SEC update: Required revisions to 10-K, 10-Q and 8-K cover pages

The SEC has adopted new rules that change the cover pages of Securities Act registration statements (Forms S-1, S-3, S-4, S-8, S-11, F-1, F-3 and F-4) and Exchange Act periodic reports (Forms 10-K, 10-Q and 8-K), as well as Forms 10, 20-F and 40-F, to include new check boxes for a company to mark whether, at the time of filing, the company is an EGC and whether it has elected not to use the extended transition period to comply with new or revised accounting standards.

What Should You Do?

All companies, EGCs or otherwise, should immediately contact their financial printing firm to revise their appropriate cover pages. Specialized printing companies employ experts in the ever-evolving rules from the SEC and other regulatory bodies, as well as EDGAR and XBRL, and can ensure a smooth adoption of any new requirements. These changes have come because the SEC has adopted technical amendments from the Jumpstart Our Business Startups Act of 2012 that impact forms filed under the Securities Act of 1933 and the Securities Exchange Act of 1934. According to the new rules, companies must check boxes on the form covers to indicate whether or not they are emerging growth companies (EGCs), and if they are, whether they will comply with the financial accounting standards defined under the JOBS Act or will take advantage of the optional extended transition period before doing so.

Section 107 of the JOBS act allows an EGC to forego any or all of the disclosure exemptions. Any EGC that opts out of the extended transition period must make the SEC aware of this decision when first asked to file a periodic report, registration statement, or any other SEC report that falls under Section 13 of the Exchange Act. The new checkboxes on the listed forms serve as a standardized way to inform the SEC of a company’s status and choice (which, once made, is irrevocable) and can be found with checkboxes regarding a company’s status as accelerated filer. EGCs can be considered accelerated filers, non-accelerated filers, or smaller reporting companies, meaning these boxes should also be appropriately checked.

The final rule can be found here.

Securities Act Forms F-1, F-3, F-4, S-1, S-3, S-4, S-8 and S-11.
Exchange Act Forms 8-K, 20–F and 40-F.

Resources:

IPOs and Transactions: May 1 – 5 / plus M&A whitepaper

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 Procaccianti Hotel Reit Inc w/ Alston & Bird LLP and Morris, Manning & Martin LLP, Fidelity Southern Corp. w/ Troutman Sanders LLP, Reven Housing Reit Inc. w/ Graubard Miller and Greenberg Traurig, LLP, Sorrento Therapeutics Inc. w/ Paul Hastings LLP and Limoneira Co. w/ Paul Hastings LLP.

