Monthly Archives: December 2014

IPOs and Transactions: December 22 – 26 (plus 2015 SEC filing calendar)

There were 35 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including MyEcheck Inc. w/ Anslow & Jaclin LLP and Naidich Wurman Birnbaum & Mayday LLP and Longbau Group Inc. w/ Nail Law Group.

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
HALLIBURTON CO HAL S-4 NYSE Akin Gump Strauss Hauer & Feld LLP
CHECK-CAP LTD ~ F-1 ~ Amit, Pollak, Matalon & Co.
BROADWAY FINANCIAL CORP \DE\ BYFC S-1 Nasdaq Arnold & Porter LLP
TERRA TECH CORP. TRTC S-1 ~ Baker & Hostetler LLP
HALLIBURTON CO HAL S-4 NYSE Baker Botts L.L.P.
AMSURG CORP AMSG S-4 Nasdaq Bass, Berry & Sims PLC
PERRY ELLIS MENSWEAR, LLC ~ S-3 ~ Broad and Cassel
CAPITAL AUTO RECEIVABLES LLC ~ S-3 ~ Capital Auto Receivables LLC
ACTAVIS PLC ACT S-4 NYSE Cleary Gottlieb Steen & Hamilton LLP
REVERSE MORTGAGE INVESTMENT TRUST INC. RVMIZ S-11 ~ Clifford Chance US LLP
INFRAREDX INC ~ S-1 ~ Cooley LLP
ALDER BIOPHARMACEUTICALS INC ALDR S-1 Nasdaq Cooley LLP
ALTHEADX, INC. ~ S-1 Nasdaq Cooley LLP
BARNES & NOBLE INC BKS S-3 NYSE Cravath, Swaine & Moore LLP
HALLIBURTON CO HAL S-4 NYSE Davis Polk & Wardwell LLP
GLOBAL HOLDING INTERNATIONAL ~ S-1 ~ Dennis Brovarone, Esq.
CAMBRIDGE HOLDCO, INC. ~ S-4 ~ DLA Piper LLP
PENNSYLVANIA REAL ESTATE INVESTMENT TRUST PEIPRB S-3 NYSE Drinker Biddle & Reath LLP
FEDERAL-MOGUL MOTORPARTS CORP ~ 10-12B ~ Federal-Mogul Motorparts Corp.
CHECK-CAP LTD ~ F-1 ~ Fischer Behar Chen Well Orion & Co.
INFRAREDX INC ~ S-1 ~ Gibson, Dunn & Crutcher LLP
EASTERLY GOVERNMENT PROPERTIES, INC. ~ S-11 ~ Goodwin Procter LLP
ESPERION THERAPEUTICS, INC. ESPR S-3 Nasdaq Goodwin Procter LLP
BERKSHIRE HILLS BANCORP INC BHLB S-4 NYSE Goodwin Procter LLP
PAYCOM SOFTWARE, INC. PAYC S-1 NYSE Goodwin Procter LLP
BENECHILL, INC. ~ S-1 ~ Greenberg Traurig, P.A.
EBIZWARE, INC. ~ S-1 ~ Harold P. Gewerter, Esq. Ltd.
QUEST MANAGEMENT INC ~ S-1 ~ Harrison Law, P.A.
PAYCOM SOFTWARE, INC. PAYC S-1 NYSE Haynes and Boone, LLP
CAMBRIDGE HOLDCO, INC. ~ S-4 ~ Jones Day
FUEL OUTDOOR LLC ~ S-4 ~ Jones Day
PEREGRINE PHARMACEUTICALS INC PPHM S-3 Nasdaq K&L Gates LLP
CAPITAL AUTO RECEIVABLES LLC ~ S-3 ~ Kirkland & Ellis LLP
HAILIANG EDUCATION GROUP INC. ~ F-1 ~ Kirkland & Ellis LLP
PAYCOM SOFTWARE, INC. PAYC S-1 NYSE Kirkland & Ellis LLP
ALTHEADX, INC. ~ S-1 Nasdaq Latham & Watkins LLP
ENTELLUS MEDICAL INC ~ S-1 Nasdaq Latham & Watkins LLP
ACTAVIS PLC ACT S-4 NYSE Latham & Watkins LLP
TERRA TECH CORP. TRTC S-1 ~ Law Offices of Thomas E. Puzzo, PLLC
CHECK-CAP LTD ~ F-1 ~ Loeb & Loeb LLP
HAILIANG EDUCATION GROUP INC. ~ F-1 ~ Loeb & Loeb LLP
