Monthly Archives: February 2014

WYSIWYG* v. professional typesetting and composition (DIY S-1 filing: part two)

Quite a bit of interest from last week’s discussion regarding the forensic trail highlighted in the blog post DIY an S-1 filing? Brides should not bake their own wedding cake.

The prevailing question was why did the soon-to-be-public company restart their S-1 with a traditional IPO filing process (like Vintage Filings’ drafting sessions) from its humble DIY origin?  More to the point, why is an XBRL self-filing portal OK to use for 10-Qs, but not for the S-1?

The simple answer is scale of task. Look at the video below.

This is a typical prospectus.

Although the ink and paper may look blasé, this is a major publication for a company. Without exaggeration, their future depends on this document. That fact moves its creation from WYSIWYG word processing into professional typesetting and document composition. Compound this tactical task with the legal and contractual precision that an S-1 requires and… well, you get the idea. It is not a simple typing task for a generic (and often unfamiliar) word processing program like Google Docs.

Our advice is the right tool for the right job: Use professional** typesetting and document composition for transactions. These documents are really really really large contracts. You must have the precision. If you want to tag and submit your own XBRL files with the SEC, use our MS Word and MS Excel based DIY platform (via fleXBRL).

Our sales pitch: all our solutions are perfectly priced, a key driver for our continuing success working with mid to microcap issuers. Our forensic speculation is that the DIY mis-start doubled the fee… not to mention the serious time wasted fussing around with tabs, margins, page numbers and financial tables.

Have a great day.

*What You See Is What You Get

** preferably ours at Vintage Filings

Free guidebook: 10-K, 10-Q & 8-K Reporting Rules for 2014

It’s just the cusp of March and we are already on the second printing of these popular 2014 resource books. 

10-k&Proxyguides (1)

Click here to request your hardcopy guidebook.

We are pleased to provide you with our annual updated edition of the SEC 2014 Reporting Rules for Forms 10-K, 10-Q and 8-K.

This publication is an excellent reference source for legal and accounting professionals and corporate executives.

In this publication, we present the rules in a “user-friendly” format by presenting the portions of Regulation S-K that are referenced in Forms 10-K, 10-Q and 8-K within the text of the relevant Form immediately following the reference to Regulation S-K, thus making it easier to review the complete disclosure requirements.

In addition, we eliminate many cumbersome citations and provide “”plain English”” rule references.

  • FREE!
  • 350 pages
  • Up-to-date for 2014 including VERY VERY VERY in-depth information
  • Detailed table-of-contents for quick reference

Click image below to view Table of Contents.

Table of Contents: 10-k, 10-Q and 8-L

Have a great day.

Last week’s IPOs and Transactions

There were 31 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Advaxis Inc. w/ Reed Smith LLP and Protalex Inc. w/ Morse, Zelnick, Rose & Lander, LLP. We appreciate that they selected to work with us and we’re pleased that they found us both accurate and affordable.

