Monthly Archives: November 2014

Vintage REIT Experts Onsite at the 2014 Annual Western Non-Traded REIT & Retail Alternative Investment Symposium

Regulatory compliance and fulfillment drive conversations at annual event Dana Point, CA, December 3 – 4

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NEW YORK, Nov 26, 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 IMN’s 10th Annual Western Non-Traded REIT & Retail Alternative Investment Symposium at The St. Regis Hotel in Dana Point, CA.

To keep up-to-date on their continued growth, Vintage invites all interested persons to follow in LinkedIn:http://prn.to/VintageLinkedIn

Recognized 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.

  • 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

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

Emerging Growth Companies Discover Intelligent Value from Vintage at the 2014 LD Micro Conference

M&A, IPO and investor relations drive conversations at annual event Los Angeles, CA, December 2 – 4

LDMICRONEW YORK, Nov. 25, 2014 /PRNewswire/ — 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 LD Micro Conference in The Luxe Sunset Bel Air in Los Angeles, CA.

To keep up-to-date on their continued growth, Vintage invites all interested persons to follow in LinkedIn: http://prn.to/VintageLinkedIn

Recognized 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

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

###

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

How Investors Consume Content Q#13: When you are reading an Annual Report, what format do you prefer?

A great quote about printed annual reports came out of last week’s PRSA Webinar: The Content That Motivates Investors:

“It just so happens that your friend here is only MOSTLY dead. There’s a big difference between mostly dead and all dead. Mostly dead is slightly alive.”

 ~ Miracle Max

Oops. Wrong quote! This is the quote – but it’s follows the same path:

“Very, very surprising to us [from our research] the extent to which the buy-side utilizes the annual report. They have it on their desk of the companies they own all year long, they refer to it all year long and the thing is dogged-eared by end of the year.”

~ Brian Rivel, Rivel Research

There is no question that hardcopy versions of annual reports are in decline since the adoption of Notice and Access. However, judging by our research below and Rivel Research’s buy-side analyst intelligence, print remains to be slightly alive. In fact. 47% seems more than just slightly. 

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Click image to enlarge.

Annual report fulfillment, like ALL shareholder communications, is a  mosaic of media and messages.  For discussion, take a look at a “perfect” annual report right here.

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You don’t need a miracle to meet your shareholder expectations and find solutions that balance their needs with your budget.

We help issuers prepare for their next annual report budget by auditing their most current annual report, page-by-page.  Simply upload your 2013 annual report PDF here.

