.
E-QURE CORP. ~ S-1 ~ Thomas J. Craft, Jr., Esq.
US DRY CLEANING SERVICES CORP UDRYW S-1 ~ Troutman Sanders LLP
URANIUM ENERGY CORP UEC S-3 NYSE Uranium Energy Corp.
SUNOCO LOGISTICS PARTNERS L.P. SXL S-3 NYSE Vinson & Elkins L.L.P.
UPLAND SOFTWARE, INC. ~ S-1 ~ Wilson Sonsini Goodrich & Rosati, PC
UPLAND SOFTWARE, INC. ~ S-1 ~ Winston & Strawn 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 (Holiday) Week: September 2 – 5

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.

Learn exactly how we deliver intelligent value: speak with our experts at the Aegis Capital 2014 Healthcare Conference

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
US DRY CLEANING SERVICES CORP S-1 Maxim Group LLC ~ ~
NEFF CORP S-1 Morgan Stanley & Co. LLC Jefferies LLC Piper Jaffray & Co.  / Merrill Lynch, Pierce, Fenner & Smith Inc. / Wells Fargo Securities, LLC
ENDOSTIM, INC. S-1 Wedbush Securities Inc. Craig-Hallum Capital Group LLC Roth Capital Partners, LLC
UPLAND SOFTWARE, INC. S-1 William Blair & Company, L.L.C. Raymond James & Associates, Inc. Canaccord Genuity Inc. / Needham & Company, LLC

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

Have a great week.

Emerging Growth Companies Discover Intelligent Value from Vintage at Aegis Capital 2014 Healthcare Conference

M&A, IPO and investor relations drive conversations at annual event Las Vegas NV, Sept 10-13

NEW YORK, Sept  8, 2014 / PR Newswire / — Vintage, the capital markets, corporate services and institutional & fund services division of PR Newswire, today announced that the company will be presenting their Capital Markets and Corporate Services solutions the Aegis Capital Corp. 2014 Healthcare Conference.

Aegis_liamRecognized as the industry’s intelligent value, Vintage’s M&A, transactions and IR specialists will be guiding attendees through the company’s comprehensive solution suite including:

  • Virtual Data Rooms
  • Secondary offering transactions
  • Shareholder communications and investor visibility
  • Cost-effective EDGAR and XBRL programs

Learn how Vintage became the intelligent value for public companies by following the link: http://prn.to/VintageIntelligentValue

Vintage’s President, Liam Power, introduces their in-house drafting capabilities and senior team in this video: http://prn.to/VintageInHouseDrafting

Please visit Vintage today for more information: www.thevintagegroup.com

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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

Eight tips for presenting at virtual investor conferences

Although the content (your story) is the same, presenting an online roadshow is NOT the same as presenting in front of a physical audience.

With over 40 virtual investor events on the board and participation in hundreds of hours of individual presentations by equities at RetailInvestorConferences.com, a few points rise to the surface that may guide your success. To be exact, virtual presentations are live, audio and slide webcasts with “presenter controlled” slide advancement. Online audience members can type and submit questions.

8.) Get a PROFESSIONAL photographer to make a head shot of the presenting executives. All virtual investor conferences (not just ours) request a speaker photo. Don’t use a cropped snapshot. Don’t use an iPhone and “go stand next to that wall.”

Spend the short money. Go to Sears. Go to JC Penny’s. You must do this.

Be cognizant that this is the only image of your presenter the audience will have. Ask yourself, “is that the face of trust?” The face people will give their money to?

7.) Unless your speakerphone is very, very expensive (or you do not have opposable thumbs) pick up and use the phone’s handset. Objectively, it ALWAYS assures the sound quality. Subjectively, the presenter can relax and just “talk normal” and your INVESTORS. DO. NOT. HAVE. TO. LISTEN. TO. THAT. ANNOYING. SPEAKERPHONE. SHOUTING. TONE.