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Registrant Symbol Form Exchange Law firm / Advisor
NGL ENERGY PARTNERS LP NGL S-3 NYSE Andrews Kurth LLP
MADISON & 51ST, INC. 10-12G BlackPool Acquisitions, LLC.
ANPATH GROUP, INC. APGRD 10-12G OTC Burningham & Burningham
ROMULUS CORP. S-1 Cane Clark LLP
TPG SPECIALTY LENDING, INC. N-2 Cleary Gottlieb Steen & Hamilton LLP
2U, INC. S-1 Cooley LLP
CARDICA INC CRDC S-1 Nasdaq Cooley LLP
VERSARTIS, INC. S-1 Cooley LLP
WSFS FINANCIAL CORP WSFS S-4 Nasdaq Covington & Burling LLP
KANGE CORP S-1 David Lubin & Associates, PLLC
VERSARTIS, INC. S-1 Davis Polk & Wardwell LLP
KING DIGITAL ENTERTAINMENT PLC F-1 Fenwick & West LLP
FIRST INTERSTATE BANCSYSTEM INC FIBK S-4 Nasdaq Fredrikson & Byron, P.A.
TPG SPECIALTY LENDING, INC. N-2 Fried, Frank, Harris, Shriver & Jacobson LLP
WSFS FINANCIAL CORP WSFS S-4 Nasdaq Gerrish McCreary Smith, PC
2U, INC. S-1 Goodwin Procter LLP
BORDERFREE, INC. S-1 Goodwin Procter LLP
FIRST INTERSTATE BANCSYSTEM INC FIBK S-4 Nasdaq Holland & Hart LLP
TEL-APPLIED HOLDINGS B.V. S-4 Jones Day
ENDOWMENT PMF MASTER FUND, L.P. N-2 K & L Gates LLP
PMF FUND, L.P. N-2 K & L Gates LLP
PMF TEI FUND, L.P. N-2 K & L Gates LLP
NORD ANGLIA EDUCATION, INC. F-1 Latham & Watkins LLP
LION PRINT CORP S-1 Law Offices of Thomas E. Puzzo, PLLC
ATLAS PIPELINE PARTNERS LP APL S-3 NYSE Ledgewood
NORD ANGLIA EDUCATION, INC. F-1 Milbank, Tweed, Hadley & McCloy LLP
PROTALEX INC PRTX S-1 OTC Morse, Zelnick, Rose & Lander, LLP
SOUTHERN FIRST BANCSHARES INC SFST S-3 Nasdaq Nelson Mullins Riley & Scarborough LLP
A10 NETWORKS, INC. S-1 Pillsbury Winthrop Shaw Pittman LLP
ADVAXIS, INC. ADXSD S-3 Nasdaq Reed Smith LLP
CARDICA INC CRDC S-1 Nasdaq Ropes & Gray LLP
LUCKYCOM INC S-1 Scott Doney, Esq.
ARAMARK CORP S-1 Simpson Thacher & Bartlett LLP
QUINTILES TRANSNATIONAL HOLDINGS INC. Q S-1 NYSE Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, LLP
O’CONNOR FUND OF FUNDS: EVENT LLC N-2 Stroock & Stroock & Lavan LLP
CAR CHARGING GROUP, INC. CCGI S-1 OTC Szaferman, Lakind, Blumstein & Blader, P.C.
DANIELS CORPORATE ADVISORY COMPANY, INC. DCAC S-1 OTC Szaferman, Lakind, Blumstein & Blader, P.C.
MARKWEST ENERGY PARTNERS L P MWE S-3 NYSE Vinson & Elkins L.L.P.
TEL-APPLIED HOLDINGS B.V. S-4 Weil, Gotshal & Manges LLP
QUINTILES TRANSNATIONAL HOLDINGS INC. Q S-1 NYSE White & Case LLP
BORDERFREE, INC. S-1 Wilson Sonsini Goodrich & Rosati  PC
A10 NETWORKS, INC. S-1 Wilson Sonsini Goodrich & Rosati, P.C.
KING DIGITAL ENTERTAINMENT PLC F-1 Wilson Sonsini Goodrich & Rosati, PC

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.

IPO Underwriters of the Week

Congratulations to the corporations and underwriters that worked with our transaction services team.

Watch our brief transactions services video HERE.  Learn more about how we have become a top choice.

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3
NORD ANGLIA EDUCATION, INC. F-1 Credit Suisse Securities (USA) LLC Goldman, Sachs & Co. J.P. Morgan Securities LLC.
BORDERFREE, INC. S-1 Credit Suisse Securities (USA) LLC RBC Capital Markets, LLC Pacific Crest Securities LLC
2U, INC. S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC Needham & Company, LLC
TEL-APPLIED HOLDINGS B.V. S-4 Goldman, Sachs & Co. Morgan Stanley & Co. LLC
ARAMARK CORP S-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC
KING DIGITAL ENTERTAINMENT PLC F-1 J.P. Morgan Securities LLC Credit Suisse Securities (USA) LLC Merrill Lynch, Pierce, Fenner & Smith Inc.
A10 NETWORKS, INC. S-1 Morgan Stanley & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC
VERSARTIS, INC. S-1 Morgan Stanley & Co. LLC Citigroup Global Markets Inc. Cowen and Company, LLC
QUINTILES TRANSNATIONAL HOLDINGS INC. S-1 Morgan Stanley & Co. LLC Barclays Capital Inc. J.P. Morgan Securities LLC
CARDICA INC S-1 Wedbush Securities Inc. Craig-Hallum Capital Group LLC

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

Have a great week.

DIY an S-1 filing? Brides should not bake their own wedding cake.

Last week, a few conversational planets aligned here on the topic of a company’s self-filing of their IPO. To be exact, in this blog post, the definition of self-filing is the use of a DIY XBRL platform (what our fleXBRL offers- click here) to create and work an S-1 file completely through to final public offering.

