Monthly Archives: January 2013

Last week’s IPOs and Transactions

There were 51 transactions filed with the SEC last week.

Congratulations to all of our clients and law firms that used our transactions services last week including Northwest Biotherapeutics, Inc. (NASDAQ), CorMedix, Inc. (NYSE) and Aurora Gold Corp. (OTC). We appreciate that they selected to work with us for this important step in their company’s growth and we’re pleased that they found us both accurate and affordable.

TRANSACTIONS_art_blog

Registrant Symbol Form Exchange Advisor / Law Firm
AMERICAN EXPRESS CO AXP S-4 NYSE American Express Company
AMERICAN EXPRESS CO AXP S-4 NYSE Cleary Gottlieb Steen & Hamilton LLP
AMERICAN REALTY CAPITAL PROPERTIES, INC. ARCP S-4 Nasdaq Duane Morris LLP
AMERICAN REALTY CAPITAL PROPERTIES, INC. ARCP S-4 Nasdaq Proskauer Rose LLP
AMERICAN REALTY CAPITAL PROPERTIES, INC. ARCP S-4 Nasdaq Weil, Gotshal & Manges LLP
APEX 7, INC. 10-12G APEX 7 Inc.
ARAX HOLDINGS CORP S-1 David Lubin & Associates, PLLC
ATHERSYS, INC / NEW ATHX S-3 Nasdaq Jones Day
AURORA GOLD CORP ARXG S-1 OTC Sierchio & Company, LLP
BLUELINX HOLDINGS INC. BXC S-1 NYSE Troutman Sanders LLP
CHEMBIO DIAGNOSTICS, INC. CEMID S-3 Nasdaq Patton Boggs LLP
CONNECTONE BANCORP, INC. S-1 Elias, Matz, Tiernan & Herrick L.L.P.
CONNECTONE BANCORP, INC. S-1 Windels Marx Lane & Mittendorf, LLP
CORMEDIX INC. CRMD S-3 NYSE Wyrick Robbins Yates & Ponton LLP
EXONE CO S-1 Morella & Associates
EXONE CO S-1 Nelson Mullins Riley & Scarborough LLP
HALEX ENERGY CORP. S-1 Andrew Grundman Attorney at Law
HPEV, INC. WARM S-1 OTC Sichenzia Ross Friedman Ference LLP
INERGY MIDSTREAM, L.P. NRGM S-3 NYSE Vinson & Elkins L.L.P.
INTERACTIVE MULTI MEDIA AUCTION CORP S-1 Icaza, Gonzalez-Ruiz & Aleman
INTERACTIVE MULTI MEDIA AUCTION CORP S-1 Lynton Spencer
NEW MOUNTAIN FINANCE HOLDINGS, L.L.C. N-2 Sutherland Asbill & Brennan LLP
NEW RESIDENTIAL INVESTMENT CORP. 10-12B New Residential Investment Corp.
NORTHWEST BIOTHERAPEUTICS INC NWBO S-3 Nasdaq Sichenzia Ross Friedman Ference LLP
ONEOK PARTNERS LP OKS S-3 NYSE Fried, Frank, Harris, Shriver & Jacobson LLP
ONEOK PARTNERS LP OKS S-3 NYSE GableGotwals
ONEOK PARTNERS LP OKS S-3 NYSE ONEOK Partners GP, L.L.C.
PERNIX THERAPEUTICS HOLDINGS, INC. PTX S-4 NYSE Jackson Walker L.L.P.
PERNIX THERAPEUTICS HOLDINGS, INC. PTX S-4 NYSE Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P.
PERNIX THERAPEUTICS HOLDINGS, INC. PTX S-4 NYSE Latham & Watkins LLP
PPL ENERGY SUPPLY LLC PLS S-4 Simpson Thacher & Bartlett LLP
PPL ENERGY SUPPLY LLC PLS S-4 Sullivan & Cromwell LLP
QGOG CONSTELLATION S.A. F-1 Milbank, Tweed, Hadley & McCloy LLP
QGOG CONSTELLATION S.A. F-1 White & Case LLP
SARATOGA RESOURCES INC /TX SARA S-4 NYSE Adams and Reese LLP
SARATOGA RESOURCES INC /TX SARA S-4 NYSE Michael W. Sanders, Esq.
TRADE STREET RESIDENTIAL, INC. TSRE S-11 Nasdaq Bass, Berry & Sims PLC
TRADE STREET RESIDENTIAL, INC. TSRE S-11 Nasdaq Hunton & Williams LLP
UNITED STATES 12 MONTH NATURAL GAS FUND, LP UNL S-1 NYSE Reed Smith LLP
UNITED STATES SHORT OIL FUND, LP DNO S-1 NYSE Reed Smith LLP
WESTERN ASSET OPPORTUNISTIC INCOME FUND INC. N-2 Legg Mason & Co., LLC
WESTERN ASSET OPPORTUNISTIC INCOME FUND INC. N-2 Simpson Thacher & Bartlett LLP
XOOM CORP S-1 Gibson, Dunn & Crutcher LLP
XOOM CORP S-1 Goodwin Procter LLP
XOOM CORP S-1 Xoom Corporation
ZAIS FINANCIAL CORP. S-11 Clifford Chance US LLP
ZAIS FINANCIAL CORP. S-11 Skadden, Arps, Slate, Meagher & Flom LLP
ZOGENIX, INC. ZGNX S-3 Nasdaq Latham & Watkins LLP
ZOGENIX, INC. ZGNX S-3 Nasdaq Latham & Watkins LLP
ZOGENIX, INC. ZGNX S-3 Nasdaq Zogenix, Inc.
ZOGENIX, INC. ZGNX S-3 Nasdaq Zogenix, Inc.