BERKSHIRE HILLS BANCORP INC BHLB S-4 NYSE Luse Gorman Pomerenk & Schick, P.C.
CAPITAL AUTO RECEIVABLES LLC ~ S-3 ~ Mayer Brown LLP
SOL-WIND RENEWABLE POWER, LP ~ S-1 ~ Milbank, Tweed, Hadley & McCloy LLP
MYECHECK, INC. ~ 10-12G ~ Naidich Wurman Birnbaum & Mayday LLP
LONGBAU GROUP INC ~ S-1 ~ Nail Law Group
PERRY ELLIS MENSWEAR, LLC ~ S-3 ~ Perry Ellis International, Inc.
CHECK-CAP LTD ~ F-1 ~ Reed Smith LLP
STONE RIDGE TRUST III ~ N-2 ~ Ropes & Gray LLP
BENECHILL, INC. ~ S-1 ~ Schiff Hardin LLP
ENTELLUS MEDICAL INC ~ S-1 Nasdaq Shearman & Sterling LLP
EASTERLY GOVERNMENT PROPERTIES, INC. ~ S-11 ~ Skadden, Arps, Slate, Meagher & Flom LLP
BLACK KNIGHT FINANCIAL SERVICES, INC. ~ S-1 ~ Sullivan & Cromwell LLP
BLUEARC MULTI-STRATEGY FUND ~ N-2 ~ Thompson Hine LLP
SOL-WIND RENEWABLE POWER, LP ~ S-1 ~ Vinson & Elkins L.L.P.
ARC LOGISTICS PARTNERS LP ARCX S-3 NYSE Vinson & Elkins L.L.P.
ACTAVIS PLC ACT S-4 NYSE Wachtell, Lipton, Rosen & Katz
HALLIBURTON CO HAL S-4 NYSE Wachtell, Lipton, Rosen & Katz
BLACK KNIGHT FINANCIAL SERVICES, INC. ~ S-1 ~ Weil, Gotshal & Manges LLP
ALDER BIOPHARMACEUTICALS INC ALDR 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: December 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 +
CHECK-CAP LTD F-1 Chardan Capital Markets, LLC Maxim Group LLC
ALTHEADX, INC. S-1 Citigroup Global Markets Inc. Jefferies LLC William Blair & Company, L.L.C. / Cantor Fitzgerald & Co.
EASTERLY GOVERNMENT PROPERTIES, INC. S-11 Citigroup Global Markets Inc. Raymond James & Associates, Inc. RBC Capital Markets, LLC
ALDER BIO-
PHARMACEUTICALS INC
S-1 Credit Suisse Securities (USA) LLC Leerink Partners LLC Wells Fargo Securities, LLC / Sanford C. Bernstein & Co., LLC
PAYCOM SOFTWARE, INC. S-1 Credit Suisse Securities (USA) LLC Barclays Capital Inc. J.P. Morgan Securities LLC / Jefferies LLC / Stifel, Nicolaus & Company, Inc. / Pacific Crest Securities LLC / Canaccord Genuity Inc.
BENECHILL, INC. S-1 Dawson James Securities, Inc. ~ ~
CAMBRIDGE HOLDCO, INC. S-4 EarlyBird
Capital, Inc.
~ ~
BERKSHIRE HILLS BANCORP INC S-4 Hampden Bancorp, Inc. ~ ~
ENTELLUS MEDICAL INC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Piper Jaffray & Co. William Blair & Company, L.L.C. / Canaccord Genuity Inc.
HAILIANG EDUCATION GROUP INC. F-1 Network 1 Financial Securities, Inc. ~ ~
BLUEARC MULTI-STRATEGY FUND N-2 Northern Lights Distributors, LLC ~ ~
STONE RIDGE TRUST III N-2 Quasar Distributors, LLC ~ ~
INFRAREDX INC S-1 RBC Capital Markets, LLC Canaccord Genuity Inc. BMO Capital Markets Corp. / Oppenheimer & Co. Inc.
SOL-WIND
RENEWABLE POWER, LP
S-1 UBS Securities LLC Citigroup Global Markets Inc. ~