Have a great day

IPOs and Transactions: November 17 – 21

There were 61 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Celsus Therapeutics PLC w/ Goodwin Procter LLP and Mintz, Levin, Cohn, Ferris Glovsky and Popeo, PC, IBIO Inc. w/ Andrew Abramowitz, PLLC and General Agriculture Corp. w/ Kelley Drye & Warren 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
IBIO, INC. IBIO S-3 NYSE Andrew Abramowitz, PLLC
TARGA RESOURCES CORP. TRGP S-4 NYSE Atlas Energy, L.P.
TARGA RESOURCES PARTNERS LP NGLS S-4 NYSE Atlas Pipeline Partners, L.P.
ELTM, L.P. ~ S-3 ~ Baker & Hostetler LLP
SCRIPPS E W CO /DE SSP S-4 NYSE Baker & Hostetler LLP
ACCESS MIDSTREAM PARTNERS LP ACMP S-4 NYSE Baker Botts L.L.P.
ENGILITY HOLDINGS, INC. EGL S-4 NYSE Bass, Berry & Sims PLC
FORUM ACQUISITIONS II, INC. ~ 10-12G ~ BlackPool Acquisitions, LLC.
BRAC GLOBAL AUTOMOTIVE, INC. ~ 10-12G ~ BRAC Global Automotive, Inc
RING ENERGY, INC. REI S-3 NYSE Burleson LLP
KINDRED HEALTHCARE, INC KND S-4 NYSE Cleary Gottlieb Steen & Hamilton LLP
BELLICUM PHARMACEUTICALS, INC S-1 Nasdaq Cooley LLP
TREVENA INC TRVN S-1 Nasdaq Cooley LLP
BELLICUM PHARMACEUTICALS, INC S-1 Nasdaq Covington & Burling LLP
CTI BIOPHARMA CORP CTIC S-3 Nasdaq CTI BioPharma Corp.
MAGELLAN PETROLEUM CORP /DE/ MPET S-3 Nasdaq Davis Graham & Stubbs LLP
ADVANCED ACCELERATOR APPLICATIONS S.A. F-1 Nasdaq Davis Polk & Wardwell LLP
JD.COM, INC. JD F-1 Nasdaq Davis Polk & Wardwell LLP
ADVANCED ACCELERATOR APPLICATIONS S.A. F-1 Nasdaq Dechert LLP
CINCINNATI FINANCIAL CORP CINF S-3 Nasdaq Dinsmore & Shohl LLP
PAYLOCITY HOLDING CORP PCTY S-1 Nasdaq DLA Piper LLP
FRANKLIN COVEY CO FC S-3 NYSE Dorsey & Whitney LLP
ACORN ENERGY, INC. ACFN S-3 Nasdaq Eilenberg & Krause LLP
OCULUS INNOVATIVE SCIENCES, INC. OCLS S-1 Nasdaq Ellenoff Grossman & Schole LLP
TOA OPTICAL TECH, INC. ~ S-1 ~ ETN Services LLC
CURRENCYSHARES EURO TRUST FXE S-3 NYSE Foley & Lardner LLP
SCRIPPS E W CO /DE SSP S-4 NYSE Foley & Lardner LLP
KINDRED HEALTHCARE, INC KND S-4 NYSE Gentiva Health Services, Inc.
ACCESS MIDSTREAM PARTNERS LP ACMP S-4 NYSE Gibson, Dunn & Crutcher LLP
ASHFORD HOSPITALITY PRIME, INC. AHP S-3 NYSE Gibson, Dunn & Crutcher LLP
CELSUS THERAPEUTICS PLC. CLTX S-1 Nasdaq Goodwin Procter LLP
KINDRED HEALTHCARE, INC KND S-4 NYSE Greenberg Traurig, LLP
21ST CENTURY FOX AMERICA, INC. ~ S-4 ~ Hogan Lovells US LLP
PACIFIC PREMIER BANCORP INC PPBI S-4 Nasdaq Holland & Knight LLP
I MINERALS INC ~ 10-12G ~ I-Minerals Inc.
HII TECHNOLOGIES, INC. HIIT S-1 OTC Indeglia & Carney, LLP.
BIOHEART, INC. BHRT S-1 OTC Jill Arlene Robbins, P.A.
SCRIPPS E W CO /DE SSP S-4 NYSE Journal Communications, Inc.
WESBANCO INC WSBC S-4 Nasdaq K&L Gates LLP
BLUEROCK RESIDENTIAL GROWTH REIT, INC. BRG S-3 NYSE Kaplan Voekler Cunningham & Frank, PLC
RAND LOGISTICS, INC. RLOG S-3 Nasdaq Katten Muchin Rosenman LLP
GENERAL AGRICULTURE CORP GELT S-1 OTC Kelley Drye & Warren LLP
ACCESS MIDSTREAM PARTNERS LP ACMP S-4 NYSE Latham & Watkins LLP
ADVANCED DRAINAGE SYSTEMS, INC. WMS S-1 NYSE Latham & Watkins LLP
JUNO THERAPEUTICS, INC. ~ S-1 ~ Latham & Watkins LLP