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Law firm /Advisor Registrant Symbol Form Industry
Aeglea BioTherapeutics, Inc. AEGLEA BIO-THERAPEUTICS INC AGLE S-3 Pharma preparations
AG Acquisition Group, Inc. AG ACQUISITION GROUP INC ~ 10-12G ~
AirXpanders, Inc. AIRXPANDERS INC 10-12G Wholesale – medical, dental & hospital equipment & supplies
Alston & Bird LLP PROCACCIANTI HOTEL REIT INC ~ S-11 ~
Baker Botts L.L.P. JONES ENERGY INC JONE S-3 Crude petroleum & natural gas
Cassidy & Associates ANVIA HOLDINGS CORP S-1 Blank check
Chapman and Cutler LLP FIRST TRUST ENERGY INCOME & GROWTH FUND FEN N-2 Investors
Chapman and Cutler LLP FIRST TRUST MLP & ENERGY INCOME FUND FEI N-2 Unit investment trusts
CKR Law NEURMEDIX INC 1-A Pharma preparations
CKR Law LLP HYPER-DYNAMICS CORP HDY S-1 Crude petroleum & natural gas
Cooley LLP SHOTSPOTTER INC S-1 Prepackaged software
Cravath, Swaine & Moore LLP IBM CREDIT LLC ~ 10-12G ~
Cravath, Swaine & Moore LLP LAZARD GROUP LLC S-3 Investment advice
Davis Polk & Wardwell LLP KINSALE CAPITAL GROUP INC KNSL S-1 Fire, marine & casualty insurance
Duane Morris LLP SOLIGENIX INC SNGX S-3 Pharma preparations
EAD Law Group, LLC GOLD STANDARD MINING CO ~ S-1 ~
Eaton & Van Winkle LLP AIR INDUSTRIES GROUP AIRI S-1 Aircraft parts & auxiliary equipment
Fenwick & West LLP AEGLEA BIO-THERAPEUTICS INC AGLE S-3 Pharma preparations
Foley & Lardner LLP HEALTH INSURANCE INNOVATIONS INC HIIQ S-3 Insurance agents, brokers & service
Graubard Miller REVEN HOUSING REIT INC RVEN S-11 REITs
Greenberg Traurig, LLP CENTURY COMMUNITIES INC CCS S-4 Operative builders
Greenberg Traurig, LLP REVEN HOUSING REIT INC RVEN S-11 REITs
Hogan Lovells US LLP PARK HOTELS & RESORTS INC PK S-11 Hotels & motels
InPoint Commercial Real Estate Income, Inc. INPOINT COMMERCIAL REAL ESTATE INCOME INC ~ 10-12G ~
K&L Gates LLP VANECK MERK GOLD TRUST OUNZ S-3 Commodity contracts brokers & dealers
Kirkland & Ellis LLP NINE ENERGY SERVICE INC S-1 Oil & gas field services
Latham & Watkins LLP ADVANTAGE SOLUTIONS INC ~ S-1 ~
Ledgewood Law RESOURCE CAPITAL CORP RSO S-3 REITs
Lewis Rice LLC TRUSTCO BANK CORP N Y TRST S-3 State commercial banks
Life Partners Position Holder Trust LIFE PARTNERS POSITION HOLDER TRUST ~ 10-12G ~
Lucosky Brookman LLP YANGTZE RIVER DEVELOPMENT LTD YERR S-3 Real estate
Milbank, Tweed, Hadley & McCloy LLP VANTAGE DRILLING INTERNATIONAL VTG S-1 Drilling oil & gas wells
Morgan, Lewis & Bockius LLP MEI PHARMA INC MEIP S-3 Pharma preparations
Morris, Manning & Martin, LLP PROCACCIANTI HOTEL REIT INC ~ S-11 ~
Morris, Manning & Martin, LLP CARTER VALIDUS MISSION CRITICAL REIT II INC S-11 REITs
O’Neal Law Office HIP CUISINE INC S-1 Retail – eating places
Paul Hastings LLP SORRENTO THERAPEUTICS INC SRNE S-3 Commercial physical & biological research
Paul, Weiss, Rifkind, Wharton & Garrison LLP CENTURY COMMUNITIES INC CCS S-4 Operative builders
Paul, Weiss, Rifkind, Wharton & Garrison LLP MAGNACHIP SEMI-CONDUCTOR CORP MX S-3 Semiconductors & related devices
Pillsbury Winthrop Shaw Pittman LLP AIR INDUSTRIES GROUP AIRI S-1 Aircraft parts & auxiliary equipment
PremierCounsel LLP OWENS REALTY MORTGAGE INC ORM S-3 REITs
Robinson Brog Leinwand Greene Genovese & Gluck P.C. SHOTSPOTTER INC S-1 Prepackaged software
Sanders, Ortoli, Vaughn-Flam, Rosenstadt CANTABIO PHARMA-CEUTICALS INC TBD S-1 Management services
Shearman & Sterling LLP ADVANTAGE SOLUTIONS INC ~ S-1 ~
Shearman & Sterling LLP VENATOR MATERIALS PLC ~ S-1 ~
Silverman Shin & Byrne PLLC HEMISPHERX BIOPHARMA INC HEB S-1 Biological products, except diagnostic substances
Simpson Thacher & Bartlett LLP PARK HOTELS & RESORTS INC PK S-11 Hotels & motels
Skadden, Arps, Slate, Meagher & Flom LLP KINSALE CAPITAL GROUP INC KNSL S-1 Fire, marine & casualty insurance
Squire Patton Boggs LLP LIMONEIRA CO LMNR S-3 Agricultural production-crops
Stradling Yocca Carlson & Rauth, P.C. ENDOLOGIX INC ELGX S-3 Surgical & medical instruments & apparatus
Troutman Sanders LLP FIDELITY SOUTHERN CORP LION S-3 State commercial banks
Vinson & Elkins L.L.P. VENATOR MATERIALS PLC ~ S-1 ~
Vinson & Elkins L.L.P. ROSEHILL RESOURCES INC ROSE S-1 Blank check
Vinson & Elkins L.L.P. ROSEHILL RESOURCES INC ROSE S-3 Blank check
Vinson & Elkins L.L.P. GOODRICH PETROLEUM CORP GDP S-3 Crude petroleum & natural gas
Vinson & Elkins L.L.P. NINE ENERGY SERVICE INC S-1 Oil & gas field services
Wilmer Cutler Pickering Hale and Dorr LLP FORTIVE CORP FTV S-4 Manufacturing industries

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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: May 1 – 5 / plus M&A whitepaper

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 +
ADVANTAGE SOLUTIONS INC S-1 Goldman Sachs & Co. LLC Morgan Stanley & Co. LLC ~
NINE ENERGY SERVICE INC S-1 J.P. Morgan Securities LLC Goldman Sachs & Co. LLC Wells Fargo Securities, LLC
KINSALE CAPITAL GROUP INC S-1 J.P. Morgan Securities LLC / William Blair & Company, L.L.C. RBC Capital Markets, LLC / SunTrust Robinson Humphrey, Inc. Dowling & Partners Securities LLC / Moelis & Company LLC
AEGLEA BIOTHERAPEUTICS INC S-3 JonesTrading Institutional Services LLC ~ ~
AEGLEA BIOTHERAPEUTICS INC S-3 JonesTrading Institutional Services LLC ~ ~
GOLD STANDARD MINING CO S-1 Kim D. Southworth ~ ~
REVEN HOUSING REIT INC S-11 Ladenburg Thalmann & Co., Inc. ~ ~
VENATOR MATERIALS PLC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. ~ ~
AIR INDUSTRIES GROUP S-1 Roth Capital Partners, LLC Taglich Brothers, Inc. ~
SHOTSPOTTER INC S-1 Roth Capital Partners, LLC Northland Capital Markets Imperial Capital, LLC