If you are not familiar with the workflow of an S-1 with the SEC, this whitepaper – click here – will guide you to understand. We execute hundreds of transactions each year.

bridesOne conversation came about in context to our being a NYSE-approved provider of shareholder communications services to their IPOs. The question arose… should we / could we help a soon-to-be-NYSE company DIY their S-1 as they can with their quarterly XBRL? Fair question, but to date, no one had worked in our fleXBRL program for an S-1. Why would they? Regardless, we needed an example.

The next task was to identify any S-1 that self-filed via an XBRL portal. (This identification can be done by researching the publicly filed SEC records.) A single, recent example was brought to my attention, however as it was not our account, the details of the workflow are backwards forensics from the public record.

The conversation next went to why was the openly published S-1 filing fee to the client so high for a DIY portal? What also stood out was that the price was too high even for a traditional S-1: almost twice what we generally bill a micro/small-cap company for full service IPO drafting and registration.

The forensics tell a story:  I have changed all identifiers.

DATE FORM FILING AGENT
July 22, 2013 Form D Law Firm
Sept 10, 2013 S-1 Corporation themselves via DIY portal
Sept 15, 2013 S-1/A Corporation themselves via DIY portal
Sept 24, 2013 S-1/A Corporation themselves via DIY portal
Oct 4, 2013 S-1/A Traditional S-1 filing provider
Oct 8, 2013 8-A12B Corporation themselves via DIY portal
Oct 11, 2013 S-1/A Traditional S-1 filing provider
Oct 12, 2013 FWP Traditional S-1 filing provider
Oct 13, 2013 CERTNAS (SEC posting)
Oct 13, 2013 S-1MEF Traditional S-1 filing provider
Oct 14, 2013 EFFECT (SEC posting)
Oct 14, 2013 424B1 Traditional S-1 filing provider
Oct 19, 2013 8-K Corporation themselves via DIY portal

It seems they started the S-1 themselves, but after two amendments, called in “a pro.”

Why the October 4th switch to a traditional S-1 filing provider – like Vintage Filings?  Another “SEC Filings CSI” data point we uncovered is the company filed as a JOBS Act Confidential IPO.

Our professional speculation is that once the company publicly declared their intent to IPO on Oct 4th, their Confidential IPO 21-day disclosure window came into play. Safe to assume that the added burden, public scrutiny and needed attention to detail – plus perhaps pressure from their banks and lawyers – advocated the issuers’ management team hand-off the S-1 to an experienced filer. Going public is VERY stressful…senior executives need to focus on the business, not on typesetting.

AKA: Brides should not bake their own wedding cake. (this video demonstrates what a drafting session looks like – phew)

Fiscal forensics: The S-1 file hand-off may have caused the dramatic fee increase. The company paid for both DIY and traditional service. Even if Vintage Filings was given the hand-off, we’d also have to re-key the entire S-1 into our filing (typesetting/editing/filing) workflow platform. In this exact case, had the company worked with us from the initial S-1 to pricing, they would have cut their costs in half and more importantly, not burned their valuable time.

XBRL portals are excellent for filing XBRL. XBRL portals are especially excellent for companies who have in-house accounting experts. We have dozens of clients who work as such via our fleXBRL. We also have clients who prefer (need) full service.

Our view? Don’t self-file an S-1. Too many steps. Too many cooks. If you are organized, the cost can be very contained. At least with Vintage Fillings.  

Have a great day.

How long is the Confidential IPO and SEC ping-pong match? 74 days

pingpongAs they posted today, the Wall Street Journal reports that the average time period that companies spend in the confidential phase working out their IPO registration with the SEC is just 74 days.

Why is it a ping-pong match? Download our white paper (click here) and you’ll graphically understand.

Important note: unlike a true game of ping-pong, this Confidential IPOs and SEC game is not a competition. It’s really about working, checking and amending to assure complete transparency toward shareholders when the final offer is public.  As we’ve commented before, the term “confidential” infers spies and secrets. That’s not the case. These emerging Growth Companies are being cautious (in a very competitive and fickle marketplace) for many sound reasons.

From the WSJ

The Wall Street Journal analyzed the previously confidential IPO filings of 209 U.S. companies submitted to the SEC since Oct. 15, 2012.

Agios Pharmaceuticals Inc. had the shortest consultation period, at 18 days, while fast-food chain Potbelly Corp. had the longest of the group, at 289 days. Agios and Potbelly confirmed the findings.

If you have access to the WSJ, the full article is here.