PELICAN LANDING GOLF RESORT VENTURES INC ~ S-3 ~ Latham & Watkins LLP
TREVENA INC TRVN S-1 Nasdaq Latham & Watkins LLP
METALICO INC MEA S-1 NYSE Lowenstein Sandler LLP
CAPE BANCORP, INC. CBNJ S-4 Nasdaq Luse Gorman Pomerenk & Schick, P.C.
AQUA QUEST INTERNATIONAL, INC. ~ S-1 ~ Lux Investor Services
MENTOR CAPITAL, INC. ~ 10-12G ~ Mentor Capital, Inc.
CELSUS THERAPEUTICS PLC. CLTX S-1 Nasdaq Mintz, Levin, Cohn, Ferris Glovsky and Popeo, P.C.
LAKELAND INDUSTRIES INC LAKE S-3 Nasdaq Moomjian, Waite & Coleman, LLP
NATIONWIDE LIFE INSURANCE CO ~ S-1 ~ Nationwide Life Insurance Company
ALLIED NEVADA GOLD CORP. ANV S-3 NYSE Neal, Gerber & Eisenberg LLP
CTI BIOPHARMA CORP CTIC S-3 Nasdaq O’Melveny & Myers LLP
PAYLOCITY HOLDING CORP PCTY S-1 Nasdaq Orrick, Herrington & Sutcliffe LLP
TRANSGENOMIC INC TBIO S-3 Nasdaq Paul Hastings LLP
WESBANCO INC WSBC S-4 Nasdaq Phillips, Gardill, Kaiser & Altmeyer, PLLC
VIVEVE MEDICAL, INC. VIVMF S-1 OTC Richardson & Patel LLP
SUPREME LEGAL, INC. ~ S-1 ~ Securities Compliance Group, Ltd.
TRIMAX CONSULTING, INC. ~ S-1 ~ Securities Compliance Group, Ltd.
MARATHON PATENT GROUP, INC. MARA S-3 Nasdaq Sichenzia Ross Friedman Ference LLP
WESBANCO INC WSBC S-4 Nasdaq Silver, Freedman, Taff & Tiernan LLP
ENGILITY HOLDINGS, INC. EGL S-4 NYSE Simpson Thacher & Bartlett LLP
JD.COM, INC. JD F-1 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
ADVANCED DRAINAGE SYSTEMS, INC. WMS S-1 NYSE Squire Patton Boggs (US) LLP
PACIFIC PREMIER BANCORP INC PPBI S-4 Nasdaq Stinson Leonard Street LLP
TALON INTERNATIONAL, INC. TALN S-1 OTC Stubbs Alderton & Markiles, LLP
ENDO INTERNATIONAL PLC ENDP S-4 Nasdaq Sullivan & Cromwell LLP
OFS CAPITAL CORP OFS N-2 Nasdaq Sutherland Asbill & Brennan LLP
BLUE WATER GLOBAL GROUP, INC. BLUU S-1 OTC Taurus Financial Partners, LLC
OCULUS INNOVATIVE SCIENCES, INC. OCLS S-1 Nasdaq Trombly Business Law, PC
LION BIOTECHNOLOGIES, INC. LBIO S-3 OTC TroyGould PC
BUCKEYE PARTNERS, L.P. BPL S-3 NYSE Vinson & Elkins L.L.P.
TARGA RESOURCES CORP. TRGP S-4 NYSE Vinson & Elkins LLP
TARGA RESOURCES PARTNERS LP NGLS S-4 NYSE Vinson & Elkins LLP
VOYA RETIREMENT INSURANCE & ANNUITY CO ~ S-3 ~ Voya Retirement Insurance and Annuity Company
TARGA RESOURCES CORP. TRGP S-4 NYSE Wachtell, Lipton, Rosen & Katz
TARGA RESOURCES PARTNERS LP NGLS S-4 NYSE Wachtell, Lipton, Rosen & Katz
PELICAN LANDING GOLF RESORT VENTURES INC ~ S-3 ~ WCI Communities, Inc.
ENGILITY HOLDINGS, INC. EGL S-4 NYSE Weil, Gotshal & Manges LLP
SYNCHRONY FINANCIAL SYF S-3 NYSE Weil, Gotshal & Manges LLP
ADAMIS PHARMACEUTICALS CORP ADMP S-3 Nasdaq Weintraub Tobin Chediak Coleman Grodin, Law Corp.
ACCESS MIDSTREAM PARTNERS LP ACMP S-4 NYSE Williams Partners GP LLC
ENDO INTERNATIONAL PLC ENDP S-4 Nasdaq Willkie Farr & Gallagher LLP
WAVE SYSTEMS CORP WAVX S-3 Nasdaq Willkie Farr & Gallagher LLP
JUNO THERAPEUTICS, INC. ~ S-1 ~ Wilson Sonsini Goodrich & Rosati PC
CAPE BANCORP, INC. CBNJ S-4 Nasdaq Windels Marx Lane & Mittendorf, LLP
CEMPRA, INC. CEMP S-3 Nasdaq Wyrick Robbins Yates & Ponton 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: November 17 – 21