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

Have a great week.

SEC closed on New Year’s Day: January 1, 2015

In honor of the New Year celebration, the SEC is closed on Thursday, January 1, 2015.  No files can be received. 

NEWYEARS

Files submitted after 5:30 pm ET, Wednesday, December 31, 2014 will receive a filing date of Friday, January 2nd, 2015 and will be posted to the public on January 2nd.

As with other holiday closings, the following file types will receive a Wednesday, December 31, 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, January 1, 2015 , the SEC will move the due date of Friday, January 2, 2015.

HAPPY NEW YEAR!

Predictions for Investor Relations and Regulatory Compliance in 2015

Our 2014 predictions were so incredibly Nostradamusyish, that we’re ready to predict what to expect for 2015 compliance and investor relations practices.  

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Yo evolves to become the #1 choice for IR social media. 

After careful deliberation, a special committee of investor relations practitioners with iPhones released their well-anticipated report on the application of social media for shareholder communications.

yo2

Past Yos does not guarantee future Yos.

 

After in-depth investigation that weighed all factors equally – audience penetration, content length, resource requirements, risk mitigation and use of purple hue – the committee has recommend the social media application Yo as the preferred engagement platform.

To further explain the study’s findings, committee chair Richard Clousure released this statement: “Yo.”

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congress2Republicans’ plan to take Congress public falters: IPO pulled

In an effort to accelerate fund raising for the 2016 elections, Congressional GOP leadership had put forth a bill effectively taking the Congress public. With an unprecedented list of underwriters, the Congressional IPO was estimated to become twice the size of Alibaba.

However, during meetings with their preferred exchange – the NYSE, of course – the House Committee pulled the IPO when they realized they would have to “disclosure stuff” as well as use XBRL.

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Jeff Morgan returns to NIRI: turns down role to host The Late Show

morgan

Steven Colbert look-alike Jeff Morgan (above) embraces truthiness in IR.

 

 

Members of the National Investor Relations Institute (NIRI) rejoice as ex-CEO Jeffrey D. Morgan, who recently stepped down after a seven seasons and two Emmys, returns to the helm.

Under Morgan’s renewed leadership, NIRI expands in mission to include the adoption of fair and simultaneous corporate truthiness as well as scheduling MUCH more time to visit vendors in the exhibit hall at the Annual Conference.

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SEC allows use of weapons against activists

proxyIn direct retaliation against the escalating offensive tactics activist investors during proxy fights, the Securities and Exchange Commission has approved a resolution to allow for General Counsel and Board Members to defend themselves with advanced weaponry including pointed sticks, clubs and rocks. Issuers under attack by Carl Icahn’s twitter feed can request a special waiver to hire ninjas.

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SEC announces trial 24.7-K filing for constant disclosure

Citing the popularity of paparazzi-heavy websites like TMZ, Gawker and Huffington Post as examples, the SEC has initiated a trial program where equities will be required to disclose everything pretty much all the time or whenever anyone asks. Titled File 24.7-K, the new requirement has proven itself to be a watershed action for shareholders, advancing corporate transparency at all ethical-minded corporations.

pumping

Stock fraud: the second oldest profession.

 

An unexpected, but welcome benefit has been the migration of pump-and-dump shell corporations off the stock exchanges – forcing them to solicit investors alongside the “escort cards” handed out on the streets in Las Vegas.

