Monthly Archives: September 2014

IPOs and Transactions: September 22 – 26

There were 45 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Skyline Medical Inc. w/ Greenberg Traurig LLP, Maslon Edelman Borman & Brand LLP and Reed Smith LLP, Genspera Inc. w/ Silvestre Law Group PC and Sigma Labs Inc. w/ TroyGould PC.

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
MAMMOTH ENERGY PARTNERS LP S-1 Akin Gump Strauss Hauer & Feld LLP
HESS MIDSTREAM PARTNERS LP S-1 Andrews Kurth LLP
COSI INC COSI S-1 Nasdaq Cadwalader, Wickersham & Taft LLP
WELLS FARGO REAL ESTATE INVESTMENT CORP. S-11 Cleary Gottlieb Steen & Hamilton LLP
RETAIL OPPORTUNITY INVESTMENTS CORP ROICW S-3 Nasdaq Clifford Chance US LLP
CHC GROUP LTD. HELI S-1 NYSE Cooley LLP
DBV TECHNOLOGIES S.A. F-1 Cooley LLP
FANTEX, INC. S-1 OTC Cooley LLP
VITAL THERAPIES INC VTL S-1 Nasdaq Cooley LLP
COHERUS BIOSCIENCES, INC. S-1 Davis Polk & Wardwell LLP
CHC GROUP LTD. HELI S-1 NYSE Debevoise & Plimpton LLP
TRIBUNE MEDIA CO TRBAA 10-12B OTC Debevoise & Plimpton LLP
CAREY CREDIT INCOME FUND – SERIES 2015 T N-2 Dechert LLP
PETROSHARE CORP. S-1 Dufford & Brown, P.C.
MAD CATZ INTERACTIVE INC MCZ S-3 NYSE Durham Jones & Pinegar, P.C.
CURRENCY SHARES CHINESE RENMINBI TRUST FXCH S-1 NYSE Foley & Lardner LLP
CURRENCY SHARES SINGAPORE DOLLAR TRUST FXSG S-1 NYSE Foley & Lardner LLP
GROWBLOX SCIENCES, INC. GBLX S-1 OTC Gary R. Henrie, Esq.
DBV TECHNOLOGIES S.A. F-1 Goodwin Procter LLP
QUINPARIO ACQUISITION CORP. 2 S-1 Graubard Miller
SKYLINE MEDICAL INC. BIOR S-1 OTC Greenberg Traurig, LLP
PANTOP CORP S-1 Grenfell Capital Limited
FULLCIRCLE REGISTRY INC FLCR S-1 OTC Haddan & Zepfel LLP
PETRICHOR CORP. S-1 Harrison Law, P.A.
AMERICAN MIDSTREAM PARTNERS, LP AMID S-3 NYSE Holland & Hart LLP
CORENERGY INFRASTRUCTURE TRUST, INC. CORR S-3 NYSE Husch Blackwell LLP
QUINPARIO ACQUISITION CORP. 2 S-1 Kirkland & Ellis LLP
COHERUS BIOSCIENCES, INC. S-1 Latham & Watkins LLP
CORESITE REALTY CORP COR S-3 NYSE Latham & Watkins LLP
EVRAZ NORTH AMERICA LTD F-1 Latham & Watkins LLP
EXMAR ENERGY PARTNERS LP F-1 Latham & Watkins LLP
FANTEX, INC. S-1 OTC Latham & Watkins LLP
HESS MIDSTREAM PARTNERS LP S-1 Latham & Watkins LLP
MAMMOTH ENERGY PARTNERS LP S-1 Latham & Watkins LLP
PES LOGISTICS PARTNERS LP S-1 Latham & Watkins LLP
GEOTRAQ INC. GTRQ S-1 OTC Law Offices of Thomas E. Puzzo, PLLC
ARABELLA EXPLORATION, INC. AXPLF F-1 OTC Loeb & Loeb LLP
BODY CENTRAL CORP BODY S-1 OTC Lowenstein Sandler LLP
SKYLINE MEDICAL INC. BIOR S-1 OTC Maslon Edelman Borman & Brand, LLP
MOMS ONLINE, INC. 10-12G Moms Online Inc.
PANAMERA HEALTHCARE CORP S-1 Parsons/ Burnett/ Bjordahl/ Hume, LLP
SKYLINE MEDICAL INC. BIOR S-1 OTC Reed Smith LLP
ENERJEX RESOURCES, INC. ENRJ.P S-1 NYSE Reicker, Pfau, Pyle & McRoy LLP
COVENANT TRANSPORTATION GROUP INC CVTI S-3 Nasdaq Scudder Law Firm, P.C., L.L.O.
GENSPERA INC GNSZ S-1 OTC Silvestre Law Group, P.C.
CHC GROUP LTD. HELI S-1 NYSE Simpson Thacher & Bartlett LLP
KILGORE COMPANIES, LLC S-4 Simpson Thacher & Bartlett LLP
GAMCO GLOBAL GOLD, NATURAL RESOURCES & INCOME TRUST GGN.PR.A N-2 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
EVRAZ NORTH AMERICA LTD F-1 Skadden, Arps, Slate, Meagher and Flom LLP
ARISTOCRAT GROUP CORP. ASCC S-1 OTC Sonfield & Sonfield
WELLS FARGO REAL ESTATE INVESTMENT CORP. S-11 Sullivan & Cromwell LLP
CREDIT SUISSE CORPORATE CREDIT SOLUTIONS FUND, INC. N-2 Sutherland Asbill & Brennan LLP
PERIYA CORP. S-1 Szaferman, Lakind, Blumstein & Blader, P.C.
RICH PHARMACEUTICALS, INC. RCHAD S-1 OTC Szaferman, Lakind, Blumstein & Blader, P.C.
SIGMA LABS, INC. SGLB S-3 OTC TroyGould PC
SB FINANCIAL GROUP, INC. SBFG S-1 Nasdaq Tucker Ellis LLP
EXMAR ENERGY PARTNERS LP F-1 Vinson & Elkins L.L.P.
PES LOGISTICS PARTNERS LP S-1 Vinson & Elkins L.L.P.
SB FINANCIAL GROUP, INC. SBFG S-1 Nasdaq Vorys, Sater, Seymour and Pease LLP
CREDIT SUISSE CORPORATE CREDIT SOLUTIONS FUND, INC. N-2 Willkie Farr & Gallagher LLP
VITAL THERAPIES INC VTL S-1 Nasdaq 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.