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 +
TREVENA INC S-1 Barclays Capital Inc. Cowen and Company, LLC Jefferies LLC / JMP Securities LLC / Needham & Company, LLC
ENGILITY HOLDINGS, INC. S-4 Barclays Capital Inc. ~ ~
ADVANCED DRAINAGE SYSTEMS, INC. S-1 Barclays Capital Inc. Deutsche Bank Securities Inc. ~
ADVANCED ACCELERATOR APPLICATIONS S.A. F-1 Citigroup Global Markets Inc. Jefferies LLC Canaccord Genuity Inc. / JMP Securities LLC
CELSUS THERAPEUTICS PLC. S-1 Cowen and Company, LLC Piper Jaffray & Co. MTS Securities, LLC
PAYLOCITY HOLDING CORP S-1 Deutsche Bank Securities Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. William Blair & Company, L.L.C.
BELLICUM PHARMACEUTICALS, INC S-1 Jefferies LLC Citigroup Global Markets Inc. Piper Jaffray & Co.
BIOHEART, INC. S-1 Magna Equities II, LLC ~ ~
OCULUS INNOVATIVE SCIENCES, INC. S-1 Maxim Group LLC Dawson James Securities, Inc. ~
JD.COM, INC. F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. UBS Securities LLC ~
AQUA QUEST INTERNATIONAL, INC. S-1 Midtown Partners & Co., LLC ~ ~
JUNO THERAPEUTICS, INC. S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC Goldman, Sachs & Co. / Leerink Partners LLC
VOYA RETIREMENT INSURANCE & ANNUITY CO S-3 Voya Financial Partners, LLC ~ ~
ACCESS MIDSTREAM PARTNERS LP S-4 Williams Partners GP LLC ~ ~