To lean about our S-1 and transactions team, watch this brief video now.

Have a great day.

Investor relations benchmark 3: What format Annual Report will your company produce?

The next questions in this infographic series are PR Newswire & Vintage Filings cross-over questions about annual reports. We asked IR and corporate secretaries how their annual report is produced.

We already know, as reported in our Shareholder Confidence 365 Study, what annual report format investors favor (click here)but how does that align with actual production?

Cheerfully, pretty darn close.

IRBENCHMARK_3

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Our view? Print is not dead, but it has limited appeal. View more study results here AND request a custom print quote from us. Be careful about your production. We offer a variety of print options to match your aesthetics, quantity needed and budget.

What do investors want? Download this white paper.

Last week’s IPOs and Transactions

There were 89 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including RCS Capital Corp w/ Cahill Gordon & Reindel LLP plus Proskauer Rose LLP, Enzymotec LTD w/ Skadden, Arps, Slate, Meagher & Flom LLP  plus White & Case LLP and Enerjex Resources Inc w/ Reicker, Pfau, Pyle & McRoy LLP.

We appreciate that they selected to work with us and we’re pleased that they found us both accurate and affordable. Click here to review the week’s underwriters.

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Registrant Symbol Form Type Exchange Law firm / Advisor
FRANKLIN FINANCIAL NETWORK INC. FRFN S-4 OTC Baker, Donelson, Bearman, Caldwell & Berkowitz, PC
PRESTON CORP. S-1 Barnett & Linn
21ST CENTURY ONCOLOGY HOLDINGS, INC. S-1 Cahill Gordon & Reindel LLP
RCS CAPITAL CORP RCAP S-1 NYSE Cahill Gordon & Reindel LLP
IIM GLOBAL CORP S-1 Cassidy & Associates
NEW MEDIA INVESTMENT GROUP INC. S-1 Cleary Gottlieb Steen & Hamilton LLP
AEROHIVE NETWORKS, INC S-1 Cooley LLP
CASTLIGHT HEALTH, INC. S-1 Cooley LLP
RIMINI STREET, INC. S-1 Covington & Burling LLP
FRANKLIN FINANCIAL NETWORK INC. FRFN S-4 OTC Daniel W. Small & Company
ARDMORE SHIPPING CORP ASC F-1 NYSE Davis Polk & Wardwell LLP
PQ HOLDINGS INC. S-1 Debevoise & Plimpton LLP
XPEDX HOLDING CO S-1 Debevoise & Plimpton LLP
AMBER ROAD, INC. S-1 Dentons US LLP
Q2 HOLDINGS, INC. S-1 DLA Piper LLP
CHS INC CHSCO S-1 Nasdaq Dorsey & Whitney LLP
US FUEL CORP USFF 10-12G Drinkwater & Goldstein LLP
INSTITUTIONAL FINANCIAL MARKETS, INC. IFMI S-3 NYSE Duane Morris LLP
COPYTELE INC COPY S-3 OTC Ellenoff Grossman & Schole LLP
NEW HORIZON EQUITY GROUP, INC. S-1 Ertz Law Group
ENERJEX RESOURCES, INC. ENRJ S-1 OTC Faegre Baker Daniels
ENCISION INC ECIA S-1 OTC Faegre Baker Daniels LLP
BANCORPSOUTH INC BXS S-4 NYSE Fenimore, Kay, Harrison & Ford, LLP
CASTLIGHT HEALTH, INC. S-1 Fenwick & West LLP
DNA PRECIOUS METALS INC. DNAP S-1 OTC Frederick M. Lehrer, Esq.
AMBER ROAD, INC. S-1 Goodwin Procter LLP
AASTROM BIOSCIENCES INC ASTM S-1 Nasdaq Goodwin Procter LLP
ENZYMOTEC LTD. ENZY F-1 Nasdaq Gornitzky & Co.
MEDIWOUND LTD. F-1 Nasdaq Gornitzky & Co.
TECNOGLASS INC. TGLS S-3 Nasdaq Graubard Miller
ORCHID ISLAND CAPITAL, INC. ORC S-11 NYSE Graubard Miller
MARY FEED & SUPPLIES, INC. S-1 Hamilton & Associates Law Group, P.A.
ADVANCED CANNABIS SOLUTIONS, INC. CANN S-1 OTC Hart & Hart, LLC