From Vintage and PR Newswire – Happy holidays and best regards for a great 2015!

IPOs and Transactions: December 15 – 19 (plus 2015 SEC filing calendar)

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 American Education Center Inc. w/ the Law Office of Yue & Associates, Intellicheck Mobilisa Inc. w/ Loeb & Loeb LLP and K&L Gates LLP and Rock Creek Pharmaceuticals, Inc. w / Foley & Lardner 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
LEGACY RESERVES LP LGCY S-4 Nasdaq Andrews Kurth LLP
S&T BANCORP INC STBA S-4 Nasdaq Arnold & Porter LLP
ENERGY FOCUS, INC/DE EFOI S-3 Nasdaq Baker & Hostetler LLP
INFRAREIT, INC. ~ S-11 ~ Baker Botts L.L.P.
VENAXIS, INC. APPY S-3 Nasdaq Ballard Spahr LLP
FIRST BUSINESS FINANCIAL SERVICES, INC. FBIZ S-3 Nasdaq Barack Ferrazzano Kirschbaum & Nagelberg LLP
RIVERVIEW FINANCIAL CORP ~ S-4 ~ Barley Snyder LLP
OVERSTOCK.COM, INC OSTK S-3 Nasdaq Bracewell & Giuliani LLP
COUNTERPATH CORP CPAH S-3 Nasdaq Clark Wilson LLP
NEW MEDIA INVESTMENT GROUP INC. NEWM S-1 NYSE Cleary Gottlieb Steen & Hamilton LLP
REHABCARE GROUP INC ~ S-4 ~ Cleary Gottlieb Steen & Hamilton LLP
QUOTIENT LTD QTNTU S-1 Nasdaq Clifford Chance US LLP
REVERSE MORTGAGE INVESTMENT TRUST INC. RVMIZ S-11 ~ Clifford Chance US LLP
ASCENDIS PHARMA A/S ~ F-1 Nasdaq Cooley LLP
GTX INC /DE/ GTXI S-3 Nasdaq Cooley LLP
MILLENNIAL MEDIA INC. MM S-3 NYSE Cooley LLP
NEOPHOTONICS CORP NPTN S-1 NYSE Cooley LLP
ASANTE SOLUTIONS, INC. ~ S-1 ~ Covington & Burling LLP
AVALANCHE BIOTECHNOLOGIES, INC. AAVL S-1 Nasdaq Covington & Burling LLP
SUMMIT MATERIALS, INC. ~ S-1 ~ Davis Polk & Wardwell LLP
RESOURCE CREDIT INCOME FUND ~ N-2 ~ Dechert LLP
PACIFIC DATAVISION, INC. PCVSZ S-1 ~ DLA Piper LLP
CYPRESS SEMICONDUCTOR CORP /DE/ CY S-4 Nasdaq Fenwick & West LLP
AMP HOLDING INC. AMPD S-1 ~ Fleming PLLC
ROCK CREEK PHARMACEUTICALS, INC. RCPI S-3 Nasdaq Foley & Lardner LLP
BG STAFFING, INC. BGSF S-3 NYSE Fulbright & Jaworski LLP
POAGE BANKSHARES, INC. PBSK S-1 Nasdaq Fulbright & Jaworski LLP
PATRIOT NATIONAL, INC. ~ S-1 ~ Gibson, Dunn & Crutcher LLP
ASANTE SOLUTIONS, INC. ~ S-1 ~ Goodwin Procter LLP
CENTURY COMMUNITIES, INC. CCS S-4 NYSE Greenberg Traurig, LLP
THERAPEUTICSMD, INC. TXMD S-3 NYSE Greenberg Traurig, P.A.
REVERSE MORTGAGE INVESTMENT TRUST INC. RVMIZ S-11 ~ Hunton & Williams LLP
AXION POWER INTERNATIONAL, INC. AXPW S-3 Nasdaq Jolie G. Kahn, Esq.
INSITE VISION INC INSV S-1 ~ Jones Day