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

Have a great week.

SEC closed for Thanksgiving Holiday: Thursday, November 27

In honor of Thanksgiving Day, the SEC is closed on Thursday, November 27, 2014. No files can be received.

Files submitted after 5:30 pm ET, Wednesday, November 26, 2014 will receive a filing date of Friday, November 28, 2014 and will be posted to the public on November 28.

As with other holiday closings, the following file types will receive a Wednesday, November 26, 2014 filing date if filed by 10:00 pm ET on Wednesday:

  • Form 13H filings
  • Section 16 filings (3, 3/A, 4, 4/A, 5, 5/A)

For any filing with a due date of Thursday, November 27, 2014, the SEC will move the due date to the next business day, Friday, November 28, 2014.

Have a great day.

Introducing the Perfect Annual Report

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The adoption of the SEC’s “Notice and Access” regulation in 2008 brought many changes to corporate issuers’ processes surrounding the annual shareholder meeting: specifically the required delivery of the annual report and proxy materials to shareholders.

Notice and Access gives shareholders the choice to opt-in to receive all annual materials online, rather than hardcopy via snailmail. This web-inizing of the proxy environment (referred to as eproxy) saves companies substantial dollars.

From this, thousands of companies of all capitalizations, have downgraded or totally eliminated the stand-alone “glossy marketing” annual report and evolved to a “10-K Wrap,” which is simply the black and white printing of their SEC 10-K bound inside a full-color branded front and back cover.

A casualty of Notice and Access has been the marketing opportunity the printed annual report can literally deliver. This opportunity is particularly poignant when considering that 47% of investors report they still prefer hardcopy annual reports. This 47% is an incredible opportunity to creatively expand the investor relations content narrative beyond the raw year-end numbers. Clever, growth-focused companies have found a balance between keeping within an intelligent “Notice and Access” budget without forfeiting the marketing presence of a well-designed annual report.

The Perfect Annual Report is an intelligent value

One company that has obviously found this balance is Energy XXI, an independent oil and natural gas exploration and production company. A non-calendar year reporting NASDAQ-listed company, Energy XXI recently released their 2014 printed annual report, delivering not only the required 10-K file, but a beautifully published book that visually presents their company’s vitality and voice.

As shown in this video, the production value is superb: full color, full-bleed cover stock followed by nine pages of financial results summary, CEO letter and easy to read graphics of key growth metrics… all in full color. The remaining 10-K portion is beautifully typeset and printed black on an opaque white stock. For extra presence and “zing,” the book is fine-finished with a perfected bound spine that – along with isolated graphic elements on the front cover – has a “spot varnish.”