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

Video: April’s Top Law Firms for SEC transactions

As subject matter experts in transactions i.e. IPOs and M&A, we carefully track the capital markets dealflow… daily, weekly and monthly. If you would like to be emailed the week’s transactions (every Monday afternoon), fill out the quick form on this page.

Congratulations to any and all of our partnering law firms that made this month’s list – and to the firms that worked with our teams on their clients’ transaction:

  • 1-A: Form needed for companies taking advantage of Regulation A+
  • S-1: General form of registration statement for all companies including face-amount certificate companies
  • S-3: Registration statement for specified transactions by certain issuers
  • S-4 Registration of securities issued in business combination transactions
  • N-2: Initial filing of a registration statement on Form N-2 for closed-end investment companies
  • F-1: Registration statement for securities of certain foreign private issuers
  • S-11: Registration statement for securities to be issued by real estate companies
  • 10-12G: Initial general form for registration of a class of securities pursuant to Section 12(g)
  • 10-12B: Initial general form for registration of a class of securities pursuant to Section 12(b)

Have you read our whitepaper on how the S-1 registration paperwork flows back-and-forth between the company and the SEC?  CLICK HERE

 

IPOs and Transactions: April 24 – 28 / plus M&A whitepaper

There were 58 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services including Avenue Therapeutics Inc. w/ Alston & Bird LLP and Mintz, Levin, Cohn, Ferris, Glovsky and Popeo PC, Applied Energetics Inc. w/ Masur Griffitts + Co. LLP, Lilus Energy Inc. w/ K&L Gates LLP Pyxis Tankers, Inc. w/ Ellenoff Grossman & Schole LLP and  Jones Day and Rabble One LLC w/ Morrison & Foerster LLP.