Have a great day.

Tagging on YOUR terms. (XBRL)

Our fleXBRL program is helping clients evolve their XBRL workflow from a totally dependent external process into a collaborative internal process.

CLICK TO ENLARGE

Each company has their own reason for this step: generally the drivers are 1.) they have over three years of “practice” with and understanding of XBRL, 2.) final acceptance that XBRL ain’t goin’ away and 3.) the strong desire to have a more holistic role throughout the process.  Also, to point #2 – many companies are hiring XBRL experts into their financial reporting group.

fleXBRL, as it sounds, is a flexible XBRL solution: clients can BEGIN with a complete support model and slowly – at THEIR pace …quarter by quarter… take full, final control.

XBRL is no longer about SEC compliance. It’s now about speed and workflow flexibility.

Tagging on your terms. Please share with us your XBRL workflow here.

Have a great day. 

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In case you missed it: BNY Mellon’s Global Trends in Investor Relations report

Somewhere between gorging on turkey and tipping back a cheerful amount of spiked egg nog, I missed this excellent annual report from our friends at BNY Mellon.

TOPICS DISCUSSED:

  • Key Global Findings
  • Today’s Investment Environment
  • Changing Interaction with the Investment Community
  • Investor Influence on Corporate Trends
  • Regional Approaches to Investor Relations
  • The Rising Value of Investor Relations

Click here to go to the download page. Proudly, we helped them with it.

the BNY Mellon Global Trends in Investor Relations reportFROM THE REPORT:

“This year’s survey benefited from the insight of over 800 respondents from 59 countries, a 26% increase from last year. It reveals that in the condition of uncertainty of 2012, company executives are focusing more of their investor outreach to retaining existing shareholders and are more committed than ever to expanding their international shareholder base.”

Good stuff.

Have a great day. 

“Investor’s Choice” Showcase of Top RetailInvestorConferences.com Q4 2012 Presenting Companies

2013 schedule to include first-ever REIT conference and more concise presentations   

New York, NY, JANUARY 8, 2013 /PRNewswire/ — BetterInvesting (NAIC), PR Newswire and MUNCmedia today announced the 2013 schedule calendar of the upcoming RetailInvestorConferences.com, the monthly online investor conference series. Individual investors, institutional investors and analysts are invited.

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.

RetailInvestorConferences.com is also highlighting the most viewed events from the final quarter of 2012.

RIC_Auditorium_2012ccc

Aflac (NYSE: AFL)

When a policyholder gets sick or hurt, Aflac pays cash benefits fast. For more than 55 years, Aflac insurance policies have given policyholders the opportunity to focus on recovery, not financial stress. In the United States, Aflac is the number one provider of guaranteed-renewable insurance. In Japan, Aflac is the number one insurance company in terms of individual insurance policies in force. Aflac insurance products provide protection to more than 50 million people worldwide. For five consecutive years, Aflac has been recognized by Ethisphere magazine as one of the World’s Most Ethical Companies. In addition, Forbes magazine has named Aflac as one of America’s Best-Managed Companies in the Insurance category. In 2011, Fortune magazine recognized Aflac as one of the 100 Best Companies to Work For in America for the thirteenth consecutive year and included Aflac on its list of Most Admired Companies for the tenth time. Aflac Incorporated is a Fortune 500 company listed on the New York Stock Exchange under the symbol AFL.