INTELLICHECK MOBILISA, INC. IDN S-1 NYSE K&L Gates LLP
JOHN HANCOCK INVESTORS TRUST JHI N-2 NYSE K&L Gates LLP
JOHN HANCOCK TAX-ADVANTAGED GLOBAL SHAREHOLDER YIELD FUND HTY N-2 NYSE K&L Gates LLP
METROPOLITAN LIFE INSURANCE CO ~ S-3 ~ K&L Gates LLP
AVIS BUDGET GROUP, INC. CAR S-4 Nasdaq Kirkland & Ellis LLP
IHEART -COMMUNICATIONS, INC. ~ S-4 ~ Kirkland & Ellis LLP
ASCENDIS PHARMA A/S ~ F-1 Nasdaq Latham & Watkins LLP
AVALANCHE BIOTECHNOLOGIES, INC. AAVL S-1 Nasdaq Latham & Watkins LLP
INFRAREIT, INC. ~ S-11 ~ Latham & Watkins LLP
REGENCY ENERGY PARTNERS LP RGP S-3 NYSE Latham & Watkins LLP
AMERICAN EDUCATION CENTER, INC. ~ S-1 ~ Law Office of Yue & Associates
LEMONT INC ~ S-1 ~ Lemont Inc.
YULONG ECO-MATERIALS LTD ~ S-1 ~ LKP Global Law, LLP
INTELLICHECK MOBILISA, INC. IDN S-1 NYSE Loeb & Loeb LLP
POAGE BANKSHARES, INC. PBSK S-1 Nasdaq Luse Gorman Pomerenk & Schick, P.C.
TORNIER N.V. TRNX S-4 Nasdaq Oppenheimer Wolff & Donnelly LLP
BARCLAYS BANK DELAWARE ~ S-3 ~ Orrick, Herrington & Sutcliffe LLP
NEOPHOTONICS CORP NPTN S-1 NYSE Pillsbury Winthrop Shaw Pittman LLP
YULONG ECO-MATERIALS LTD ~ S-1 ~ Reed Smith LLP
S&T BANCORP INC STBA S-4 Nasdaq Rhoads & Sinon LLP
PINKBRICK HOLDINGS INC. ~ 10-12G ~ Richardson & Patel, LLP
NAC GLOBAL TECHNOLOGIES, INC. NACG S-1 OTC Robinson Brog Leinwand Greene Genovese & Gluck P.C.
TORNIER N.V. TRNX S-4 Nasdaq Ropes & Gray LLP
BOVIE MEDICAL CORP BVX S-3 NYSE Ruskin Moscou Faltischek, P.C.
AMP HOLDING INC. AMPD S-1 ~ Schiff Hardin LLP
TAPIOCA CORP ~ S-1 ~ Scott Olson Esq.
RIVERVIEW FINANCIAL CORP ~ S-4 ~ Shumaker Williams, PC
CAMAC ENERGY INC. CAK S-3 NYSE Sidley Austin LLP
ZAZA ENERGY CORP ZAZA S-1 Nasdaq Sidley Austin LLP
APX GROUP, INC. ~ S-4 ~ Simpson Thacher & Bartlett LLP
PATRIOT NATIONAL, INC. ~ S-1 ~ Simpson Thacher & Bartlett LLP
SUMMIT MATERIALS, INC. ~ S-1 ~ Simpson Thacher & Bartlett LLP
WALTER INVESTMENT MANAGEMENT CORP WAC S-3 NYSE Simpson Thacher & Bartlett LLP
NEW MEDIA INVESTMENT GROUP INC. NEWM S-1 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
BNY MELLON ALCENTRA MULTI-STRATEGY CREDIT FUND, INC. ~ N-2 ~ Stroock & Stroock & Lavan LLP
BB&T CORP BBT S-4 NYSE Sullivan & Cromwell LLP
ECHOSPHERE LLC ~ S-4 ~ Sullivan & Cromwell LLP
RENAISSANCERE HOLDINGS LTD RNR S-4 NYSE Sullivan & Cromwell LLP
NAC GLOBAL TECHNOLOGIES, INC. NACG S-1 OTC Szaferman, Lakind, Blumstein, & Blader, P.C.
PEDEVCO CORP PED S-3 NYSE The Loev Law Firm, PC
THERAPEUTICSMD, INC. TXMD S-3 NYSE TherapeuticsMD, Inc.