Have a great week.

IPO Underwriters of the Week: September 22 – 26

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 +
SKYLINE MEDICAL INC. S-1 Aegis Capital Corp. ~ ~
DBV TECHNOLOGIES F-1 Citigroup Global Markets Inc. Leerink Partners LLC Bryan, Garnier & Co. / Trout Capital LLC
EVRAZ NORTH AMERICA LTD F-1 Citigroup Global Markets Inc. Goldman, Sachs & Co. ~
MAMMOTH ENERGY PARTNERS LP S-1 Credit Suisse Securities (USA) LLC ~ ~
QUINPARIO ACQUISITION CORP. 2 S-1 Deutsche Bank Securities Inc. Cantor Fitzgerald & Co. ~
ARABELLA EXPLORATION, INC. F-1 EarlyBird Capital, Inc. ~ ~
FANTEX, INC. S-1 Fantex Brokerage Services, LLC ~ ~
HESS MIDSTREAM PARTNERS LP S-1 Goldman, Sachs & Co. Morgan Stanley & Co. LLC ~
EXMAR ENERGY PARTNERS LP F-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc.
COHERUS BIOSCIENCES, INC. S-1 J.P. Morgan Securities LLC Credit Suisse Securities (USA) LLC Cowen and Company, LLC
ARISTOCRAT GROUP CORP. S-1 Jaxon Group Corp. ~ ~
SB FINANCIAL GROUP, INC. S-1 Keefe, Bruyette & Woods, Inc. ~ ~
FULLCIRCLE REGISTRY INC S-1 Kodiak Capital Group, LLC ~ ~
RICH PHARMACEUTICALS, INC. S-1 Macallan Partners, LLC ~ ~
PES LOGISTICS PARTNERS LP S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Credit Suisse Securities (USA) LLC ~
VITAL THERAPIES INC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. William Blair & Company, L.L.C. Canaccord Genuity Inc. / SunTrust Robinson Humphrey, Inc.
WELLS FARGO REAL ESTATE INVESTMENT CORP. S-11 Wells Fargo Securities, LLC ~ ~

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

Have a great week.

The intelligent and international value for Israel-based issuers

This month, Vintage’s president Liam Power traveled to Tel Aviv to present to a full audience of pre- and post-IPO Israel companies’ CEOs and their senior staff.

The conference was titled “Compliance & Communications Combined: Guiding Israel companies to meet SEC regulations, improve communications & transparency with investors.”