Certainly, there is no “best practice” for an annual report. Each company must decide for themselves what they need the piece to do, in context to audience, to delivery and to overall cost. Energy XXI set their strategy: fortunately for us, the intelligent value of our print services matched which allowed them to design and publish an end product we are all proud of.

Intelligent value for annual reports is the correct balance of quality, quantity and cost. Please visit this page (click here) to audit your 2013 annual report to budget for your 2014 annual report.

Have a great day

Planets align. International issuers win.

Deutsche Bank, OTC Markets and our virtual investor conference platform align to help ADRs  (American depositary receipt) meet North American investors.

An ADR is a stock that is bought and sold on a US exchange but are shares in a non-US corporation. Deutsche Bank sponsors ADRs… allowing them to trade like any US-stock. Many ADRs, from mega-cap on down, list on the OTC Markets to get great exposure into the North American equities markets.

Tomorrow, Deutsche Bank is hosting their quarterly virtual investors conference, bringing 12 companies to the eyes and ears of a targeted investor audience –  including OTC Markets’.  Proudly, Deutsche Bank is working with us for their event technology as well as targeted investor distribution.

“ADRs offer U.S.-based investors remarkable portfolio opportunities.  Unfortunately, many of these international issuers are unfamiliar on how to reach these potential shareholders. Deutsche Bank has demonstrated great leadership by creating its quarterly virtual investor conference series.

Giving CEOs and their senior teams real-time, open interaction with U.S.-based investors is an important first step for building long relationships.”

~ John Viglotti, VP, Investor Relations Products and Services at PR Newswire & Vintage.

To register, visit www.adr.db.com/dbvic. Pre-registration is recommended. The OTC Markets’ announcement is below.

Above: John briefly discusses the benefits of the RetailInvestorConferences platform.

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OTCQX® Companies to Present in Deutsche Bank ADR Virtual Investor Conference on November 19

NEW YORK, Nov. 17, 2014 /PRNewswire/ — OTC Markets Group Inc. (OTCQX: OTCM), operator of Open, Transparent and Connected financial marketplaces for 10,000 U.S. and global securities, today announced OTCQX® companies Akzo Nobel N.V.,Localiza Rent a Car S.A. and Heineken N.V. will present in Deutsche Bank’s ADR Virtual Investor Conference on November 19, beginning at 9:15 a.m. Eastern time.  The event will feature live webcast presentations by international companies with American Depositary Receipt (ADR) programs in the U.S. as they showcase their stories and answer questions from U.S. investors.

November 19 Schedule of OTCQX Company Presentations:

  • 9:15 a.m. EST — Akzo Nobel N.V. (NYSE Euronext Amsterdam: AKZA; OTCQX: AKZOY)
  • 11:30 a.m. EST — Localiza Rent a Car S.A. (BM&FBovespa: RENT3; OTCQX: LZRFY)
  • 12:15 p.m. EST – Heineken N.V. (NYSE Euronext Amsterdam: HEIA; OTCQX: HEINY)

“We are pleased Deutsche Bank is showcasing OTCQX companies in its November 19 ADR Virtual Investor Conference,” said Jason Paltrowitz, Managing Director and Global Head of Business Development for OTC Markets Group.  “OTCQX ADRs are among the most shareholder-friendly, highly-visible and actively-traded ADRs in the U.S. market and offer a tremendous opportunity for U.S. retail and institutional investors and analysts interested in non-U.S. companies.”

“Our virtual investor conference provides a unique platform to connect non-U.S. companies with a wide range of U.S. investors – both institutional and retail – simply, cost-effectively and often without leaving their desks,” commented Zafar Aziz, head of DR Market Solutions at Deutsche Bank. “When combined with other more mainstream IR activities, our depositary receipt clients enjoy comprehensive marketing support to raise their market profile.”

“ADRs offer U.S.-based investors remarkable portfolio opportunities.  Unfortunately, many of these international issuers are unfamiliar on how to reach these potential shareholders,” said John Viglotti, VP, Investor Relations Products and Services at PR Newswire & Vintage. “Deutsche Bank has demonstrated great leadership by creating its quarterly virtual investor conference series.  Giving CEOs and their senior teams real-time, open interaction with U.S.-based investors is an important first step for building long relationships.”

