IPOs and Transactions: Jan 30 – Feb 3 / plus whitepaper: “Improving SEC disclosure”

There were 27 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Pharmathene Inc. w/ Dentons US and Proskauer Rose LLP, Eastside Distilling Inc. w/ Dickinson Wright PLLC and Summit Law Group PLLC and Acura Pharmaceuticals Inc. w/ LeClairRyan.

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

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Law firm / advisor Registrant Symbol Form Industry
Andrews Kurth LLP SABINE PASS LIQUEFACTION LLC ~ S-4 Natural gas distribution
Baker Botts L.L.P. ENSCO PLC ESV S-4 Drilling oil & gas wells
Breyer & Associates PC FS BANCORP INC FSBW S-3 Savings institutions, not federally chartered
Cheval Resources Corporation CHEVAL RESOURCES CORP ~ S-1 Blank check
Cooley LLP SNAP INC ~ S-1 Computer programming, data process
Davis Polk & Wardwell LLP HAMILTON LANE INC ~ S-1 Investment advice
Debevoise & Plimpton LLP GMS INC GMS S-1 Lumber & other construction materials
Dentons US LLP PHARMATHENE INC PIP S-4 Pharma preparations
Dickinson Wright PLLC EASTSIDE DISTILLING INC ESDI S-1 Advertising
Disclosure Law Group, PC INNOVUS PHARMACEUTICALS INC INNV S-1 Pharma preparations
Drinker Biddle & Reath LLP HAMILTON LANE INC ~ S-1 Investment advice
Fenwick & West LLP CASTLIGHT HEALTH INC CSLT S-4 Computer processing & data preparation
Fried, Frank, Harris, Shriver & Jacobson LLP GMS INC GMS S-1 Lumber & other construction materials
Goodwin Procter LLP SNAP INC ~ S-1 Computer programming, data process
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP CASTLIGHT HEALTH INC CSLT S-4 Computer processing & data preparation
Hart & Hart, LLC DIAMOND CARTEL INC ~ S-1 ~
Haynes and Boone, LLP CHEMBIO DIAGNOSTICS INC CEMI S-3 Pharma preparations
Jones & Keller, P.C. FEEL THE WORLD INC ~ 1-A Rubber & plastics footwear
Kutak Rock LLP US ENERGY CORP USEG S-3 Metal mining
Latham & Watkins LLP VIEWRAY INC MRXC S-3 Retail
LeClairRyan ACURA PHARMACEUTICALS INC ACUR S-1 Pharma preparations
Morgan, Lewis & Bockius LLP SPECIAL DIVERSIFIED OPPORTUNITIES INC SDOI S-4 Miscellaneous chemical products
Norcor Technologies Corp. NORCOR TECHNOLOGIES CORP NCRT 10-12G Construction-special trade contractors
Proskauer Rose LLP PHARMATHENE INC PIP S-4 Pharma preparations
Sichenzia Ross Ference Kesner LLP INNOVUS PHARMACEUTICALS INC INNV S-1 Pharma preparations
Sichenzia Ross Ference Kesner LLP POLARITYTE INC COOL S-1 Prepackaged software
Summit Law Group, PLLC EASTSIDE DISTILLING INC ESDI S-1 Advertising
Trombly Business Law, P.C PRECISION OPTICS CORPORATION INC PEYE S-1 Electromedical & electrotherapeutic apparatus
Vinson & Elkins L.L.P. BLACK STONE MINERALS L.P. BSM S-3 Crude petroleum & natural gas
Vinson & Elkins L.L.P. EZCORP INC EZPW S-3 Retail
Weintraub Tobin Chediak Coleman Grodin, L.C. DIGITAL POWER CORP DPW S-3 Electronic components
Weintraub Tobin Chediak Coleman Grodin, Law Corp. DIGITAL POWER CORP DPW S-3 Electronic components
Wilson Sonsini Goodrich & Rosati, PC CAPNIA INC CAPN S-1 Electromedical & electrotherapeutic apparatus
Wilson Sonsini Goodrich & Rosati, PC TEARLAB CORP TEAR S-3 Surgical & medical instruments & apparatus
Zipmesh, Inc. ZIPMESH INC ~ 1-A ~

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: Jan 30 – Feb 3 / plus whitepaper: improving SEC disclosure