Vintage’s Liam Power and Elliot Goldstein offering “practical practices” in Israel

Vintage’s Liam Power and Elliot Goldstein offering “practical practices” in Israel

According to Liam, many of the attending companies were bio-based looking to (or are already) list on the NYSE. All of the attending companies were looking for insight on smart and successful access to the US capital markets. The questions asked were not about “best practices” but tangible “practical practices.” That’s EXACTLY where intelligent value is focused.

Presenting with Liam was (camera shy) Rakefet Sudri from our Israel office. Topics discussed:

  • The S-1 filing workflow process
  • The need for flexible XBRL filing process and the impact of quality
  • “How Investors Consume Investor Relations Content”
  • Time saving (seamless) workflow from EDGAR out into the newswires

Rakefet did such an exceptional job presenting “How Investors…,” that she has been invited to present in front of 1,500 capital markets professionals at EY’s annual “Journeys” event on October 30th.

For a sneak peek at her presentation, download the source whitepaper here.

Have a great weekend

Adding our expertise to the NYSE Governance Services Boardroom Summit, 9/30 – 10/1

Exciting news for Vintage and the further recognition of our intelligent value begins next week and continues throughout 2015.

“We’re pleased to add Vintage to our quiver of experts,” said Ty Francis, Vice President & Publisher, NYSE Governance Services. “Their practical product experience for regulatory compliance and investor relations complements our other conference series partners and sponsors perfectly.

Our corporate audiences will find their knowledge of the tactical execution of compliance and shareholder communications extremely useful.”

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One benefit of being the silver sponsor and official financial printer for the NYSE Governance Services is a sneak peek at the topics and event materials for next week’s 11th Annual Boardroom Summit.

Topics include:

  • Rethinking Shareholder Engagement in the Age of Activism
  • Social Media and the Changing Landscape of Corporate Disclosure
  • The Regulatory and Rule Making Agendas: What to Expect
  • The Role of Special Committees in M&A Transactions
  • Crisis Preparedness and Response: “When Things Go Bump in The Night”
  • Top Questions the Board Should Ask about Your Compliance and Ethics Program
  • The Art of Shareholder Communication
  • The Real Key to Driving Total Shareholder Return

Wow! Hundreds of CEOs, CFOs, directors, counsel and advisors will be well prepared for what the future may bring the equities they support.

Look for us.

Have a great day.

Congratulations Rivet: celebrating when a partner gets more power

Equity Administration Solutions, Inc. (EASi) today announced that it has signed an agreement to acquire Rivet Software, our partner for bringing superior SaaS portal power to our fleXBRL program. Vintage is the #1 sales partner for Rivet’s Crossfire solution.

SAAS

Collectively Rivet and Vintage deliver to clients the ability for automating their XBRL data to flow from a source accounting system, manage documents and spreadsheets in Microsoft Office, file to the SEC and complete all print services, such as S-1 Drafting and Filing, Formatting, Typesetting, Investment Relations, and Deal Management.

The EASI acquisition gives Rivet a Red Bull of opportunity. From the announcement:

“We are very excited about the benefits our customers will receive from this union,” said Madelaine Rohan, Rivet Software CEO. “Our clients will not only continue to receive excellence in technology, services and support from the same industry leading team, but they will also gain from an expanded solution footprint and additional financial strength and investment.”

We are very pleased for the hard-working team at Rivet – and we look forward to them flexing their muscles with new ideas that will continue to improve our clients’ XBRL filing workflow experiences.

A link to a XBRL SaaS comparison checklist can be found on this page.

Have a great day.

IPOs and Transactions: September 15 – 19

There were 59 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Joint Corp w/ Johnson and Colmar and Mintz, Levin, Cohn, Ferris, Glovsky and Popeo PC, Crossroads Systems Inc. w/ Andrews Kurth LLP and Faegre Baker Daniels LLP and Bluerock Residential Growth REIT Inc. w/ Bass, Berry & Sims PLC and Kaplan Voekler Cunningham & Frank PLC.