GALLAGHER ARTHUR J & CO AJG S-4 NYSE Harter Secrest & Emery LLP
HEALTH INSURANCE INNOVATIONS, INC. HIIQ S-3 Nasdaq Health Insurance Innovations, Inc.
ALION SCIENCE & TECHNOLOGY CORP S-1 Holland & Knight LLP
HIGHWOODS PROPERTIES INC HIW S-3 NYSE Hunton & Williams LLP
ORCHID ISLAND CAPITAL, INC. ORC S-11 NYSE Hunton & Williams LLP
GREENKRAFT, INC. SGBLD S-1 OTC Indeglia & Carney, LLP
MINDPIX CORP 10-12G Jonathan D. Leinwand, P.A.
MIDWEST HOLDING INC. S-4 Jones & Keller, P.C.
TIMKENSTEEL CORP 10-12B Jones Day
POWER SOLUTIONS INTERNATIONAL, INC. PSIX S-3 Nasdaq Katten Muchin Rosenman LLP
21ST CENTURY ONCOLOGY HOLDINGS, INC. S-1 Kirkland & Ellis LLP
XPEDX HOLDING CO S-1 Kirkland & Ellis LLP
OLD NATIONAL BANCORP /IN/ ONB S-4 Nasdaq Krieg DeVault LLP
AKEBIA THERAPEUTICS, INC. S-1 Latham & Watkins LLP
LA QUINTA HOLDINGS INC. S-1 Latham & Watkins LLP
PQ HOLDINGS INC. S-1 Latham & Watkins LLP
STALWART TANKERS INC. F-1 Latham & Watkins LLP
AMERICAN XANTHAN CORP S-1 Law Office of Conrad C. Lysiak, P.S.
LIVEDEAL INC LIVE S-3 Nasdaq Loeb & Loeb LLP
SUPERTEL HOSPITALITY INC SPPR S-11 Nasdaq McGrath North Mullin & Kratz, PC LLO
ENZYMOTEC LTD. ENZY F-1 Nasdaq Meitar Liquornik Geva Leshem Tal
MEDIWOUND LTD. F-1 Nasdaq Meitar Liquornik Geva Leshem Tal
CHYRONHEGO CORP CHYR S-3 Nasdaq Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
O’CONNOR EQUUS N-2 Morgan, Lewis & Bockius LLP
CELSION CORP CLSN S-3 Nasdaq O’Melveny & Myers LLP
NANOFLEX POWER CORP OPVS S-1 OTC Ofsink, LLC
EVOLUTION PETROLEUM CORP EPM S-3 NYSE Porter Hedges LLP
RCS CAPITAL CORP RCAP S-1 NYSE Proskauer Rose LLP
RCS CAPITAL CORP RCAP S-1 NYSE RCS Capital
ENERJEX RESOURCES, INC. ENRJ S-1 OTC Reicker, Pfau, Pyle & McRoy LLP
DANDRIT BIOTECH USA, INC. S-1 Richardson & Patel, LLP
RIMINI STREET, INC. S-1 Rimini Street, Inc.
AKEBIA THERAPEUTICS, INC. S-1 Ropes & Gray LLP
ARDMORE SHIPPING CORP ASC F-1 NYSE Seward & Kissel LLP
STALWART TANKERS INC. F-1 Sidley Austin LLP
CHS INC CHSCO S-1 Nasdaq Sidley Austin LLP
LA QUINTA HOLDINGS INC. S-1 Simpson Thacher & Bartlett LLP
ENZYMOTEC LTD. ENZY F-1 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
MEDIWOUND LTD. F-1 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
HUNTSMAN INTERNATIONAL LLC S-4 Stoel Rives LLP
BMO LLOYD GEORGE FRONTIER MARKETS EQUITY FUND N-2 Stradley Ronon Stevens & Young, LLP
MAGNEGAS CORP MNGA S-3 Nasdaq Szaferman, Lakind, Blumstein & Blader, P.C.
HEALTH REVENUE ASSURANCE HOLDINGS, INC. HRAA S-1 OTC Szaferman, Lakind, Blumstein & Blader, P.C.
AKEBIA THERAPEUTICS, INC. S-1 Thompson Hine LLP
DANDRIT BIOTECH USA, INC. S-1 Troutman Sanders LLP
BANCORPSOUTH INC BXS S-4 NYSE Waller Lansden Dortch & Davis, LLP
OLD NATIONAL BANCORP /IN/ ONB S-4 Nasdaq Warner Norcross & Judd LLP
ELIZABETH ARDEN INC RDEN S-4 Nasdaq Weil, Gotshal & Manges LLP
ENZYMOTEC LTD. ENZY F-1 Nasdaq White & Case LLP
MEDIWOUND LTD. F-1 Nasdaq White & Case LLP
E-WORLD USA HOLDING,INC S-1 Williams Securities Law Firm, P.A.
BOTTOMLINE TECHNOLOGIES INC /DE/ EPAY S-3 Nasdaq Wilmer Cutler Pickering Hale and Dorr LLP
Q2 HOLDINGS, INC. S-1 Wilson Sonsini Goodrich & Rosati PC
AEROHIVE NETWORKS, INC S-1 Wilson Sonsini Goodrich & Rosati, P.C.
RIMINI STREET, INC. S-1 Wilson Sonsini Goodrich & Rosati, P.C.
WIND POWER HOLDINGS INC 10-12B Wind Power Holdings, Inc.