There is no fee for participants to log in, attend live presentations or ask questions at the event.

To register, visit www.adr.db.com/dbvic. Pre-registration is recommended.

About OTC Markets Group Inc.
OTC Markets Group Inc. (OTCQX: OTCM) operates Open, Transparent and Connected financial marketplaces for 10,000 U.S. and global securities.  Through our OTC Link® ATS, we directly link a diverse network of broker-dealers that provide liquidity and execution services for a wide spectrum of securities.  We organize these securities into marketplaces to better inform investors of opportunities and risks – OTCQX®, The Best Marketplace; OTCQB®, The Venture Marketplace; and OTC Pink®, The Open Marketplace.  Our data-driven platform enables investors to easily trade through the broker of their choice at the best possible price and empowers a broad range of companies to improve the quality and availability of information for their investors.  To learn more about how we create better informed and more efficient financial marketplaces, visit www.otcmarkets.com.

OTC Link ATS is operated by OTC Link LLC, member FINRA/SIPC and SEC regulated ATS.

IPOs and Transactions: November 10 – 14

There were 58 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Barington/ Hilco Acquisition Corp. w/ Graubard Miller and Kramer Levin Naftalis & Frankel LLP, Energous Corp. w/ Goodwin Procter LLP and K&L Gates LLP and Village Bank & Trust Financial Corp. w/ LeClairRyan, PC and Silver, Freedman, Taff & Tiernan 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
SEACOAST BANKING CORP OF FLORIDA SBCF S-3 Nasdaq Alston & Bird LLP
AMERIPRISE CERTIFICATE CO ~ S-1 ~ Ameriprise Certificate Company
ECO-STIM ENERGY SOLUTIONS, INC. ESES S-1 OTC Andrews Kurth LLP
MACROGENICS INC MGNX S-3 Nasdaq Arnold & Porter LLP
AZURE MIDSTREAM PARTNERS, LP ~ S-1 ~ Baker Botts L.L.P.
INTRICON CORP IIN S-3 Nasdaq Blank Rome LLP
WINTRUST FINANCIAL CORP WTFC S-4 OTC Boardman & Clark LLP
DYNAVAX TECHNOLOGIES CORP DVAX S-3 Nasdaq Cooley LLP
NEW RELIC INC ~ S-1 ~ Cooley LLP
PICO HOLDINGS INC /NEW PICO S-3 Nasdaq Cooley LLP
MARTIN MARIETTA MATERIALS INC MLM S-4 NYSE Cravath, Swaine & Moore LLP
PISHPOSH, INC. ~ S-1 ~ David Lubin & Associates, PLLC
BLUE EARTH, INC. BBLU S-3 Nasdaq Davidoff Hutcher & Citron, LLP
INTREPID AVIATION LTD ~ S-1 ~ Davis Polk & Wardwell LLP
CYTORI THERAPEUTICS, INC. CYTX S-3 Nasdaq DLA Piper LLP
COHBAR, INC. ~ S-1 ~ Dorsey & Whitney LLP
HEARTLAND FINANCIAL USA INC HTLF S-4 Nasdaq Dorsey & Whitney LLP
BUSINESS FIRST BANCSHARES, INC. ~ S-4 ~ Fenimore, Kay, Harrison & Ford LLP
FIRST NBC BANK HOLDING CO NBCB S-3 Nasdaq Fenimore, Kay, Harrison & Ford, LLP
GOPRO, INC. GPRO S-1 Nasdaq Fenwick & West LLP
NEW RELIC INC ~ S-1 ~ Fenwick & West LLP
COHBAR, INC. ~ S-1 ~ Garvey Schubert Barer
COUNTY BANCORP, INC. ~ S-1 ~ Godfrey & Kahn, S.C.
ENERGOUS CORP WATT S-1 Nasdaq Goodwin Procter LLP
HORTONWORKS, INC. ~ S-1 ~ Goodwin Procter LLP
BARINGTON/HILCO ACQUISITION CORP. ~ S-1 ~ Graubard Miller
OXFORD CITY FOOTBALL CLUB, INC. OXFC S-1 OTC Harrison Law, P.A.
FIVE PRIME THERAPEUTICS INC FPRX S-3 Nasdaq Hogan Lovells US LLP
CHERRY HILL MORTGAGE INVESTMENT CORP CHMI S-3 NYSE Hunton & Williams LLP
CHERRY HILL MORTGAGE INVESTMENT CORP CHMI S-3 NYSE Hunton & Williams LLP
IBERIABANK CORP IBKC S-4 Nasdaq Jones Walker LLP
AUREUS INC ~ S-1 ~ Joseph I. Emas Atty.
ENERGOUS CORP WATT S-1 Nasdaq K&L Gates LLP
BUSINESS FIRST BANCSHARES, INC. ~ S-4 ~ Kantrow, Spaht, Weaver & Blitzer (APLC)
KINDER HOLDING CORP. ~ 10-12G ~ Kinder Holding Corp.
INTERNATIONAL MARKET CENTERS, INC. ~ S-11 ~ Kirkland & Ellis LLP
BARINGTON/HILCO ACQUISITION CORP. ~ S-1 ~ Kramer Levin Naftalis & Frankel LLP
KVINTESS F&DI HOLDINGS CORP. ~ 10-12G ~ KVintess F&DI Holdings Corp.
EL POLLO LOCO HOLDINGS, INC. LOCO S-1 Nasdaq Latham & Watkins LLP
EVOKE PHARMA INC EVOK S-3 Nasdaq Latham & Watkins LLP
INTREPID AVIATION LTD ~ S-1 ~ Latham & Watkins LLP
SMART SAND PARTNERS LP ~ S-1 ~ Latham & Watkins LLP
YGEIA CONSULTING GROUP, INC. ~ S-1 ~ Law Office of Clifford J. Hunt, P.A.
ADOMANI, INC. ~ S-1 ~ Law Office of Conrad C. Lysiak, P.S.
VILLAGE BANK & TRUST FINANCIAL CORP. VBFC S-1 Nasdaq LeClairRyan, PC
RAVEN INDUSTRIES INC RAVN S-3 Nasdaq Maslon Edelman Borman & Brand, LLP
GULFSLOPE ENERGY, INC. GSPE S-3 OTC Mayer Brown LLP
OVASCIENCE, INC. OVAS S-3 Nasdaq Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
NEXPOINT MULTIFAMILY REALTY TRUST, INC. ~ S-11 ~ Morris, Manning & Martin, LLP
PORTUS CORP PORS S-1 OTC Northwest Law Group
ON DECK CAPITAL INC ~ S-1 ~ Orrick, Herrington & Sutcliffe LLP
US NUCLEAR CORP. ~ S-1 ~ Paesano Akkashian, P.C.
ROCKY MOUNTAIN CHOCOLATE FACTORY, INC. ~ S-4 ~ Perkins Coie LLP
CHINA TMK BATTERY SYSTEMS INC. DFEL 10-12G OTC Pillsbury Winthrop Shaw Pittman LLP
UNIQUE FABRICATING, INC. ~ S-1 ~ Polsinelli, P.C.
BONE BIOLOGICS, CORP. ~ S-1 ~ Reed Smith LLP
HEARTLAND FINANCIAL USA INC HTLF S-4 Nasdaq Reinhart Boerner Van Deuren S.C.
TIPTREE FINANCIAL INC. TIPT S-3 Nasdaq Schulte Roth & Zabel LLP
CHINA TMK BATTERY SYSTEMS INC. DFEL 10-12G OTC Sichenzia Ross Friedman Ference LLP
WINTRUST FINANCIAL CORP WTFC S-4 OTC Sidley Austin LLP
UNIQUE FABRICATING, INC. ~ S-1 ~ Sills Cummis & Gross, P.C.
VILLAGE BANK & TRUST FINANCIAL CORP. VBFC S-1 Nasdaq Silver, Freedman, Taff & Tiernan LLP
WALTER ENERGY, INC. WLT S-3 NYSE Simpson Thacher & Bartlett LLP
EL POLLO LOCO HOLDINGS, INC. LOCO S-1 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
INTERNATIONAL MARKET CENTERS, INC. ~ S-11 ~ Skadden, Arps, Slate, Meagher & Flom LLP
MOELIS & CO MC S-1 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
IBERIABANK CORP IBKC S-4 Nasdaq Smith Mackinnon, PA
CORE MOLDING TECHNOLOGIES INC CMT S-3 NYSE Squire Patton Boggs (US) LLP
LANTRONIX INC LTRX S-3 Nasdaq Stradling Yocca Carlson & Rauth, P.C.
HORTONWORKS, INC. ~ S-1 ~ Sullivan & Cromwell LLP
MOELIS & CO MC S-1 NYSE Sullivan & Cromwell LLP
COUNTY BANCORP, INC. ~ S-1 ~ Vedder Price P.C.
AZURE MIDSTREAM PARTNERS, LP ~ S-1 ~ Vinson & Elkins L.L.P.
ECO-STIM ENERGY SOLUTIONS, INC. ESES S-1 OTC Vinson & Elkins L.L.P.
NISKA GS HOLDINGS I, L.P. ~ S-4 ~ Vinson & Elkins L.L.P.
SMART SAND PARTNERS LP ~ S-1 ~ Vinson & Elkins L.L.P.
SPRAGUE RESOURCES LP SRLP S-3 NYSE Vinson & Elkins L.L.P.
TECHTARGET INC TTGT S-3 Nasdaq Wilmer Cutler Pickering Hale and Dorr LLP
GOPRO, INC. GPRO S-1 Nasdaq Wilson Sonsini Goodrich & Rosati PC
ON DECK CAPITAL INC ~ S-1 ~ Wilson Sonsini Goodrich & Rosati, P.C.