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 Name Symbol Form Type Exchange Law firm / Advisor
US CONCRETE INC USCR S-3 Nasdaq Akin Gump Strauss Hauer & Feld LLP
CROSSROADS SYSTEMS INC CRDS S-1 Nasdaq Andrews Kurth LLP
BLUEROCK RESIDENTIAL GROWTH REIT, INC. BRG S-11 NYSE Bass, Berry & Sims PLC
HALLMARK HEALTHCARE COMPANY, LLC ~ S-4 ~ Bass, Berry & Sims PLC
LEPOTA INC ~ S-1 ~ Bauman & Associates Law Firm
INDEPENDENT BANK CORP INDB S-4 Nasdaq Bingham McCutchen LLP
PROTEON THERAPEUTICS INC ~ S-1 ~ Bingham McCutchen LLP
CORNERSTONE STRATEGIC VALUE FUND INC CLM N-2 NYSE Blank Rome LLP
CORNERSTONE TOTAL RETURN FUND INC CRF N-2 NYSE Blank Rome LLP
BLUE SKY MEDIA CORP ~ S-1 ~ Blue Sky Media Corporation
SOMO, INC. ~ S-1 ~ Clark Corporate Law Group, LLP
KONARED CORP KRED S-1 OTC Clark Wilson LLP
CLEANER YOGA MAT, INC. ~ S-1 ~ Cleaner Yoga Mat, Inc.
SKY SOLAR HOLDINGS, LTD. ~ F-1 ~ Clifford Chance US LLP
EXAGEN DIAGNOSTICS INC ~ S-1 ~ Cooley LLP
SIENTRA, INC. ~ S-1 ~ Cooley LLP
SOPHIRIS BIO INC. SPHS S-3 Nasdaq Cooley LLP
NEURODERM, LTD. ~ F-1 Nasdaq Covington & Burling LLP
NEW RED CANADA PARTNERSHIP ~ S-4 ~ Davies Ward Phillips & Vineberg LLP
FORMFACTOR INC FORM S-3 Nasdaq Davis Polk & Wardwell LLP
HANSON BUILDING PRODUCTS LTD ~ S-1 ~ Davis Polk & Wardwell LLP
INDEPENDENT BANK CORP INDB S-4 Nasdaq Day Pitney LLP
DINOCO OIL, INC ~ S-1 ~ Dinoco Oil, Inc.
IMMUNOMEDICS INC IMMU S-3 Nasdaq DLA Piper LLP
COMBIMATRIX CORP CBMX S-3 Nasdaq Dorsey & Whitney LLP
ENUMERAL BIOMEDICAL HOLDINGS, INC. ~ S-1 OTC Duane Morris LLP
NEURODERM, LTD. ~ F-1 Nasdaq Eitan, Mehulal & Sadot
HEDGEPATH PHARMACEUTICALS, INC. HPPI S-1 OTC Ellenoff Grossman & Schole LLP
CROSSROADS SYSTEMS INC CRDS S-1 Nasdaq Faegre Baker Daniels LLP
GLU MOBILE INC GLUU S-3 Nasdaq Fenwick & West LLP
HERON THERAPEUTICS, INC. /DE/ HRTX S-3 Nasdaq Gibson, Dunn & Crutcher LLP
NEURODERM, LTD. ~ F-1 Nasdaq Gornitzky & Co.
NAS ACQUISITION INC ~ S-1 ~ Harold Gewerter, Esq.
LONGWOOD CAPITAL GROUP, INC. ~ S-1 ~ Harold Gewerter, Esq., Ltd.
4TH GRADE FILMS INC FHGR S-1 OTC Hart & Hart, LLC
TRIUMPH BANCORP, INC. ~ S-1 ~ Hunton & Williams LLP
ICON VAPOR, INC. ~ 10-12G ~ Icon Vapor, Inc.
JOINT CORP ~ S-1 Nasdaq Johnson and Colmar
GUIDED THERAPEUTICS INC GTHP S-1 OTC Jones Day
BLUEROCK RESIDENTIAL GROWTH REIT, INC. BRG S-11 NYSE Kaplan Voekler Cunningham & Frank, PLC
TANTECH HOLDINGS LTD ~ F-1 ~ Kaufman & Canoles, P.C.
NEW RED CANADA PARTNERSHIP ~ S-4 ~ Kirkland & Ellis LLP
AMERICAN SUPERCONDUCTOR CORP /DE/ AMSC S-3 Nasdaq Latham & Watkins LLP
EXAGEN DIAGNOSTICS INC ~ S-1 ~ Latham & Watkins LLP
PELICAN LANDING GOLF RESORT VENTURES INC ~ S-4 ~ Latham & Watkins LLP
SIENTRA, INC. ~ S-1 ~ Latham & Watkins LLP
WILLIAM LYON HOMES WLH S-3 NYSE Latham & Watkins LLP
USA RESTAURANTS, INC. ~ S-1 ~ Lindsey Vinson, Esq.
QAD INC QADB S-3 Nasdaq Manatt, Phelps & Phillips, LLP
NORTH AMERICAN OIL & GAS CORP. NAMG S-1 OTC Matthew C. McMurdo, Esq.,
HEDGEPATH PHARMACEUTICALS, INC. HPPI S-1 OTC Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
JOINT CORP ~ S-1 Nasdaq Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
SAFEGUARD SCIENTIFICS INC SFE S-4 NYSE Morgan, Lewis & Bockius LLP
SAFEGUARD SCIENTIFICS INC SFE S-3 NYSE Morgan, Lewis & Bockius LLP
GREAT AMERICAN GROUP, INC. GAMR S-1 OTC Morrison & Foerster LLP
GLOBAL DIGITAL SOLUTIONS INC GDSI S-1 OTC Naccarato & Associates
CELSION CORP CLSN S-3 Nasdaq O’Melveny & Myers LLP
NEW RED CANADA PARTNERSHIP ~ S-4 ~ Osler, Hoskin & Harcourt LLP
VENTAS INC VTR S-4 NYSE Proskauer Rose LLP
PROTEON THERAPEUTICS INC ~ S-1 ~ Ropes & Gray LLP
HANSON BUILDING PRODUCTS LTD ~ S-1 ~ Shearman & Sterling LLP
SKY SOLAR HOLDINGS, LTD. ~ F-1 ~ Shearman & Sterling LLP
VERMILLION, INC. VRML S-3 Nasdaq Sidley Austin LLP
SIENTRA, INC. ~ S-1 ~ Sientra, Inc.
LIMONEIRA CO LMNR S-3 Nasdaq Squire Patton Boggs (US) LLP
NUVOLA, INC. ~ 10-12G ~ Stoecklein Law Group, LLP
FULL CIRCLE CAPITAL CORP FULL N-2 Nasdaq Sutherland Asbill & Brennan LLP
GOGO BABY, INC. ~ S-1 ~ Synergen Law Group, APC
FUEL PERFORMANCE SOLUTIONS, INC. IFUE S-1 OTC Szaferman, Lakind, Blumstein & Blader, P.C.
REVOLUTIONS MEDICAL CORP RMCP S-1 OTC Szaferman, Lakind, Blumstein & Blader, P.C.
TANTECH HOLDINGS LTD ~ F-1 ~ Szaferman, Lakind, Blumstein & Blader, P.C.
WARREN RESOURCES INC WRES S-3 Nasdaq Thompson & Knight LLP
EAGLE ROCK ENERGY PARTNERS L P EROC S-3 Nasdaq Vinson & Elkins L.L.P.
NEW RED CANADA PARTNERSHIP ~ S-4 ~ Wachtell, Lipton, Rosen & Katz
TRIUMPH BANCORP, INC. ~ S-1 ~ Wachtell, Lipton, Rosen & Katz
VENTAS INC VTR S-4 NYSE Wachtell, Lipton, Rosen & Katz
WALGREENS BOOTS ALLIANCE, INC. ~ S-4 ~ Wachtell, Lipton, Rosen & Katz
WBK 1, INC. ~ 10-12G ~ WBK 1, Inc.
NEURODERM, LTD. ~ F-1 Nasdaq White & Case LLP
EZTRADER INC. WGMI 10-12G OTC 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.