6.) The competition is not a peer in your sector; it’s that cute cat video on YouTube. Get to the point quickly with a concise, 15 minute presentation. At a physical event, companies have the luxury of trapping investors in a room… not so with a virtual event.

Also, use plain English.

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Insight comes from mega to micro-cap presenting companies at RetailInvestorConferences.com

5.) Simplify your slides’ visuals. All webcast platforms shrink your slides down – plus we now have the scale of mobile tablets to think about. Nothing smaller than 24pt font size. Detailed photos, like aerials maps, will be illegible. Crop in to the key point you want to make. No snazzy slide transitions.

4.) Speak sloooooooowly. Although you are on the phone, try to keep the pace of a live presentation. We all tend to talk fast on the phone.

3.) For retail investors, deliver the most important message first. “Yes, we offer dividends.” Asking about dividends is the #1 question asked at RetailInvestorConferences.com.

2.) You may need to seed the Q&A with a couple of your own questions. Live or online, getting over that first question hump is important. Don’t, however, throw a softball – use a real question from your recent earnings call. The goal is not to “fool anyone,” just to get the dialog going.

AND THE NUMBER ONE TIP…

1.) Rehearse the presentation on your company’s WebEx type account to non-technical and non-financial people. This will amplify the pros and cons from the points above.

Have a great day.