DDR (NYSE:DDR)

DDR is an owner and manager of 459 value-oriented shopping centers representing 117 million square feet in 39 states, Puerto Rico and Brazil. The Company’s assets are concentrated in high barrier-to-entry markets with stable populations and high growth potential and its portfolio is actively managed to create long-term shareholder value. DDR is a self-administered and self-managed REIT operating as a fully integrated real estate company, and is publicly traded on the New York Stock Exchange under the ticker symbol DDR.

Kimco Realty Corp. (NYSE: KIM)

Kimco Realty Corp. (NYSE: KIM) is a real estate investment trust (REIT) headquartered in New Hyde Park, N.Y. that owns and operates North America’s largest portfolio of neighborhood and community shopping centers. As of Sept. 30, 2012, the company owned interests in 922 shopping centers comprising 135 million square feet of leasable space across 44 states, Puerto Rico, Canada, Mexico and South America. Publicly traded on the NYSE since 1991, and included in the S&P 500 Index, the company has specialized in shopping center acquisitions, development and management for more than 50 years.

Organovo (OTCQX: ONVO)

Organovo (OTCQX: ONVO) designs and creates functional human tissues using a proprietary three-dimensional bioprinting technology. The Company focuses on developing a range of human tissues and disease models for medical research and therapeutic applications. The Company’s NovoGen™ three-dimensional bioprinting technology employs a specialized automated platform that works across all tissue and cell types. Organovo’s bioprinter was named one of the “Best Inventions of 2010” by TIME Magazine and Organovo has been recognized as one of the most innovative companies of 2012 by MIT’s Technology Review. Organovo is helping pharmaceutical partners develop never before available human biological disease models in three dimensions that hold the potential to transform the business of therapeutic drug discovery and development. Organovo is also developing direct tissue therapies where precise structure and architecture may deliver the best clinical outcomes. Organovo leads the way in solving complex medical research problems and building the future of medicine.

Petrobras  (NYSE: PBR)

Founded in 1953, Petrobras is a publicly traded corporation operating in an integrated manner in the following segments of the oil, gas, and energy industry: exploration and production; downstream, marketing, transportation and petrochemicals; distribution; natural gas, energy and biofuels. Acknowledged as the leader in deep and ultra-deep water exploration and production, Petrobras is one of the largest energy companies in the world.

Reed’s, Inc. (NASDAQ:REED)

Reed’s, Inc. (NASDAQ:REED) makes the top-selling natural sodas in the natural foods industry sold in over 13,000 natural food markets and supermarkets nationwide. Its six award-winning non-alcoholic Ginger Brews are unique in the beverage industry, being brewed, not manufactured and using fresh ginger, spices and fruits in a brewing process that predates commercial soft drinks. The Company owns the top-selling root beer line in natural foods, the Virgil’s Root Beer product line, and the top-selling cola line in natural foods, the China Cola product line. In 2012, the Company launched Reed’s Culture Club Kombucha line of organic live beverages. Other product lines include: Reed’s Ginger Candies and Reed’s Ginger Ice Creams. In 2009, Reed’s started producing private label natural beverages for select national chains. Reed’s products are sold through specialty gourmet and natural food stores, mainstream supermarket chains, retail stores and restaurants nationwide, and in Canada, as well as through private label relationships with major supermarket chains.

SodaStream International Ltd (NASDAQ: SODA)

SodaStream International Ltd (NASDAQ: SODA) is the world’s leading manufacturer and distributor of home beverage carbonation systems which enable consumers to easily transform ordinary tap water instantly into carbonated soft drinks and sparkling water. Soda makers offer a highly differentiated and innovative solution to consumers of bottled and canned carbonated soft drinks and sparkling water. Our products are environmentally friendly, cost effective, promote health and wellness, and are customizable and fun to use. In addition, our products offer convenience by eliminating the need to carry bottles home from the supermarket, to store bottles at home or to regularly dispose of empty bottles. Our products are available at more than 60,000 retail stores in 45 countries around the world, including almost 15,000 retail stores in the United States.