IPO Underwriters of the Week: September 15 – 19

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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Company Name Form Underwriter 1 Underwriter 2 Underwriter 3 +
NORTH AMERICAN OIL & GAS CORP. S-1 Beaufort Ventures PLC ~ ~
GOGO BABY, INC. S-1 DTH International Corporation ~ ~
SKY SOLAR HOLDINGS, LTD. F-1 FBR Capital Markets & Co. Cowen and Company, LLC Roth Capital Partners, LLC / Northland Securities, Inc.
JOINT CORP S-1 Feltl and Company, Inc. Sanders Morris Harris Inc. ~
WALGREENS BOOTS ALLIANCE, INC. S-4 Goldman, Sachs & Co. ~ ~
NEURODERM, LTD. F-1 Jefferies LLC Cowen and Company, LLC Oppenheimer & Co. Inc. / Roth Capital Partners, LLC
REVOLUTIONS MEDICAL CORP S-1 KVM Capital Partners ~ ~
EXAGEN DIAGNOSTICS INC S-1 Leerink Partners LLC Robert W. Baird & Co. Inc. William Blair & Company, L.L.C.
TANTECH HOLDINGS LTD F-1 Newbridge Securities Corporation ~ ~
CROSSROADS SYSTEMS INC S-1 Northland Capital Markets ~ ~
SIENTRA, INC. S-1 Piper Jaffray & Co. Stifel, Nicolaus & Company, Inc. Leerink Partners LLC / William Blair & Company, L.L.C.
TRIUMPH BANCORP, INC. S-1 Sandler O’Neill & Partners, L.P. Evercore Group L.L.C. Keefe, Bruyette & Woods, Inc.
PROTEON THERAPEUTICS INC S-1 Stifel, Nicolaus & Company, Inc. JMP Securities LLC Robert W. Baird & Co. Inc. / Oppenheimer & Co. Inc.
BLUEROCK RESIDENTIAL GROWTH REIT, INC. S-11 Wunderlich Securities, Inc. ~ ~

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

Have a great week.