PRINCETON PRIVATE EQUITY FUND ~ N-2 ~ Thompson Hine LLP
ALCOA INC. AA S-3 NYSE Wachtell, Lipton, Rosen & Katz
BB&T CORP BBT S-4 NYSE Wachtell, Lipton, Rosen & Katz
LEVEL 3 COMMUNICATIONS INC LVLT S-4 NYSE Willkie Farr & Gallagher LLP
RENAISSANCERE HOLDINGS LTD RNR S-4 NYSE Willkie Farr & Gallagher LLP
TORNIER N.V. TRNX S-4 Nasdaq Willkie Farr & Gallagher LLP
ELEVEN BIOTHERAPEUTICS, INC. EBIO S-1 Nasdaq Wilmer Cutler Pickering Hale and Dorr LLP
CYPRESS SEMICONDUCTOR CORP /DE/ CY S-4 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: December 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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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
INTELLICHECK MOBILISA, INC. S-1 Aegis Capital Corp.
NAC GLOBAL TECHNOLOGIES, INC. S-1 Alexander Capital, L.P.
RESOURCE CREDIT INCOME FUND N-2 ALPS Distributors, Inc.
SUMMIT MATERIALS, INC. S-1 Citigroup Global Markets Inc. Goldman, Sachs & Co. Barclays Capital Inc. / Deutsche Bank Securities Inc. / Merrill Lynch, Pierce, Fenner & Smith Inc. / RBC Capital Markets, LLC / Blackstone Advisory Partners L.P. / BB&T Capital Markets / Stephens Inc. / Sterne, Agee & Leach, Inc. / Stifel, Nicolaus & Company, Inc.
NEW MEDIA INVESTMENT GROUP INC. S-1 Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC
YULONG ECO-MATERIALS LTD S-1 Cuttone & Co., Inc. Axiom Capital Management, Inc.
AMP HOLDING INC. S-1 Dawson James Securities, Inc.
REVERSE MORTGAGE INVESTMENT TRUST INC. S-11 FBR Capital Markets & Co.
AVALANCHE BIOTECHNOLOGIES, INC. S-1 Jefferies LLC Cowen and Company LLC Piper Jaffray & Co. / William Blair & Company, LLC
ASANTE SOLUTIONS, INC. S-1 Leerink Partners LLC Cowen and Company, LLC Wells Fargo Securities, LLC / Oppenheimer & Co., Inc.
BNY MELLON
ALCENTRA MULTI-
STRATEGY CREDIT FUND, INC.
N-2 MBSC Securities Corporation
INFRAREIT, INC. S-11 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. RBC Capital Markets, LLC / Morgan Stanley & Co. LLC
ASCENDIS PHARMA A/S F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Leerink Partners LLC Wells Fargo Securities, LLC
METROPOLITAN LIFE INSURANCE CO S-3 MetLife Investors Distribution Company
ROCK CREEK PHARMACEUTICALS, INC. S-3 MLV & Co. LLC
NEOPHOTONICS CORP S-1 Needham & Company, LLC Craig-Hallum Capital Group LLC
PATRIOT NATIONAL, INC. S-1 UBS Securities LLC BMO Capital Markets Corp. SunTrust Robinson Humphrey, Inc.