IPOs and Transactions: August 25 – 29

There were 67 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Tinan Pharmaceuticals Inc. w / Loeb & Loeb LLP and Lowenstein Sandler LLP, Castle Brands Inc. w/ Greenberg Traurig PA and Eventure Interactive w / Crone Kline Rinde 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
SABINE PASS LIQUEFACTION, LLC ~ S-4 ~ Andrews Kurth LLP
CONE MIDSTREAM PARTNERS LP ~ S-1 ~ Andrews Kurth LLP
CONSTELLATION ENERGY PARTNERS LLC CEP S-4 NYSE Andrews Kurth LLP
PHYSICIANS REALTY TRUST ~ S-3 ~ Baker & McKenzie LLP
KINDER MORGAN, INC. KMIWSWI S-4 NYSE Baker Botts L.L.P.
SPELZON CORP ~ S-1 ~ Bauman & Associates Law Firm
RHYTHM HOLDING COMPANY, LLC ~ S-1 ~ Bingham McCutchen LLP
VERITEX HOLDINGS, INC. ~ S-1 ~ Bracewell & Giuliani LLP
KINDER MORGAN, INC. KMIWSWI S-4 NYSE Bracewell & Giuliani LLP
INTEGRITY CAPITAL INCOME FUND, INC. ~ 10-12G ~ Burns, Figa & Will, P.C.
ZIMMER HOLDINGS INC ZMH S-4 NYSE Cleary Gottlieb Steen & Hamilton LLP
DERMIRA, INC. ~ S-1 ~ Cooley LLP
JAGUAR ANIMAL HEALTH, INC. ~ S-1 ~ Cooley LLP
CALITHERA BIOSCIENCES, INC. ~ S-1 ~ Cooley LLP
TRANSCEPT PHARMACEUTICALS INC TSPT S-4 Nasdaq Cooley LLP
ALLIANT TECHSYSTEMS INC ATK S-4 NYSE Cravath, Swaine & Moore LLP
EVENTURE INTERACTIVE, INC. EVTI S-1 OTC Crone Kline Rinde LLP
PERSHING GOLD CORP. PGLC S-1 OTC Davis Graham & Stubbs LLP
ENOVATION CONTROLS, INC. ~ S-1 ~ Davis Polk & Wardwell LLP
CIVITAS THERAPEUTICS, INC. ~ S-1 ~ Davis Polk & Wardwell LLP
GUARDIAN 8 HOLDINGS GRDH S-1 OTC DeMint Law, PLLC
TEXAS RARE EARTH RESOURCES CORP. TRER S-1 OTC Dorsey & Whitney LLP
DYNATRONICS CORP DYNT S-3 Nasdaq Durham Jones & Pinegar, P.C.
AIR INDUSTRIES GROUP AIRI S-3 NYSE Eaton & Van Winkle LLP
MEDICAN ENTERPRISES, INC. MDCN S-1 OTC Ellenoff Grossman & Schole LLP
VERITEX HOLDINGS, INC. ~ S-1 ~ Fenimore, Kay, Harrison & Ford, LLP
DERMIRA, INC. ~ S-1 ~ Fenwick & West LLP
LENDINGCLUB CORP ~ S-1 ~ Fenwick & West LLP
LIQUIDMETAL TECHNOLOGIES INC LQMT S-3 OTC Foley & Lardner LLP
ENOVATION CONTROLS, INC. ~ S-1 ~ Fulbright & Jaworski LLP
PIONEER ENERGY SERVICES CORP PES S-4 NYSE Fulbright & Jaworski LLP
INTERPHASE CORP INPH S-3 Nasdaq Gardere Wynne Sewell LLP
HUBSPOT INC ~ S-1 ~ Goodwin Procter LLP
PARAMOUNT GROUP, INC. ~ S-11 ~ Goodwin Procter LLP
COLUMBIA BANKING SYSTEM INC COLB S-4 Nasdaq Graham & Dunn, PC
QUEST RESOURCE HOLDING CORP QRHC S-3 Nasdaq Greenberg Traurig, LLP
CASTLE BRANDS INC ROX S-3 NYSE Greenberg Traurig, P.A.
CONNECT INTERACTIVE, INC. ~ S-1 ~ Hateley & Hampton
CHALET LIFESTYLES, INC ~ S-1 ~ Hateley & Hampton
NEUROSIGMA, INC. ~ S-1 ~ Haynes and Boone, LLP
PARAMOUNT GROUP, INC. ~ S-11 ~ Hogan Lovells US LLP
ALLIANT TECHSYSTEMS INC ATK S-4 NYSE Hogan Lovells US LLP
GRUBHUB INC. GRUB S-1 NYSE Kirkland & Ellis LLP
KLX INC. ~ 10-12B ~ KLX Inc.
STORE CAPITAL CORP ~ S-11 ~ Kutak Rock LLP
CONE MIDSTREAM PARTNERS LP ~ S-1 ~ Latham & Watkins LLP
STORE CAPITAL CORP ~ S-11 ~ Latham & Watkins LLP
USD PARTNERS LP ~ S-1 ~ Latham & Watkins LLP
TRANSCEPT PHARMACEUTICALS INC TSPT S-4 Nasdaq Latham & Watkins LLP
DEMAND MEDIA INC. DMD S-3 NYSE Latham & Watkins LLP