Who are the next Investor Relations Officers? (…and a final #selfie w/ Jeff Morgan)

125 attendees are gathered in Boston this week for The National Investor Relations Institute’s (NIRI) Fundamentals of Investor Relations Seminar. This 3.5 day seminar is NIRI’s “IR 101” – and in addition to North America, the “students” (and current clients) fly in from across the globe: Brazil, Egypt, Iceland, India, Mexico, Netherlands, Palestine, Russia and Saudi Arabia.

Between the formal sessions, coffee refueling and our sales demonstrations (to thunderous applause), we conducted an attendee study to learn exactly how this Freshman Class of IROs is built.

Where did you come from?

ROLE

Are you a new hire or an internal change?   

years

There are no grand conclusions here, other than IR is predominantly a financial role – and many of the sessions have a heavier focus on the communications aspects of the IR role. That’s probably an easier path than trying to teach a marketing guy about GAAP reconciliation.

———————————————————————-

It’s also important to take a pause here and wish Jeff Morgan, NIRI’s exiting CEO, a sincere and fond farewell. Jeff became the CEO of NIRI in 2007 and immediately sculpted a business environment that takes expert care of IR practitioners and service providers alike. As Jeff said, “we’re all NIRI members.”

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Break a leg, Jeff!

IPOs and Transactions: September 8 – 12

There were 45 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Fifth Street Asset Management Inc. w/ Fried, Frank, Harris, Shriver & Jacobson LLP and Proskauer Rose LLP, Immune Pharmaceuticals Inc. w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo PC and Pearl Cohen Zedek Latzer Baratz and Innerworkings Inc. w/ Winston & Strawn 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
URSTADT BIDDLE PROPERTIES INC UBA S-3 NYSE Baker & McKenzie LLP
FIRST MERCHANTS CORP FRME S-4 Nasdaq Bingham Greenebaum Doll LLP
ENERGY & EXPLORATION PARTNERS, INC. ENXP S-1 ~ Bracewell & Giuliani LLP
GULFSLOPE ENERGY, INC. GSPE S-3 OTC Brewer & Pritchard, PC
MB BANCORP INC ~ S-1 ~ Breyer & Associates, PC
ISRAEL CHEMICALS LTD ISCHY F-1 OTC Cleary Gottlieb Steen & Hamilton LLP
MIRATI THERAPEUTICS, INC. MRTX S-3 Nasdaq Cooley LLP
VIROBAY INC ~ S-1 ~ Cooley LLP
XENON PHARMACEUTICALS INC. ~ S-1 ~ Cooley LLP
HILTON WORLDWIDE HOLDINGS INC. HLT S-1 NYSE Davis Polk & Wardwell LLP
ISRAEL CHEMICALS LTD ISCHY F-1 OTC Davis Polk & Wardwell LLP
CAREY CREDIT INCOME FUND SERIES 2015-A ~ N-2 ~ Dechert LLP
IMPERIAL HOLDINGS, INC. IFT S-3 NYSE Foley & Lardner LLP
FIFTH STREET ASSET MANAGEMENT INC. ~ S-1 Nasdaq Fried, Frank, Harris, Shriver & Jacobson LLP
GASE ENERGY, INC. GASE 10-12G OTC GASE Energy, Inc.
MAGNETEK, INC. MAG S-3 Nasdaq Godfrey & Kahn, S.C.
ISRAEL CHEMICALS LTD ISCHY F-1 OTC Goldfarb Seligman & Co.
MEVION MEDICAL SYSTEMS, INC. ~ S-1 ~ Goodwin Procter LLP
ZEBRA HOLDCO INC. ~ S-4 ~ Goodwin Procter LLP
ISRAEL CHEMICALS LTD ISCHY F-1 OTC Gross, Kleinhendler, Hodak, Halevy, Greenberg and Co.
AMERICAN RESIDENTIAL PROPERTIES, INC. ARPI S-3 NYSE Hunton & Williams LLP
WEWEARABLES, INC. ~ S-1 ~ Incorp Services, Inc.