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IPO Underwriters of the Week: November 10 – 14

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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Registrar Form Underwriter 1 Underwriter 2 Underwriter 3 +
INTERNATIONAL MARKET CENTERS, INC. S-11 Barclays Capital Inc. Credit Suisse Securities (USA) LLC Wells Fargo Securities, LLC / Deutsche Bank Securities Inc. / J.P. Morgan Securities LLC
AZURE MIDSTREAM PARTNERS, LP S-1 Citigroup Global Markets Inc. Merrill Lynch, Pierce, Fenner & Smith Inc.
DYNAVAX TECHNOLOGIES CORP S-3 Cowen and Company, LLC ~ ~
BARINGTON/HILCO ACQUISITION CORP. S-1 EarlyBirdCapital, Inc. ~ ~
ECO-STIM ENERGY SOLUTIONS, INC. S-1 FBR Capital Markets & Co. Roth Capital Partners ~
INTREPID AVIATION LTD S-1 Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc. / Jefferies LLC / RBC Capital Markets, LLC / Wells Fargo Securities, LLC / Credit Agricole Securities (USA) Inc. / BNP Paribas Securities Corp.
HORTONWORKS, INC. S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC RBC Capital Markets, LLC / Pacific Crest Securities LLC / Wells Fargo Securities, LLC / Blackstone Advisory Partners L.P.
SMART SAND PARTNERS LP S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC ~
MOELIS & CO S-1 Goldman, Sachs & Co. Morgan Stanley & Co. LLC Moelis & Company LLC
GOPRO, INC. S-1 J.P. Morgan Securities LLC Barclays Capital Inc. Morgan Stanley & Co. LLC / Citigroup Global Markets Inc. / Allen & Company LLC / Stifel, Nicolaus & Company, Inc. / Robert W. Baird & Co. Inc. / JMP Securities LLC / Piper Jaffray & Co. / Raymond James & Associates, Inc.
EL POLLO LOCO HOLDINGS, INC. S-1 Jefferies LLC Morgan Stanley & Co. LLC Robert W. Baird & Co. Inc. / William Blair & Company, L.L.C. / Stifel, Nicolaus & Company, Inc.
EVOKE PHARMA INC S-3 MLV & Co. LLC ~ ~
NEW RELIC INC S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC Allen & Company LLC / UBS Securities LLC / JMP Securities LLC / Raymond James & Associates, Inc.
ON DECK CAPITAL INC S-1 Morgan Stanley & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC / Deutsche Bank Securities Inc. / Jefferies LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc. /  Needham & Company, LLC
ENERGOUS CORP S-1 Oppenheimer & Co. Inc. Roth Capital Partners, LLC. National Securities Corp.
COUNTY BANCORP, INC. S-1 Robert W. Baird & Co. Inc. Sterne, Agee & Leach, Inc. ~
UNIQUE FABRICATING, INC. S-1 Taglich Brothers, Inc. ~ ~

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

Have a great week.