KALLO INC. KALO S-1 OTC Law Office of Conrad C. Lysiak, P.S.
TITAN PHARMACEUTICALS INC TTNPE S-1 OTC Loeb & Loeb LLP
TITAN PHARMACEUTICALS INC TTNPE S-1 OTC Lowenstein Sandler LLP
SKYLINE MEDICAL INC. BIOR S-1 OTC Maslon Edelman Borman & Brand, LLP
SAFE LANE SYSTEMS, INC. ~ S-1 ~ Michael A. Littman, Attorney at Law
CALITHERA BIOSCIENCES, INC. ~ S-1 ~ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
INTRA-CELLULAR THERAPIES, INC. ITCI S-3 Nasdaq Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
GRAMERCY PROPERTY TRUST INC. GPT S-3 NYSE Morgan, Lewis & Bockius LLP
SPHERIX INC SPEX S-3 Nasdaq Nixon Peabody LLP
LENDINGCLUB CORP ~ S-1 ~ O’Melveny & Myers LLP
TRANSCEPT PHARMACEUTICALS INC TSPT S-4 Nasdaq Pepper Hamilton LLP
PIXELWORKS, INC PXLW S-3 Nasdaq Pillsbury Winthrop Shaw Pittman LLP
PRUCO LIFE INSURANCE CO ~ S-3 ~ Pruco Life Insurance Company
PRUCO LIFE INSURANCE OF NEW JERSEY ~ S-3 ~ Pruco Life Insurance Company
PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP/CT ~ S-3 ~ Pruco Life Insurance Company
JAGUAR ANIMAL HEALTH, INC. ~ S-1 ~ Reed Smith LLP
SKYLINE MEDICAL INC. BIOR S-1 OTC Reed Smith LLP
SYSOREX GLOBAL HOLDINGS CORP. SYRX S-1 Nasdaq Richardson & Patel LLP
ALBEMARLE CORP ALB S-4 NYSE Rockwood Holdings, Inc.
CIVITAS THERAPEUTICS, INC. ~ S-1 ~ Ropes & Gray LLP
ALBEMARLE CORP ALB S-4 NYSE Shearman & Sterling LLP
SERVICE CORPORATION INTERNATIONAL SCI S-4 NYSE Shearman & Sterling LLP
GREAT WESTERN BANCORP, INC. ~ S-1 ~ Sidley Austin LLP
SENECA GLOBAL FUND, L.P. ~ S-1 ~ Sidley Austin LLP
VIVINT SOLAR, INC. ~ S-1 ~ Simpson Thacher & Bartlett LLP
ALBEMARLE CORP ALB S-4 NYSE Simpson Thacher & Bartlett LLP
CARETRUST REIT, INC. CTRE S-4 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
GRUBHUB INC. GRUB S-1 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
SENECA GLOBAL FUND, L.P. ~ S-1 ~ Steben & Company, Inc.
GREAT WESTERN BANCORP, INC. ~ S-1 ~ Sullivan & Cromwell LLP
COLUMBIA BANKING SYSTEM INC COLB S-4 Nasdaq Sullivan & Cromwell LLP
HARVEST CAPITAL CREDIT CORP HCAP N-2 Nasdaq Sutherland Asbill & Brennan LLP
COATES INTERNATIONAL LTD \DE\ COTE S-1 OTC Szaferman, Lakind, Blumstein & Blader, P.C.
TIDE PETROLEUM CORP. ~ S-1 ~ Tide Petroleum Corp.
QUANTUM FUEL SYSTEMS TECHNOLOGIES WORLDWIDE, INC. QTWW S-3 Nasdaq Troutman Sanders LLP
CONE MIDSTREAM PARTNERS LP ~ S-1 ~ Vinson & Elkins L.L.P.
USD PARTNERS LP ~ S-1 ~ Vinson & Elkins L.L.P.
LEXICON PHARMACEUTICALS, INC./DE LXRX S-3 Nasdaq Vinson & Elkins L.L.P.
WESTERN GAS PARTNERS LP WES S-3 NYSE Vinson & Elkins L.L.P.
KINDER MORGAN, INC. KMIWSWI S-4 NYSE Vinson & Elkins LLP
KINDER MORGAN, INC. KMIWSWI S-4 NYSE Weil, Gotshal & Manges LLP
ZIMMER HOLDINGS INC ZMH S-4 NYSE White & Case LLP
HUBSPOT INC ~ S-1 ~ Wilmer Cutler Pickering Hale and Dorr LLP
RHYTHM HOLDING COMPANY, LLC ~ S-1 ~ Wilmer Cutler Pickering Hale and Dorr LLP
NEUROSIGMA, INC. ~ S-1 ~ Wilson Sonsini Goodrich & Rosati, PC
VIVINT SOLAR, INC. ~ S-1 ~ Wilson Sonsini Goodrich & Rosati, PC
NANOSTRING TECHNOLOGIES INC NSTG S-3 Nasdaq Wilson Sonsini Goodrich & Rosati, PC
BNC BANCORP BNCN 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.