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Law firm / advisor Registrant Symbol Form Industry
Akin Gump Strauss Hauer & Feld LLP DIAMONDBACK ENERGY INC FANG S-4 Crude petroleum & natural gas
Alston & Bird LLP TERRA SECURED INCOME FUND 5 LLC ~ 10-12G ~
Alston & Bird LLP AVENUE THERAPEUTICS INC S-1 Pharma preparations
Baker Botts L.L.P. GPM PETROLEUM LP S-1 Wholesale – petroleum & petroleum products
Bernstein Shur ABS LONG/SHORT STRATEGIES FUND ~ N-2 ~
Bingham Greenebaum Doll LLP FIRST MERCHANTS CORP FRME S-4 National commercial banks
Broadstone Net Lease, Inc. BROADSTONE NET LEASE INC ~ 10-12G ~
Carmel, Milazzo & DiChiara LLP CO-DIAGNOSTICS INC S-1 Surgical & medical instruments & apparatus
CKR Law NEURMEDIX INC 1-A Pharma preparations
Clifford Chance US LLP TERRA SECURED INCOME FUND 5 LLC ~ 10-12G ~
Cooley LLP ARCA BIOPHARMA INC ABIO S-3 In vitro & in vivo diagnostic substances
Cooley LLP APPIAN CORP S-1 Pre-packaged software
Davis Polk & Wardwell LLP SMART GLOBAL HOLDINGS INC S-1 Semiconductors & related devices
Ellenoff Grossman & Schole LLP KBL MERGER CORP. IV ~ S-1 Blank check
Ellenoff Grossman & Schole LLP PYXIS TANKERS INC PXS F-1 Deep sea foreign transport of freight
Fenimore, Kay, Harrison & Ford, LLP SOUTHERN MISSOURI BANCORP INC SMBC S-4 Savings institutions
Foley & Lardner LLP CARBONITE INC CARB S-3 Computer processing & data preparation
GKL Registered Agents of NV, Inc. TGS INTERNATIONAL LTD ~ S-1 ~
Holland & Knight LLP KBL MERGER CORP. IV ~ S-1 Blank check
Hunter Taubman Fischer & Li, LLC CHINA COMMERCIAL CREDIT INC CCCR S-3 National commercial banks
Jones Day PYXIS TANKERS INC PXS F-1 Deep sea foreign transport of freight
K&L Gates LLP LILIS ENERGY INC LLEX S-1 Crude petroleum & natural gas
Kirkland & Ellis LLP CARDCONNECT CORP CCN S-3 Blank check
Kirkland & Ellis LLP LINN ENERGY INC LINE S-1 Crude petroleum & natural gas
Kirkland & Ellis LLP ULTRA PETROLEUM CORP UPL S-1 Crude petroleum & natural gas
Latham & Watkins LLP ARDELYX INC ARDX S-3 Pharmaceutical preparations
Latham & Watkins LLP SMART GLOBAL HOLDINGS INC S-1 Semiconductors & related devices
Latham & Watkins LLP ALPHATEC HOLDINGS INC ATEC S-3 Surgical & medical instruments & apparatus
Ledgewood Law CARDCONNECT CORP CCN S-3 Blank check
Locke Lord LLP COMSTOCK RESOURCES INC CRK S-3 Crude petroleum & natural gas
Masur Griffitts + Co. LLP APPLIED ENERGETICS INC AERG S-1 Laboratory apparatus & furniture
Matheau J. W. Stout, Esq. YI XI XIN INC ~ S-1 ~
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. AVENUE THERAPEUTICS INC S-1 Pharma preparations
Morrison & Foerster LLP RABBLE ONE LLC 1-A Real estate
Notes Incorporation NOTES INC ~ S-1 ~
O’Melveny & Myers LLP SPHERE 3D CORP ANY F-1 Computer processing & data preparation
Paul Hastings LLP KAYNE ANDERSON MLP INVESTMENT CO KYN N-2 Investors
Paul Hastings LLP CAREDX INC CDNA S-1 Medical laboratories
Reed Smith LLP BRIGHTHOUSE LIFE INSURANCE CO OF NY ~ S-3 ~
Reed Smith LLP ETFS PALLADIUM TRUST PALL S-3 Commodity contracts brokers & dealers
Reed Smith LLP BRIGHTHOUSE LIFE INSURANCE CO S-3 Life insurance
Ropes & Gray LLP PIMCO CORPORATE & INCOME STRATEGY FUND PCN N-2 Unit investment trusts, face-amount certificate offices & closed-end management investment offices
Ropes & Gray LLP PIMCO INCOME OPPORTUNITY FUND PKO N-2 Unit investment trusts, face-amount certificate offices & closed-end management investment offices
Satterlee Stephens LLP RENOVACARE INC RCAR S-3 Oil & gas field exploration services
Shumaker, Loop & Kendrick, LLP FIRST MERCHANTS CORP FRME S-4 National commercial banks
Sichenzia Ross Ference Kesner LLP NEXEON MEDSYSTEMS INC S-1 Surgical & medical instruments & apparatus
Sidley Austin LLP TPG RE FINANCE TRUST INC ~ S-11 ~
Sidley Austin LLP CELSION CORP CLSN S-1 Electro-medical & electro-therapeutic apparatus
Silver, Freedman, Taff & Tiernan LLP SOUTHERN MISSOURI BANCORP INC SMBC S-4 Savings institutions
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P. FOUR OAKS FINCORP INC FOFN S-1 State commercial banks
Stradling Yocca Carlson & Rauth, P.C. LANTRONIX INC LTRX S-3 Computer comms equipment
Thompson Coburn LLP NOBLE ROMANS INC NROM S-1 Retail – eating places
Vedder Price P.C. TORTOISE ESSENTIAL ASSETS INCOME 2024 TERM FUND INC ~ N-2 ~
Vinson & Elkins L.L.P. SELECT ENERGY SERVICES INC WTTR S-1 Oil & gas field services
Vinson & Elkins L.L.P. ORCHID ISLAND CAPITAL INC ORC S-3 REITs
Vinson & Elkins L.L.P. GPM PETROLEUM LP S-1 Wholesale – petroleum & petroleum products
Vinson & Elkins LLP TPG RE FINANCE TRUST INC ~ S-11 ~
Wilson Sonsini Goodrich & Rosati, PC APPIAN CORP S-1 Pre-packaged software

 

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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: April 24 – 28 / plus M&A whitepaper

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 +
SMART GLOBAL HOLDINGS INC S-1 Barclays Capital Inc. / Deutsche Bank Securities, Inc. Jefferies LLC / Stifel, Nicolaus & Company, Inc. Needham & Company, LLC / Roth Capital Partners, LLC
BRIGHTHOUSE LIFE INSURANCE CO S-3 Brighthouse Securities, LLC ~ ~
BRIGHTHOUSE LIFE INSURANCE CO OF NY S-3 Brighthouse Securities, LLC ~ ~
CARDCONNECT CORP S-3 Cantor Fitzgerald & Co. ~ ~
ABS LONG/SHORT STRATEGIES FUND N-2 Foreside Fund Services, LLC ~ ~
ARCA BIOPHARMA INC S-3 Jones Trading Institutional Services LLC ~ ~
KBL MERGER CORP. IV S-1 Ladenburg Thalmann & Co. Inc. B. Riley & Co., LLC FBR Capital Markets & Co.
PYXIS TANKERS INC F-1 Maxim Group LLC ~ ~
TPG RE FINANCE TRUST INC S-11 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. Goldman, Sachs & Co. / Wells Fargo Securities, LLC
APPIAN CORP S-1 Morgan Stanley & Co. LLC / Goldman, Sachs & Co. Barclays Capital Inc. / Pacific Crest Securities Canaccord Genuity Inc. / Cowen and Company, LLC
CO-DIAGNOSTICS INC S-1 Network 1 Securities, Inc. ~ ~
GPM PETROLEUM LP S-1 Raymond James & Associates, Inc. Wells Fargo Securities, LLC RBC Capital Markets, LLC
AVENUE THERAPEUTICS INC S-1 Raymond James & Associates, Inc. National Securities Corp. ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