LIGHTWAVE LOGIC, INC. LWLG S-1 OTC K&L Gates LLP
RETROPHIN, INC. RTRX S-3 Nasdaq Katten Muchin Rosenman LLP
MB BANCORP INC ~ S-1 ~ Kilpatrick Townsend & Stockton LLP
MW BANCORP, INC. ~ S-1 ~ Kilpatrick Townsend & Stockton LLP
FRESHPET, INC. ~ S-1 ~ Kirkland & Ellis LLP
NRG ENERGY, INC. NRG S-4 OTC Kirkland & Ellis LLP
FIRST MERCHANTS CORP FRME S-4 Nasdaq Krieg DeVault LLP
OLD NATIONAL BANCORP /IN/ ONB S-4 Nasdaq Krieg DeVault LLP
DAVE & BUSTER’S ENTERTAINMENT, INC. PLAY S-1 ~ Latham & Watkins LLP
FRESHPET, INC. ~ S-1 ~ Latham & Watkins LLP
PERFORMANCE FOOD GROUP CO ~ S-1 ~ Latham & Watkins LLP
PRA HEALTH SCIENCES, INC. ~ S-1 ~ Latham & Watkins LLP
VIROBAY INC ~ S-1 ~ Latham & Watkins LLP
SMITH MICRO SOFTWARE INC SMSI S-3 Nasdaq Loeb & Loeb LLP
BEN FRANKLIN FINANCIAL, INC. ~ S-1 ~ Luse Gorman Pomerenk & Schick, P.C.
MW BANCORP, INC. ~ S-1 ~ Luse Gorman Pomerenk & Schick, P.C.
ENERGY & EXPLORATION PARTNERS, INC. ENXP S-1 ~ Mayer Brown LLP
IMMUNE PHARMACEUTICALS INC IMNP S-3 Nasdaq Mintz, Levin, Cohn, Ferris, Glovsky and Popeo P.C.
KOLLTAN PHARMACEUTICALS INC ~ S-1 ~ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, PC
EURONAV NV ~ F-1 ~ Morgan, Lewis & Bockius LLP
IGATE CORP IGTE S-4 Nasdaq Morgan, Lewis & Bockius LLP
IMPRIMIS PHARMACEUTICALS, INC. IMMY S-3 Nasdaq Morrison & Foerster LLP
STATE BANK FINANCIAL CORP STBZ S-4 Nasdaq Nelson Mullins Riley & Scarborough LLP
IMMUNE PHARMACEUTICALS INC IMNP S-3 Nasdaq Pearl Cohen Zedek Latzer Baratz
ZEBRA HOLDCO INC. ~ S-4 ~ Perkins Coie LLP
FIFTH STREET ASSET MANAGEMENT INC. ~ S-1 Nasdaq Proskauer Rose LLP
MEDOVEX CORP. ~ S-1 ~ Roetzel & Andress, LPA
MEVION MEDICAL SYSTEMS, INC. ~ S-1 ~ Ropes & Gray LLP
MP VENTURES INC ~ S-1 ~ Securities Compliance Group, Ltd.
EURONAV NV ~ F-1 ~ Seward & Kissel LLP
NAKED BRAND GROUP INC. NAKD S-1 OTC Shearman & Sterling LLP
ZEBRA HOLDCO INC. ~ S-4 ~ Shearman & Sterling LLP
MARATHON PATENT GROUP, INC. MARA S-3 Nasdaq Sichenzia Ross Friedman Ference LLP
MEDOVEX CORP. ~ S-1 ~ Sichenzia Ross Friedman Ference LLP
ARYSTA LIFESCIENCE PLC ~ F-1 ~ Simpson Thacher & Bartlett LLP
HILTON WORLDWIDE HOLDINGS INC. HLT S-1 NYSE Simpson Thacher & Bartlett LLP
HILTON WORLDWIDE HOLDINGS INC. HLT S-4 NYSE Simpson Thacher & Bartlett LLP
PERFORMANCE FOOD GROUP CO ~ S-1 ~ Simpson Thacher & Bartlett LLP
PRA HEALTH SCIENCES, INC. ~ S-1 ~ Simpson Thacher & Bartlett LLP
ARYSTA LIFESCIENCE PLC ~ F-1 ~ Skadden, Arps, Slate, Meagher & Flom LLP
GUGGENHEIM CREDIT ALLOCATION FUND XGGMX N-2 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
STATE BANK FINANCIAL CORP STBZ S-4 Nasdaq Smith, Gambrell & Russell, LLP
DREYFUS TMT OPPORTUNITIES FUND, INC. ~ N-2 ~ Stroock & Stroock & Lavan LLP
LOCKBOX LINK, INC. ~ S-1 ~ The Moores Law Group
BEN FRANKLIN FINANCIAL, INC. ~ S-1 ~ Vedder Price
OLD NATIONAL BANCORP /IN/ ONB S-4 Nasdaq Warner Norcross & Judd LLP
DAVE & BUSTER’S ENTERTAINMENT, INC. PLAY S-1 ~ Weil, Gotshal & Manges LLP
KOLLTAN PHARMACEUTICALS INC ~ S-1 ~ Wilmer Cutler Pickering Hale and Dorr LLP
XENON PHARMACEUTICALS INC. ~ S-1 ~ Wilson Sonsini Goodrich & Rosati, P.C.
ZEBRA HOLDCO INC. ~ S-4 ~ Wilson Sonsini Goodrich & Rosati, P.C.
INNERWORKINGS INC INWK S-3 Nasdaq Winston & Strawn LLP