Vanguard Natural Resources, LLC (NYSE: VNR)

Vanguard Natural Resources, LLC (NYSE: VNR) is a publicly traded limited liability company focused on the acquisition, production and development of oil and natural gas properties. The Company’s assets consist primarily of producing and non-producing oil and natural gas reserves located in the Permian Basin in West Texas and New Mexico, the Big Horn Basin in Wyoming and Montana, the Arkoma Basin in Arkansas and Oklahoma, the Williston Basin in North Dakota and Montana, Mississippi, and South Texas.

ICLUBcentral Educational Sessions 

How Analysts Create Their Estimates 

Stock investors often look to “analysts’ estimates” of earnings and sales to inform their buy and sell decisions. But who are these analysts, and how do they come up with their estimates? Can they be trusted to be accurate? Learn how to incorporate analyst estimates into your own stock studies (including in Toolkit 6) in a practical and sensible way.

Top Investing Ideas for 2013 

With questions about the direction of the economy, fiscal policy, and political bipartisanship clouding the picture for the year ahead, ICLUBcentral’s Doug Gerlach cuts through the noise with his top stock and mutual fund picks for 2013. Selected by analysts from the company’s three top-rated investing newsletters, the Investor Advisory Service, the SmallCap Informer, and the Mutual Fund Informer, the ideas presented in this session will help long-term oriented investors to earn superior returns in their stock and fund portfolios.  In addition, Editor-in-Chief Gerlach will discuss the methodology and performance results of the three newsletters, along with tips for putting them to maximum use in an individual investors’ portfolios.

2013 SCHEDULE – book now!

  • January 10, 2013
  • February 7, 2013
  • March 7, 2013
  • April 4, 2013
  • May 2, 2013
  • June 6, 2013
  • July 11, 2013
  • August 8, 2013
  • September 12, 2013
  • October 3, 2013
  • November 7, 2013
  • December 5, 2013

Our next event is February 7th, 2013 — 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

 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 56 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 United Business Media company.

Twitter @IRandCompliance 

Media Contacts:

Bradley H. Smith

Director of Marketing, IR and Compliance Services

PR Newswire

+1.201.947.7157

bradley.smith@prnewswire.com

 

Vintage Filings Ranked High as SEC Filing Provider for 2012 by SECinfo.com!

secinfo

Three points to make:

1.) Thank you to our clients for their continued trust regarding their most important and sensitive documents

2.) Thank you to our sales people and clients service team for their great success   building trust with our clients and future clients

3.) Thank you to secinfo.com for doing the 3rd party “big data” research in creating this report

Why did we do so well in 2012? Accuracy and fair pricing. Compare our fee structure for yourself.  Click here to get information and a quote. 

Have a great day.

Last week’s IPOs and Transactions

There were 24 transactions filed with the SEC last week.

Congratulations to all of our clients and law firms that used our transactions services last week including Comstock Mining, Inc. (NYSE), Inspro Technologies Corp. (OTC) and Sequoia Mortgage Funding Corp. We appreciate that they selected to work with us for this important step in their company’s growth and we’re pleased that they found us both accurate and affordable.

TRANSACTIONS_art_blog

Click here and opt-in to receive this weekly summary via email.

Registrant Symbol Form Exchange Advisor / Law Firm
ADT CORP ADT S-4 NYSE Gibson, Dunn & Crutcher LLP
ALLIANZ LIFE INSURANCE CO OF NORTH AMERICA S-1 Allianz Life Insurance Company of North America
BBCN BANCORP INC BBCN S-4 Nasdaq Graham & Dunn, PC
BBCN BANCORP INC BBCN S-4 Nasdaq Mayer Brown LLP
BBCN BANCORP INC BBCN S-4 Nasdaq Pacific International Bancorp, Inc.
BLUE CALYPSO, INC. BCYP S-1 OTC Fox Rothschild LLP
BOSTON PRIVATE FINANCIAL HOLDINGS INC BPFH S-3 Nasdaq Goodwin Procter LLP
BRAXTON RESOURCES INC. S-1 Diane D. Dalmy, Attorney at Law
CERULEAN GROUP, INC. S-1 Zouvas Law Group, P.C.
CLEARPOINT RESOURCES INC. S-1 Diane D. Dalmy, Attorney at Law
COMSTOCK MINING INC. LODE S-3 NYSE Kelley Drye & Warren LLP
FIRST PACTRUST BANCORP INC BANC S-4 Nasdaq King, Holmes, Paterno & Berliner
FIRST PACTRUST BANCORP INC BANC S-4 Nasdaq The Private Bank of California
FIRST PACTRUST BANCORP INC BANC S-4 Nasdaq Wachtell, Lipton, Rosen & Katz
GOLD CAMP EXPLORATIONS INC. S-1 Diane D. Dalmy, Attorney at Law
HANCOCK FABRICS INC HKFI S-3 OTC O’Melveny & Myers LLP
INSPRO TECHNOLOGIES CORP ITCC S-1 OTC Morgan, Lewis & Bockius LLP
LIDO INTERNATIONAL, CORP. S-1 InCorp Services, Inc.
NEW SOURCE ENERGY PARTNERS L.P. S-1 Crowe & Dunlevy  PC
NEW SOURCE ENERGY PARTNERS L.P. S-1 Vinson & Elkins L.L.P.
SANCHEZ ENERGY CORP SN S-3 NYSE Akin Gump Strauss Hauer & Feld LLP
SEQUOIA MORTGAGE FUNDING CORP S-3 Weintraub Tobin Chediak Coleman Grodin Law Corporation
TUBA CITY GOLD CORP. S-1 Diane D. Dalmy, Attorney at Law
WIRELESS RONIN TECHNOLOGIES INC RNIN S-3 Nasdaq Briggs and Morgan, P.A.