IPOs and Transactions: April 17 – 21 / plus M&A whitepaper

There were 41 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services including Eyegate Pharmaceuticals Inc. w/ Burns & Levinson LLP and Lowenstein Sandler LLP, Global Medical REIT Inc. w/ Vinson & Elkins LLP, HCBF Holding Company Inc. w/ Gunster, Yoakley & Stewart PA and Igler and Pearlman PA and Petroquest Energy Inc. w/ Porter Hedges LLP.

We appreciate that they selected to work with us and benefited from our fast turns, spot-on execution and absolute cost transparency.

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Law firm / advisor Registrant Symbol Form Industry
American Retail Group, Inc. AMERICAN RETAIL GROUP INC ARGB 10-12G Miscellaneous chemical products
Baker, Donelson, Bearman, Caldwell & Berkowitz, P.C. MECHANICAL TECHNOLOGY INC MKTY S-1 Measuring & controlling devices
Bass, Berry & Sims PLC ENGILITY CORP DR2;EGL S-4 Engineering services
Bioptix, Inc. BIOPTIX INC BIOP S-3 In vitro & in vivo diagnostic substances
Burns & Levinson LLP EYEGATE PHARMA-CEUTICALS INC EYEG S-1 Pharma. preparations
Chron Organization, Inc. SOUTH AMERICAN PROPERTIES INC SAMP 10-12G Non-operating establishments
Cleary Gottlieb Steen & Hamilton LLP TPI COMPOSITES INC TPIC S-1 Steam, gas & hydraulic turbines & turbine generator set units
Cooley LLP ARGENX N.V. ~ F-1 Biological products
Debevoise & Plimpton LLP SITEONE LANDSCAPE SUPPLY INC SITE S-1 Landscape counseling & planning
Disclosure Law Group, PC WRAP TECHNOLOGIES INC ~ S-1 ~
DLA Piper LLP COLUMBUS MCKINNON CORP CMCO S-3 Construction machinery & equipment
Dorsey & Whitney LLP COGENTIX MEDICAL INC CGNT S-3 Electromedical & electrotherapeutic apparatus
Drinker Biddle & Reath LLP INFINITY CORE ALTERNATIVE FUND ZVAMIX N-2 ~
Ellenoff Grossman & Schole LLP JAKROO INC ~ S-1 Sporting & athletic goods
Frank J. Hariton, Attorney-at-Law SUPERSTAR VAPE INC ~ S-1 ~
Freshfields Bruckhaus Deringer US LLP TPG PACE ENERGY HOLDINGS CORP ~ S-1 Blank check
Goodwin Procter LLP ARGENX N.V. ~ F-1 Biological products
Goodwin Procter LLP TPI COMPOSITES INC TPIC S-1 Steam, gas & hydraulic turbines & turbine generator set units
Gunster, Yoakley & Stewart, P.A. HCBF HOLDING COMPANY INC ~ S-4 Offices of bank holding companies
Haneberg Hurlbert PLC NEWATER TECHNOLOGY INC ~ F-1 Sanitary services
Igler and Pearlman, P.A. HCBF HOLDING COMPANY INC ~ S-4 Offices of bank holding companies
John D. Thomas, P.C. CICLET HOLDINGS INC ~ S-1 ~
K&L Gates LLP LIGHTWAVE LOGIC INC LWLG S-1 Miscellaneous plastics products
K&L Gates LLP NEWATER TECHNOLOGY INC ~ F-1 Sanitary services
Kirkland& Ellis International LLP BRIGHT SCHOLAR EDUCATION HOLDINGS LTD ~ F-1 Educational services
Latham & Watkins LLP MILACRON HOLDINGS CORP MCRN S-1 Special industry machinery
Latham & Watkins LLP VIEWRAY INC MRXC S-3 Retail – misc. retail
Lowenstein Sandler LLP EYEGATE PHARMA-CEUTICALS INC EYEG S-1 Pharma. preparations
Lowenstein Sandler LLP ZOMEDICA PHARMA-CEUTICALS CORP ~ S-1 Pharma. preparations
Lucosky Brookman LLP AKERS BIOSCIENCES INC AKER S-3 Industrial inorganic chemicals
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. CORINDUS VASCULAR ROBOTICS INC CVRS S-3 Surgical & medical instruments & apparatus
NautaDutilh N.V. ARGENX N.V. ~ F-1 Biological products
O’Melveny & Myers LLP WILLDAN GROUP INC WLDN S-3 Engineering services
Orrick, Herrington & Sutcliffe LLP JMP GROUP LLC JMP S-3 Security brokers, dealers & flotation companies
Orrick, Herrington & Sutcliffe LLP LEVI STRAUSS & CO ~ S-4 Apparel & other finished products made from fabrics & similar material
Ortoli Rosenstadt LLP CHINA INTERNET NATIONWIDE FINANCIAL SERVICES INC ~ F-1 Management consulting services
Pillsbury Winthrop Shaw Pittman LLP IDENTIV INC INVE S-3 Computer peripheral equipment
Porter Hedges LLP PETROQUEST ENERGY INC PQ S-4 Crude petroleum & natural gas
Reed Smith LLP JAGUAR ANIMAL HEALTH INC JAGX S-4 Pharma. preparations
Ropes & Gray LLP MILACRON HOLDINGS CORP MCRN S-1 Special industry machinery
Shutts & Bowen LLP RENNOVA HEALTH INC RNVA S-1 Testing laboratories
Sichenzia Ross Ference Kesner LLP CHINA INTERNET NATIONWIDE FINANCIAL SERVICES INC ~ F-1 Management consulting services
Sichenzia Ross Ference Kesner LLP MEDOVEX CORP MDVX S-3 Surgical & medical instruments & apparatus
Simpson Thacher & Bartlett LLP SITEONE LANDSCAPE SUPPLY INC SITE S-1 Landscape counseling & planning
Superb Acquisition, Inc. SUPERB ACQUISITION INC ~ 10-12G ~
Tingle Merrett LLP ZOMEDICA PHARMA-CEUTICALS CORP ~ S-1 Pharma. preparations
Vinson & Elkins L.L.P. GLOBAL MEDICAL REIT INC GMRE S-3 REIT
Vinson & Elkins L.L.P. USA COMPRESSION PARTNERS LP USAC S-3 Natural gas transmission
Weil, Gotshal & Manges LLP AMC ENTERTAINMENT HOLDINGS INC AMC S-4 Motion picture theaters
Weil, Gotshal & Manges LLP TPG PACE ENERGY HOLDINGS CORP ~ S-1 Blank check
Weintraub Tobin Chediak Coleman Grodin, Law Corp. ADAMIS PHARMA-CEUTICALS CORP ADMP S-3 Pharma. preparations
Wilson Sonsini Goodrich & Rosati PC BRIGHT SCHOLAR EDUCATION HOLDINGS LTD ~ F-1 Educational services
Wilson Sonsini Goodrich & Rosati, PC CAPNIA INC CAPN S-1 Electromedical & electrotherapeutic apparatus