IPO Underwriters of the Week: August 25 – 29

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 +
JAGUAR ANIMAL HEALTH, INC. S-1 BMO Capital Markets Corp. Guggenheim Securities, LLC Roth Capital Partners, LLC
RHYTHM HOLDING COMPANY, LLC S-1 Citigroup Global Markets Inc. Cowen and Company, LLC Canaccord Genuity Inc. / Oppenheimer & Co. Inc. / Cantor Fitzgerald & Co.
DERMIRA, INC. S-1 Citigroup Global Markets Inc. Leerink Partners LLC Guggenheim Securities, LLC / Needham & Company, LLC
CALITHERA BIOSCIENCES, INC. S-1 Citigroup Global Markets Inc. Leerink Partners LLC Wells Fargo Securities, LLC / JMP Securities LLC
GRUBHUB INC. S-1 Citigroup Global Markets Inc. Morgan Stanley & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Allen & Company LLC / BMO Capital Markets Corp. / Canaccord Genuity Inc. / Raymond James & Associates, Inc. / William Blair & Company, L.L.C.
USD PARTNERS LP S-1 Citigroup Global Markets Inc. Barclays Capital Inc. Credit Suisse Securities (USA) LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Evercore Group L.L.C. / BMO Capital Markets Corp. / Deutsche Bank Securities Inc. / RBC Capital Markets, LLC / Janney Montgomery Scott LLC
GREAT WESTERN BANCORP, INC. S-1 Deutsche Bank Securities Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. ~
STORE CAPITAL CORP S-11 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC Morgan Stanley & Co. LLC
VIVINT SOLAR, INC. S-1 Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. Credit Suisse Securities (USA) LLC / Citigroup Global Markets Inc. / Morgan Stanley & Co. LLC / Deutsche Bank Securities Inc. / Barclays Capital Inc.
CIVITAS THERAPEUTICS, INC. S-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Cowen and Company, LLC / Oppenheimer & Co. Inc.
NEUROSIGMA, INC. S-1 Jefferies LLC BTIG, LLC Craig-Hallum Capital Group LLC
KALLO INC. S-1 Kodiak Capital Group, LLC ~ ~
EVENTURE INTERACTIVE, INC. S-1 Kodiak Capital Group, LLC Monarch Bay Securities, LLC ~
PARAMOUNT GROUP, INC. S-11 Merrill Lynch, Pierce, Fenner & Smith Inc. Morgan Stanley & Co. LLC Wells Fargo Securities, LLC
ENOVATION CONTROLS, INC. S-1 Morgan Stanley & Co. LLC UBS Securities LLC Piper Jaffray & Co. / Robert W. Baird & Co. Inc. / William Blair & Company, L.L.C. / Raymond James & Associates, Inc.
LENDINGCLUB CORP S-1 Morgan Stanley & Co. LLC Goldman, Sachs & Co. Citigroup Global Markets Inc. / Allen & Company LLC / Stifel, Nicolaus & Company, Inc. / BMO Capital Markets Corp. / William Blair & Company, L.L.C. / Wells Fargo Securities, LLC
HUBSPOT INC S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC UBS Securities LLC / Pacific Crest Securities LLC / Canaccord Genuity Inc. / Raymond James & Associates, Inc.
PRUCO LIFE INSURANCE CO S-3 Prudential Annuities Distributors, Inc. ~
PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP/CT S-3 Prudential Annuities Distributors, Inc. ~
TITAN PHARMACEUTICALS INC S-1 Roth Capital Partners, LLC ~ ~
VERITEX HOLDINGS, INC. S-1 Sandler O’Neill + Partners, L.P. Stephens Inc. Sterne, Agee & Leach, Inc.
CONE MIDSTREAM PARTNERS LP S-1 Wells Fargo Securities, LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Robert W. Baird & Co. Inc.

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 Labor Day: Monday, September 1

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In honor of Labor Day, the SEC is closed on Monday, September 1, 2014. No files can be received.

Files submitted after 5:30 pm ET, Friday, August 29, 2014 will receive a filing date of September 2, 2014 and will be posted to the public on September 2, 2014 at 6:00 am ET.

As with other holiday closings, the following file types will receive a Friday, August 29, 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, September 1, 2014, the SEC will move the due date to the next business day, Tuesday, September 2, 2014.

Have a great long weekend.