Have a great day.

Free handbook for public companies: 2013 Corporate Governance and Securities Laws

Free handbook for public companies: Corporate Governance and Securities Laws for 2013Public companies are subject to an extensive and complex regulatory regime under the U.S. federal securities laws and stock exchange listing rules.

This handbook provides an overview of the 2013 securities law and stock exchange reporting, disclosure and corporate governance requirements applicable to public companies and their officers, directors and large shareholders.

In addition to outlining the applicable laws, regulations and rules, this handbook seeks to provide practical guidance reflecting, among other things, interpretive guidance issued by the Securities and Exchange Commission, general industry practice and the authors’ experience.

  • FREE!
  • 150 pages
  • Up-to-date for 2013 including in-depth information on Dodd-Frank, JOBS and social media
  • Detailed table-of-contents for quick reference

Click here to request your hardcopy handbook. 

Click image below to view Table of Contents.

TOCHave a great day.

Last (two) week’s IPOs and Transactions

There were 103 transactions filed with the SEC over the last two weeks – Happy Holidays indeed!

Congratulations to all of our clients and law firms that used our transactions services last week including Marina Biotech, Inc., LI3 Energy, Inc., Vuzik Corp. and Arno Therapeutics, Inc. We appreciate that they selected to work with us for this important step in their company’s growth.

Click here and opt-in to receive this weekly summary via email.