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

Congratulations to the corporations and underwriters that worked with our transaction services team last week including Merrill Lynch, Pierce, Fenner & Smith Inc, Barclays Capital Inc., Jefferies LLC, Wells Fargo Securities, LLC, Northland Capital Markets and Euro Pacific Capital Inc..

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3
MEDIWOUND LTD. F-1 Credit Suisse Securities (USA) LLC Jefferies LLC BMO Capital Markets Corp.
AEROHIVE NETWORKS, INC S-1 Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. Piper Jaffray & Co.
CASTLIGHT HEALTH, INC. S-1 Goldman, Sachs & Co. Morgan Stanley & Co. LLC Allen & Company LLC
NANOFLEX POWER CORP S-1 GPEC Holdings, Inc.
LA QUINTA HOLDINGS INC. S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC
Q2 HOLDINGS, INC. S-1 J.P. Morgan Securities LLC Stifel, Nicolaus & Company, Inc. RBC Capital Markets, LLC
STALWART TANKERS INC. F-1 Jefferies LLC Wells Fargo Securities, LLC Global Hunter Securities, LLC
GREENKRAFT, INC. S-1 Kodiak Capital Group, LLC
ORCHID ISLAND CAPITAL, INC. S-11 Ladenburg Thalmann & Co. Inc.
AASTROM BIOSCIENCES INC S-1 Lincoln Park
DNA PRECIOUS METALS INC. S-1 Mammoth Corporation
RCS CAPITAL CORP S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Barclays Capital Inc. Realty Capital Securities, LLC
PQ HOLDINGS INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Credit Suisse Securities (USA) LLC J.P. Morgan Securities LLC
ENZYMOTEC LTD. F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Jefferies LLC Wells Fargo Securities, LLC
CHS INC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Wells Fargo Securities, LLC D.A. Davidson & Co.
ARDMORE SHIPPING CORP F-1 Morgan Stanley & Co. LLC
AKEBIA THERAPEUTICS, INC. S-1 Morgan Stanley & Co. LLC Credit Suisse Securities (USA) LLC UBS Securities LLC
21ST CENTURY ONCOLOGY HOLDINGS, INC. S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC Wells Fargo Securities, LLC
ENERJEX RESOURCES, INC. S-1 Northland Capital Markets Euro Pacific Capital Inc.
O’CONNOR EQUUS N-2 SEI Investments Distribution Co.
AMBER ROAD, INC. S-1 Stifel, Nicolaus & Company, Inc. Pacific Crest Securities LLC Canaccord Genuity Inc.
DANDRIT BIOTECH USA, INC. S-1 Sunrise Securities Corp.
RIMINI STREET, INC. S-1 UBS Securities LLC Piper Jaffray & Co. JMP Securities LLC

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

Watch our transactions services video NOW.  Learn why we are a preferred choice.

Have a great week.

The SEC is closed for Presidents’ Day: Monday, February 17th

In honor of Presidents’ Day, the SEC is closed on Monday, February 17, 2014. No files can be received.

Files submitted after 5:30 pm ET, February 14, 2014 will receive a filing date of February 18, 2014 and will be posted to the public on February 18, 2014 at 6:00 am ET.

PRES

Need something to do over the long weekend? Click the photo above and order our new FREE 2014 SEC Reporting Rules: 10-K, 10-Q, 8-K and PROXY Guidebooks for Accounting Professionals & Law Firms

As with other holiday closings, the following file types will receive a Friday, February 14, 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, February 17, 2014, the SEC will move the due date to the next business day, Tuesday, February 18, 2014.

Have a great day.