 

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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: April 17 – 21 / plus M&A whitepaper

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 +
CHINA INTERNET NATIONWIDE FINANCIAL SERVICES INC F-1 Boustead Securities, LLC ~ ~
ARGENX N.V. F-1 Cowen and Company, LLC Piper Jaffray & Co. JMP Securities LLC / Wedbush Securities Inc.
TPG PACE ENERGY HOLDINGS CORP S-1 Deutsche Bank Securities Inc. Goldman, Sachs & Co. ~
SITEONE LANDSCAPE SUPPLY INC S-1 Deutsche Bank Securities Inc. Goldman, Sachs & Co. UBS Securities LLC
INFINITY CORE ALTERNATIVE FUND N-2 Foreside Fund Services, LLC ~ ~
TPI COMPOSITES INC S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC ~
LIGHTWAVE LOGIC INC S-1 Lincoln Park Capital Fund, LLC ~ ~
BRIGHT SCHOLAR EDUCATION HOLDINGS LTD F-1 Morgan Stanley & Co. International PLC Deutsche Bank Securities Inc. China Merchants Securities (HK) Co., Ltd.
USA COMPRESSION PARTNERS LP S-3 USA Compression Holdings, LLC ~ ~
NEWATER TECHNOLOGY INC F-1 ViewTrade Securities Inc. ~ ~
EYEGATE PHARMACEUTICALS INC S-1 Wedbush Securities Inc. ~ ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

“You are treating me like I am your only customer.”

“Fast turns, spot-on execution and absolute cost transparency” has redefined Vintage, helping us to be a top three solution in North America.

Our work is highlighted every Monday in our IPOs and Transactions of the Week blog and email.  Importantly, our week’s success is further highlighted (and celebrated) by the appreciative notes our operations people receive each day from our clients.

award

We can’t not share the good news (anonymized for privacy). Sales can offer you full named references. Here is just a handful of our client services “Kudos” for this week.

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Just received the printed version of the proxy today.  I couldn’t be happier with the result.  Our GC took out the first proxy statement that he was responsible for when he joined here about 15 years ago and compared it with the 2017 one and he’s just really blown away.  