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

Have a great week.

SEC closed for Christmas Holiday: December 25th AND December 26th

In honor of Christmas, the SEC is closed on Thursday, December 25, 2014 and Friday, December 26, 2014. No files can be received. 

December 26th is a special Executive Order gift this year due to the date falling on a Friday! 

Files submitted after 5:30 pm ET, Wednesday, December 24, 2014 will receive a filing date of Monday, December 29, 2014 and will be posted to the public on December 29.

SECCOOKIES

 

As with other holiday closings, the following file types will receive a Wednesday, December 24, 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, December 25, 2014 or Friday, December 26, 2014, the SEC will move the due date of Monday, December 29, 2014.

Have a great day.

Survey results 2013 v. 2014: Is investor relations tweeting?

Once again, we asked IR clients and prospects their view on social media. For the best apples-to-apples comparison, we asked exactly the same audience the exact same questions we asked one year ago.

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BELOW: Small adoption, year over year.

BLOG_tweets_is-your

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BELOW: Most all the “other” comments can be summarized by this verbatim comment: “No real demand by investors.”  This does seem to align with what investors told us.

BLOG_tweets_why-not

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BELOW: Perhaps the “yes” and “no” decisiveness for 2014 v. 2013 show a maturity of decision making and understanding of what social media is and is not. Interesting that the 2% “yes” from last year is equal to the 2% adoption indicated on the first question.  

BLOG_tweets_next-year

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BELOW: If tweeting, IR departments are slowly taking control of their own outbound. This may need a data parse by market-cap later. 

BLOG_tweets_dedicated

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BELOW: Just FYI. Overall, the study received 970 responses. 

BLOG_tweets_caps

View this study as “trending data” and not as any “IR needs to take action and do XYZ .” Our view has been solid on this topic. Social media is a news channel – and individual companies should adopt it OR NOT per their own shareholder communications mosaic strategy. It’s not a wasteland but it’s not sliced bread either.

LINKS:

Here is a whitepaper download on the topic.

Here are blog discussions on the topic.

Here is a fancy-schmacy version of the 2013 results.

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2015 SEC filing calendar – don’t miss a deadline or holiday closing

This is the shortest post you’ll ever read hereClick here to download our 2015 SEC filing calendar. 

You don’t need to log-in, but if you are so inclined, there is a sign-in to receive news and updates from us.

Vintage_2015-SEC_Calendar_image_blog

IPOs and Transactions: December 8 – 12 (plus 2015 SEC filing calendar)