Registrant Symbol Form Exchange Advisor / Law Firm
ACADIA PHARMACEUTICALS INC ACAD S-3 Nasdaq Cooley LLP
AGENUS INC AGEN S-3 Nasdaq Choate, Hall & Stewart LLP
ALTRA HOLDINGS, INC. AIMC S-3 Nasdaq Holland & Knight LLP
ANCHOR CNGO S-1 Joel Bernstein, Esq.
APPLIED DNA SCIENCES INC APDN S-3 OTC Fulbright & Jaworski L.L.P.
ARCHER DANIELS MIDLAND CO ADM S-4 NYSE Faegre Baker Daniels LLP
ARNO THERAPEUTICS, INC ARNI S-1 OTC Fredrikson & Byron, P.A.
ARRAY BIOPHARMA INC ARRY S-3 Nasdaq Gross Hartman LLC
AS SEEN ON TV, INC. ASTV S-4 OTC Greenberg Traurig, P.A.
AS SEEN ON TV, INC. ASTV S-4 OTC Pearlman Schneider LLP
AVIV REIT, INC. S-11 Cravath, Swaine & Moore LLP
AVIV REIT, INC. S-11 Sidley Austin LLP
BASTA HOLDINGS, CORP. S-1 Cane Clark LLP
BOOMERS, INC. S-1 Harold P. Gewerter, Esq. Ltd.
BRIDGE BANCORP INC BDGE S-3 Nasdaq Luse Gorman Pomerenk & Schick, P.C.
CALAMP CORP. CAMP S-3 Nasdaq Gibson, Dunn & Crutcher LLP
CELLDEX THERAPEUTICS, INC. CLDX S-3 Nasdaq Lowenstein Sandler PC
CENTURYTOUCH LTD S-11 Jillian Ivey Sidoti, Esq
CITIZENS INC CIA S-3 NYSE Kramer Levin Naftalis & Frankel LLP
CLEAN WIND ENERGY TOWER, INC. CWET S-1 OTC Anslow & Jaclin, LLP
CLEAN WIND ENERGY TOWER, INC. CWET S-1 OTC Fleming PLLC
CNB FINANCIAL CORP/PA CCNE S-3 Nasdaq Hogan Lovells US LLP
CNH CAPITAL AMERICA LLC S-4 Sullivan & Cromwell LLP
COMBIMATRIX CORP CBMX S-3 Nasdaq Dorsey & Whitney LLP
CORMEDIX INC. CRMD S-3 NYSE Wyrick Robbins Yates & Ponton LLP
CYCLACEL PHARMACEUTICALS, INC. CYCC S-1 Nasdaq Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
CYCLACEL PHARMACEUTICALS, INC. CYCC S-1 Nasdaq O’Melveny & Meyers, LLP
DREYFUS MUNICIPAL INFRASTRUCTURE FUND, INC. N-2 Stroock & Stroock & Lavan LLP
DYCOM INDUSTRIES INC DY S-4 NYSE Shearman & Sterling LLP
EGA FRONTIER DIVERSIFIED CORE FUND N-2 Emerging Global Advisors, LLC
EGA FRONTIER DIVERSIFIED CORE FUND N-2 Stradley Ronon Stevens & Young, LLP
EMPI INC S-4 Simpson Thacher & Bartlett LLP
EQUITRUST USA S-11 Morehous Legal Group, PLLC
ERF WIRELESS, INC. ERFB S-1 OTC Brewer & Pritchard, P.C.
ERF WIRELESS, INC. ERFB S-1 OTC Sichenzia Ross Friedman Ference LLP
FARO TECHNOLOGIES INC FARO S-3 Nasdaq Alston & Bird LLP
FIVE OAKS INVESTMENT CORP. S-11 Fried, Frank, Harris, Shriver & Jacobson LLP
FIVE OAKS INVESTMENT CORP. S-11 Kaye Scholer LLP
FLUOROPHARMA MEDICAL, INC. FPMI S-1 OTC Loeb & Loeb LLP
FREEPORT MCMORAN COPPER & GOLD INC FCX S-4 NYSE Latham & Watkins LLP
FREEPORT MCMORAN COPPER & GOLD INC FCX S-4 NYSE Wachtell, Lipton, Rosen, & Katz
FRONTIER FUND S-1 Alston & Bird LLP
GAMCO NATURAL RESOURCES, GOLD & INCOME TRUST BY GABELLI GNT N-2 Skadden, Arps, Slate, Meagher & Flom LLP
GAS NATURAL INC. EGAS S-3 NYSE Kohrman Jackson & Krantz P.L.L.
GECB EQUIPMENT FUNDING, LLC S-3 Mayer Brown LLP
GLOWPOINT, INC. GLOW S-3 NYSE Thompson Hine LLP
GREEN EARTH TECHNOLOGIES, INC GETG S-1 OTC Morse, Zelnick, Rose & Lander, LLP
GUARANTY BANCORP GBNK S-3 Nasdaq Jones & Keller, P.C.
GULF COAST ULTRA DEEP ROYALTY TRUST S-4 Wachtell, Lipton, Rosen, & Katz
GULF COAST ULTRA DEEP ROYALTY TRUST S-4 Weil, Gotshal & Manges LLP