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Click here to review the week’s underwriters.

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IPO Underwriters of the Week: September 9 – 12

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 +
ENERGY & EXPLORATION PARTNERS, INC. S-1 Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC RBC Capital Markets, LLC
PERFORMANCE FOOD GROUP CO S-1 Credit Suisse Securities (USA) LLC Barclays Capital Inc. Wells Fargo Securities, LLC / Morgan Stanley & Co. LLC
EURONAV NV F-1 Deutsche Bank Securities Inc. Citigroup Global Markets Inc. J.P. Morgan Securities LLC / Morgan Stanley & Co. LLC
HILTON WORLDWIDE HOLDINGS INC. S-1 Deutsche Bank Securities Inc. Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. / Morgan Stanley & Co. LLC
FRESHPET, INC. S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC Robert W. Baird & Co. Inc. / Stifel, Nicolaus & Company, Inc. / SunTrust Robinson Humphrey, Inc. / Canaccord Genuity Inc.
ZEBRA HOLDCO INC. S-4 Goldman, Sachs & Co. J.P. Morgan Securities LLC ~
DAVE & BUSTER’S ENTERTAINMENT, INC. S-1 Jefferies LLC Piper Jaffray & Co. William Blair & Company, L.L.C. / Raymond James & Associates Inc. / Stifel, Nicolaus & Company, Inc. / LOYAL3 Securities, Inc.
MEVION MEDICAL SYSTEMS, INC. S-1 Jefferies LLC Leerink Partners LLC Oppenheimer & Co. Inc. / BTIG, LLC
PRA HEALTH SCIENCES, INC. S-1 Jefferies LLC Citigroup Global Markets Inc KKR Capital Markets LLC / UBS Securities LLC / Credit Suisse Securities (USA) LLC / Wells Fargo Securities, LLC / Robert W. Baird & Co. Inc. / William Blair & Company, L.L.C
XENON PHARMACEUTICALS INC. S-1 Jefferies LLC Wells Fargo Securities, LLC ~
MB BANCORP INC S-1 Keefe, Bruyette & Woods ~
KOLLTAN PHARMACEUTICALS INC S-1 Leerink Partners LLC Stifel, Nicolaus & Company, Inc. Guggenheim Securities, LLC / Janney Montgomery Scott LLC
ARYSTA LIFESCIENCE PLC F-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC Citigroup Global Markets Inc. / Deutsche Bank Securities Inc. / HSBC Securities (USA) Inc. / Nomura Securities International, Inc. / Jefferies LLC / Piper Jaffray & Co. / Macquarie Capital (USA) Inc. / Rabo Securities USA, Inc.
FIFTH STREET ASSET MANAGEMENT INC. S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC Goldman, Sachs & Co. / RBC Capital Markets, LLC / Credit Suisse Securities (USA) LLC / SMBC Nikko Securities America, Inc. / Barclays Capital Inc. / Deutsche Bank Securities Inc. / UBS Securities LLC
ISRAEL CHEMICALS LTD F-1 Morgan Stanley & Co. LLC Barclays Capital Inc. Deutsche Bank Securities Inc. / Goldman, Sachs & Co. / BMO Capital Markets Corp.
VIROBAY INC S-1 Piper Jaffray & Co. JMP Securities LLC Cantor Fitzgerald & Co. / Summer Street Research Partners
MEDOVEX CORP. S-1 ViewTrade Securities Inc. ~ ~

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

Have a great week.