There were 46 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Chess Supersite Corp. w/ Cassidy & Associates, Albany Molecular Research Inc. w/ Goodwin Procter LLP and CASI Pharmaceuticals, Inc. w/ Arnold & Porter 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
CASI PHARMACEUTICALS, INC. CASI S-3 Nasdaq Arnold & Porter LLP
CHESAPEAKE UTILITIES CORP CPK S-3 NYSE Baker & Hostetler LLP
ELTM, L.P. S-3 ~ Baker & Hostetler LLP
BAXALTA INC 10-12B ~ Baxter International Inc.
NEWBRIDGE BANCORP NBBC S-4 Nasdaq Brooks, Pierce, McLendon, Humphrey & Leonard, L.L.P.
HARVARD APPARATUS REGENERATIVE TECHNOLOGY, INC. HART S-3 Nasdaq Burns & Levinson LLP
CHESS SUPERSITE CORP S-1 ~ Cassidy & Associates
IMMUNOCELLULAR THERAPEUTICS, LTD. IMUC S-1 NYSE Cooley LLP
ABENGOA YIELD PLC ABY F-1 Nasdaq Davis Polk & Wardwell LLP
STERLING BANCORP STL S-4 NYSE Day Pitney LLP
GETTY REALTY CORP /MD/ GTY S-3 NYSE DLA Piper LLP (US)
FINTECH ACQUISITION CORP S-1 ~ Ellenoff Grossman & Schole LLP
ITUS CORP ITUS S-1 ~ Ellenoff Grossman & Schole LLP
BIO KEY INTERNATIONAL INC BKYI S-1 ~ Fox Rothschild LLP
BERKSHIRE HATHAWAY ENERGY CO S-4 ~ Gibson, Dunn & Crutcher LLP
GREEN DOT CORP GDOT S-3 NYSE Gibson, Dunn & Crutcher LLP
ALBANY MOLECULAR RESEARCH INC AMRI S-3 Nasdaq Goodwin Procter LLP
ANDALAY SOLAR, INC. WEST S-1 ~ Gracin & Marlow, LLP
GYROTRON TECHNOLOGY INC GYTI 10-12G ~ Gyrotron Technology, Inc.
US-MHJ WOODEN ELEGANCE CREATIONS INT’L, INC. S-1 ~ Harold P. Gewerter, Esq. Ltd.
CHEMICAL FINANCIAL CORP CHFC S-4 Nasdaq Howard and Howard Attorneys PLLC
CODE NAVY S-1 ~ Jehu Hand’s Securities Lawyer
ASBURY AUTOMOTIVE GROUP INC ABG S-4 NYSE Jones Day
RADIOSHACK CORP RSH S-3 NYSE Jones Day
IBERIABANK CORP IBKC S-4 Nasdaq Jones Walker LLP
NRG ENERGY, INC. NRG S-4 NYSE Kirkland & Ellis LLP
SUNEDISON SEMICONDUCTOR LTD SEMI S-1 Nasdaq Kirkland & Ellis LLP
WORLD OMNI AUTO RECEIVABLES LLC S-3 ~ Kirkland & Ellis LLP
ALPHATEC HOLDINGS, INC. ATEC S-3 Nasdaq Latham & Watkins LLP
APRICUS BIOSCIENCES, INC. APRI S-3 Nasdaq Latham & Watkins LLP
SUNEDISON SEMICONDUCTOR LTD SEMI S-1 Nasdaq Latham & Watkins LLP
TERRAFORM POWER, INC. TERP S-1 Nasdaq Latham & Watkins LLP
WILLIAM LYON HOMES WLH S-4 NYSE Latham & Watkins LLP
LANE CAPITAL CORP. S-1 ~ Law Offices of Harold Gewerter, Esq. Ltd.
FINTECH ACQUISITION CORP S-1 ~ Ledgewood Law
IEG HOLDINGS CORP S-1 ~ Legal & Compliance, LLC
ABENGOA YIELD PLC ABY F-1 Nasdaq Linklaters LLP
IMMUNOCELLULAR THERAPEUTICS, LTD. IMUC S-1 NYSE Lowenstein Sandler LLP
WORLD OMNI AUTO RECEIVABLES LLC S-3 ~ Morgan, Lewis & Bockius LLP
NORTHSIGHT CAPITAL, INC. NCAP S-1 ~ Nossiff Law Firm, LLP
SAUL CENTERS INC BFS S-3 NYSE Pillsbury Winthrop Shaw Pittman LLP
CROSS COUNTRY HEALTHCARE INC CCRN S-1 Nasdaq Proskauer Rose LLP
CENTER COAST MLP & INFRASTRUCTURE FUND CEN N-2 NYSE Skadden, Arps, Slate, Meagher & Flom LLP
TERRAFORM POWER, INC. TERP S-1 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
IBERIABANK CORP IBKC S-4 Nasdaq Smith Mackinnon, PA
AQUARIUS CANNABIS INC. /NV/ S-1 ~ Szaferman, Lakind, Blumstein, & Blader, P.C.
SWEETS & TREATS INC. S-1 ~ Szaferman, Lakind, Blumstein, & Blader, P.C.
DYNEX CAPITAL INC DX S-3 NYSE Troutman Sanders LLP
VERIZON COMMUNICATIONS INC VZ S-4 NYSE Verizon Communications Inc.
EXTERRAN PARTNERS, L.P. EXLP S-4 Nasdaq Vinson & Elkins L.L.P.
CCH I, LLC S-4 ~ Wachtell, Lipton, Rosen & Katz
STERLING BANCORP STL S-4 NYSE Wachtell, Lipton, Rosen & Katz
NEWBRIDGE BANCORP NBBC S-4 Nasdaq Ward and Smith, P.A.
CHEMICAL FINANCIAL CORP CHFC S-4 Nasdaq Warner Norcross & Judd LLP
ODYSSEY GROUP INTERNATIONAL, INC. S-1 ~ Wilson & Oskam, LLP

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