Thanks again to you all.  Greatly appreciated.

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Thanks everyone!  This is the first time I believe we ever filed on the last day. Unnerving, but you all made it happen. Congrats! .

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Thank you all for all for everything!  This has been the easiest filing of our annual documents!

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Thank you for all your hard work in getting this done for us!

It’s been a pleasure. I’m really happy with how the book came out and I’m really grateful for the continuous support and expertise you provided.  You were always there and willing to work out the details for us. You made this really easy for me.

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A big thank you to you and your team for all of your help with the 10-K.

We’ve been very busy the last few months and we wouldn’t have been able to file on time if it wasn’t for your help. As always, it’s a pleasure working with you all.

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Great job, by the way.  Thank you all again for making this process go as smoothly as possible.

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You da Man!  Vintage rocks. Thanks for all you do for us.

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Our rebrand was not just a logo change – it was a systemic and cultural reform throughout our operations.  

IPOs and Transactions: April 10 – 14 / plus M&A whitepaper

There were 55 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services including PavMed Inc. w/ Greenberg Traurig LLP, Chino Commercial Bancorp w/ King, Holmes, Paterno & Soriano LLP, Highpower International Inc. w/ Manatt, Phelps & Phillips LLP and Capital Acquisition Holding Co. LTD w/ Graubard Miller, Kirkland & Ellis LLP, Latham & Watkins LLP and Walkers Global.