GULFMARK OFFSHORE INC GLF S-4 NYSE Vinson & Elkins L.L.P.
HARVEST CAPITAL CREDIT CORP N-2 Sutherland Asbill & Brennan LLP
HEALTH INSURANCE INNOVATIONS, INC. S-1 Cravath, Swaine & Moore LLP
HEALTH INSURANCE INNOVATIONS, INC. S-1 Davis Polk & Wardwell LLP
INTERMUNE INC ITMN S-3 Nasdaq Latham & Watkins LLP
KCAP FINANCIAL, INC. KCAP N-2 Nasdaq Sutherland Asbill & Brennan LLP
KEY ENERGY SERVICES INC KEG S-4 NYSE Bracewell & Giuliani LLP
LEVEL20 INC. S-1 Cane Clark Agency, LLC
LI3 ENERGY, INC. LIEG S-1 OTC Anslow + Jaclin LLP
MAINSOURCE FINANCIAL GROUP MSFG S-3 Nasdaq Krieg DeVault, LLP
MARINA BIOTECH, INC. MRNA S-1 OTC Pryor Cashman LLP
MARKEL CORP MKL S-4 NYSE Akin Gump Strauss Hauer & Feld LLP
MARKEL CORP MKL S-4 NYSE Debevoise & Plimpton LLP
MISCOR GROUP, LTD. MIGL S-1 OTC Ulmer & Berne LLP
MOTRICITY INC MOTRR S-4 Nasdaq Brown Rudnick LLP
NEWLINK GENETICS CORP NLNK S-3 Nasdaq Cooley LLP
NORTHSTAR REAL ESTATE INCOME II, INC. S-11 Greenberg Traurig, LLP
NUPATHE INC. PATH S-3 Nasdaq Morgan, Lewis & Bockius LLP
OCLARO, INC. OCLR S-3 Nasdaq Jones Day
OPEXA THERAPEUTICS, INC. OPXA S-1 Nasdaq Pillsbury Winthrop Shaw Pittman LLP
PANAMSAT CAPITAL CORP S-4 Paul, Weiss, Rifkind, Wharton & Garrison LLP
PINNACLE FINANCIAL PARTNERS INC PNFP S-3 Nasdaq Bass, Berry & Sims PLC
PINNACLE FOODS INC. S-1 Latham & Watkins LLP
PINNACLE FOODS INC. S-1 Simpson Thacher & Bartlett LLP
POLYONE CORP POL S-4 NYSE Jones Day
POLYONE CORP POL S-4 NYSE K&L Gates LLP
PROGUARD ACQUISITION CORP PGRD S-1 OTC Pearlman Schneider LLP
PSIVIDA CORP. PSDV S-3 Nasdaq Ropes & Gray LLP
PVR PARTNERS, L. P. PVR S-4 NYSE Vinson & Elkins L.L.P.
SAGENT PHARMACEUTICALS, INC. SGNT S-3 Nasdaq Kirkland & Ellis LLP
SAUL CENTERS INC BFS S-3 NYSE Pillsbury Winthrop Shaw Pittman LLP
SEACOAST BANKING CORP OF FLORIDA SBCF S-3 Nasdaq Alston & Bird LLP
SEAWORLD ENTERTAINMENT, INC. S-1 Latham & Watkins LLP
SEAWORLD ENTERTAINMENT, INC. S-1 Simpson Thacher & Bartlett LLP
SUCAMPO PHARMACEUTICALS, INC. SCMP S-3 Nasdaq Manatt, Phelps & Phillips, LLP
SW CHINA IMPORTS, INC. SWCI S-1 OTC Taurus Financial Partners, LLC
TAYLOR CAPITAL GROUP INC TAYCL S-3 Nasdaq Barack Ferrazzano Kirschbaum & Nagelberg LLP
TRANSAMERICA ADVISORS LIFE INSURANCE CO S-3 Jorden Burt LLP
TRANSLATION GROUP INC. S-1 Stepp Law Corporation
TRI POINTE HOMES, LLC S-1 Gibson, Dunn & Crutcher LLP
TRI POINTE HOMES, LLC S-1 Sidley Austin LLP
TRILINC GLOBAL IMPACT FUND LLC S-1 Greenberg Traurig, LLP
TRILINC GLOBAL IMPACT FUND LLC S-1 Morris, Manning and Martin, LLP
UNITED COMMUNITY BANKS INC UCBI S-3 Nasdaq Kilpatrick Townsend & Stockton LLP
US FOODS, INC. S-4 Jenner & Block LLP
VANGUARD HEALTH SYSTEMS INC VHS S-4 NYSE Simpson Thacher & Bartlett LLP
VOZ MOBILE CLOUD LTD S-1 Law Offices of David E. Wise, P.C.
VUZIX CORP VUZI S-1 OTC Reed Smith LLP
VUZIX CORP VUZI S-1 OTC Sichenzia Ross Friedman Ference LLP
W&T OFFSHORE INC WTI S-4 NYSE Vinson & Elkins L.L.P.
WALLY WORLD MEDIA, INC S-1 Anslow + Jaclin, LLP
WRIGHT MEDICAL GROUP INC WMGI S-4 Nasdaq Ropes & Gray LLP
WRIGHT MEDICAL GROUP INC WMGI S-4 Nasdaq Wilson Sonsini Goodrich & Rosati

Have a great year!