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Law firm / advisor Registrant Symbol Form Industry
Allianz Life Insurance Company of North America ALLIANZ LIFE INSURANCE CO OF NEW YORK ~ S-1 Life insurance
Allianz Life Insurance Company of North America ALLIANZ LIFE INSURANCE CO OF NORTH AMERICA ~ S-1 Life insurance
Andrews Kurth Kenyon LLP TAPSTONE ENERGY INC ~ S-1 Crude petroleum & natural gas
Andrews Kurth Kenyon LLP BASIC ENERGY SERVICES INC BAS S-3 Oil & gas field services
Bass, Berry & Sims PLC QUORUM HEALTH CORP QHC S-4 General medic & surgical hospitals
Bevilacqua PLLC ICTV BRANDS INC ICV S-1 Retail – catalog & mail-order houses
Breyer & Associates PC RIVERVIEW BANCORP INC RVSB S-3 Savings institutions
Bryan Cave LLP GENERAL MOLY INC GMO S-3 Metal mining
Clifford Chance US LLP SAFETY INCOME & GROWTH INC ~ S-11 Lessors of real property
Cooley LLP AUDENTES THERAPEUTICS INC BOLD S-1 Biological products
Cooley LLP OVID THERAPEUTICS INC ~ S-1 Pharma. preparations
Cooley LLP MATTERSIGHT CORP MATR S-3 Computer integrated systems design
Davis Polk & Wardwell LLP KADMON HOLDINGS INC KDMN S-1 Pharma. preparations
Debevoise & Plimpton LLP US FOODS HOLDING CORP USFD S-1 Retail – Misc. food stores
DLA Piper LLP NABRIVA THERAPEUTICS PLC ~ S-4 ~
Dorsey & Whitney LLP NIOCORP DEVELOPMENTS LTD ~ S-1 Metal mining
Durham Jones & Pinegar, P.C. DYNATRONICS CORP DYNT S-3 Electromedical & electrotherapeutic apparatus
Eversheds Sutherland LLP GREAT WEST LIFE & ANNUITY INSURANCE CO ~ S-1 ~
Eversheds Sutherland LLP UNITED STATES NATURAL GAS FUND LP UNG S-3 Commodity contracts brokers & dealers
Eversheds Sutherland LLP OFS CAPITAL CORP OFS N-2 Investment advice
Fenwick & West LLP AUDENTES THERAPEUTICS INC BOLD S-1 Biological products
Fredrikson & Byron P.A. NEPHROS INC NEPH S-1 Surgical & medical instruments & apparatus
Goodwin Procter LLP AERPIO PHARMACEUTICALS INC ~ S-1 Blank check
Goodwin Procter LLP G1 THERAPEUTICS INC ~ S-1 Pharma. preparations
Goodwin Procter LLP OVID THERAPEUTICS INC ~ S-1 Pharma. preparations
Graubard Miller CAPITOL ACQUISITION HOLDING CO LTD ~ S-4 ~
Greenberg Traurig, LLP PAVMED INC PAVM S-4 Surgical & medical instruments & apparatus
Haynes and Boone, LLP CALLON PETROLEUM CO CPE S-4 Crude petroleum & natural gas
Hill Ward Henderson NUO THERAPEUTICS INC 4C7A S-1 Surgical & medical instruments & apparatus
Honigman Miller Schwartz and Cohn LLP GEMPHIRE THERAPEUTICS INC GEMP S-1 Pharma. preparations
Ithrive PH Inc. ITHRIVE PH INC ~ 1-A ~
Jones Day PEABODY ENERGY CORP BTU S-1 Bituminous coal & lignite surface mining
King & Spalding LLP SIMPLY GOOD FOODS CO CPAA S-4 Blank check
King, Holmes, Paterno & Soriano, LLP CHINO COMMERCIAL BANCORP CCBC 1-A National commercial banks
Kirkland & Ellis LLP CAPITOL ACQUISITION HOLDING CO LTD ~ S-4 ~
Kirkland & Ellis LLP SIMPLY GOOD FOODS CO CPAA S-4 Blank check
Kirkland & Ellis LLP VINE RESOURCES INC ~ S-1 Crude petroleum & natural gas
Kirkland & Ellis LLP ICHOR HOLDINGS LTD ICHR S-1 Semiconductors & related devices
Latham & Watkins LLP CAPITOL ACQUISITION HOLDING CO LTD ~ S-4 ~
Latham & Watkins LLP WILLIAM LYON HOMES INC WLH S-4 Operative builders
Latham & Watkins LLP CBS RADIO INC ~ S-4 Radio broadcasting stations
Latham & Watkins LLP ENTERCOM COMMUNICATIONS CORP ETM S-4 Radio broadcasting stations
Latham & Watkins LLP ICHOR HOLDINGS LTD ICHR S-1 Semiconductors & related devices
Latham & Watkins LLP HC2 HOLDINGS INC HCHC S-3 Telephone comm.
Locke Lord LLP PDL COMMUNITY BANCORP ~ S-1 ~
Lowenstein Sandler LLP NUO THERAPEUTICS INC 4C7A S-1 Surgical & medical instruments & apparatus
Manatt, Phelps & Phillips, LLP HIGHPOWER INTERNATIONAL INC HPJ S-3 Misc. electrical machinery, equipment & supplies
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. G1 THERAPEUTICS INC ~ S-1 Pharma. preparations
Morrison & Foerster LLP PAIN THERAPEUTICS INC PTIE S-3 Pharma. preparations
Murtha Cullina LLP CONNECTICUT WATER SERVICE INC CTWS S-4 Water supply
Nelson Mullins Riley & Scarborough LLP GRIFFIN CAPITAL ESSENTIAL ASSET REIT II INC ~ S-11 Real estate investment trusts
Office of Richard Rubin EWELLNESS HEALTHCARE CORP ~ S-1 Blank check
Porter Hedges LLP CARRIAGE SERVICES INC CSV S-3 Personal services
Reed Smith LLP TEUCRIUM COMMODITY TRUST CORN S-1 Commodity contracts brokers & dealers
Registered Agents Services LLC CANTOR GROUP INC ~ S-1 ~
Ropes & Gray LLP ALTICE USA INC ~ S-1 ~
SD Law Group APC RICH PHARMACEUTICALS INC RCHA S-1 Pharma. preparations
Shearman & Sterling LLP ALTICE USA INC ~ S-1 ~
Sichenzia Ross Ference Kesner LLP HEALTHLYNKED CORP ~ S-1 Offices & clinics of doctors of medicine
Sidley Austin LLP VERMILLION INC VRML S-3 In vitro & in vivo diagnostic substances
Sidley Austin LLP SAFETY INCOME & GROWTH INC ~ S-11 Lessors of real property
Sidley Austin LLP STARWOOD PROPERTY TRUST INC STWD S-4 Real estate investment trusts
Sidley Austin LLP US FOODS HOLDING CORP USFD S-1 Retail – Misc. food stores
Silver, Freedman, Taff & Tiernan LLP PDL COMMUNITY BANCORP ~ S-1 ~
Simpson Thacher & Bartlett LLP US FOODS HOLDING CORP USFD S-1 Retail – Misc. food stores
Skadden, Arps, Slate, Meagher & Flom LLP GREAT ELM CAPITAL CORP GECC N-2 Investors
Stubbs Alderton & Markiles, LLP RESONANT INC RESN S-3 Semiconductors & related devices
Thomas J. Craft, Jr., Esq. EWELLNESS HEALTHCARE CORP ~ S-1 Blank check
Troutman Sanders LLP PACIFIC ETHANOL INC PEIX S-3 Industrial organic chemicals
Vinson & Elkins L.L.P. TAPSTONE ENERGY INC ~ S-1 Crude petroleum & natural gas
Vinson & Elkins L.L.P. VINE RESOURCES INC ~ S-1 Crude petroleum & natural gas
Wachtell, Lipton, Rosen & Katz CBS RADIO INC ~ S-4 Radio broadcasting stations
Wachtell, Lipton, Rosen & Katz ENTERCOM COMMUNICATIONS CORP ETM S-4 Radio broadcasting stations
Walkers Global CAPITOL ACQUISITION HOLDING CO LTD ~ S-4 ~
Whitman Breed Abbott & Morgan LLC CONNECTICUT WATER SERVICE INC CTWS S-4 Water supply

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