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 +
CAPNIA INC S-1 Aspire Capital Fund, LLC ~ ~
GMS INC S-1 Barclays Capital Inc. Credit Suisse Securities LLC RBC Capital Markets, LLC
POLARITYTE INC S-1 Brian M. Herman, registered broker-dealer Jim Christodoulis, registered broker-dealer Matthew Spraugue Swanson, registered broker-dealer
VIEWRAY INC S-3 FBR Capital Markets & Co. ~ ~
HAMILTON LANE INC S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC / Goldman, Sachs & Co. Keefe, Bruyette & Woods, Inc. / Wells Fargo Securities, LLC
SNAP INC S-1 Morgan Stanley & Co. LLC / Goldman, Sachs & Co. / J.P. Morgan Securities LLC / Deutsche Bank Securities Inc. / Barclays Capital Inc. / Credit Suisse Securities LLC / Allen & Company LLC / BTIG, LLC C.L. King & Associates, Inc. / Citigroup Global Markets Inc. / Cowen and Company, LLC / Evercore Group, LLC / Jefferies LLC / JMP Securities LLC / LionTree Advisors LLC / LUMA Securities LLC Mischler Financial Group, Inc. / Oppenheimer & Co., Inc. / RBC Capital Markets, LLC / Samuel A. Ramirez & Co., Inc. / Stifel Financial Corp. / SunTrust Robinson Humphrey, Inc. / The Williams Capital Group, L.P. / William Blair & Company, L.L.C.
CHEVAL RESOURCES CORP S-1 Rory O’Dare ~ ~
EASTSIDE DISTILLING INC S-1 Roth Capital Partners, 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: January’s Top Ten 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.

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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

 

 

 

Video now available: SEC Reporting & Filing in the Trump Administration

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Judging by the crowd size at last week’s live webcast “SEC Reporting & Filing in the Trump Administration,” the audience for the archive replay below will huge.

The Trump administration has created a level of uncertainty surrounding how the SEC will look over the next four years. Will the SEC continue its high level of scrutiny and enforcement in the same areas, or refocus? Are the recently adopted rules likely to remain, and where reporting requirements change? How should you advise your clients in preparing their filings and disclosures in this regulatory environment?

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As you see below, the agenda and the speakers are excellent. SO GOOD!!

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REPORT: Vast majority of Main and Wall Street investors use earnings call transcripts

Since we’re in “earnings season,” here’s more insight regarding how investors consume your quarterly content… as our Shareholder Confidence 365 Study continues.

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Clearly, transcripts of your quarterly results are coveted content by both institutional and individual investors. Are you helping them get access?  Wall Street has broad access to transcripts via Bloomberg, Fact Set, etc. What about Main Street? Do you trust what’s transcribed in the freebie transcripts available on day-trader portals? Don’t. Post your verified transcripts for ALL investors on your IR website.

Two reasons why: 1.) you always want to rule supreme as the absolute resource for content about your company and 2.) you need to think like a web marketer… attract people inbound to your IR website.

Essential content, like earnings call transcripts, will draw your shareholders and potential investors in. You always have your earnings call transcribed anyway. It’s valuable content investors want. USE IT to your benefit.

Click here to request the complete Shareholder Confidence 365 Study.


About the study

Initially launched in 2012, the Shareholder Confidence 365 Study is an ongoing survey targeted at two key constituents with whom public companies communicate: institutional investors and individual investors. It was the first study of its kind — directly asking investors how they consume investor relations content. In 2014, we published an updated study.

For this 2016 iteration, we have segmented and compared the results between institutional investors and individual investors. To date. we have accumulated over 6,870 responses from a pool of 16,000 buy-side analysts & portfolio managers and from over 15,000 long-term holding retail investors. There are 29 questions.

Questions include:

  • How often do you visit IR websites?
  • Why do you visit IR websites?
  • Do you use Twitter for stock research?
  • Would a CEO video instill trust?
  • Do you use earnings estimates?

The inbound response ratio is 1:3, Wall Street to Main Street. All of the data is unedited, except for any typos within the comments and the exclusion of inappropriate comments.

 

 

Vintage Ranked 2016 Top SEC Filing Agent in China: Form 20-F Filings

Company wins second spot worldwide

NEW YORK, JAN 31, 2017 / PR Newswire / — Vintage, the capital markets, corporate services and institutional and fund services division of PR Newswire, today announced that their China & Hong Kong division has rated number one for filing SEC Form 20-F on behalf of their China-based clients.

Vintage filed 47% of Form 20-F files in China in 2016.

A requirement of the Securities Exchange Act of 1934, a Form 20-F, and its Canadian equivalent Form 40-F, must be submitted by foreign issuers that have listed equity shares on stock exchanges in the United States. Similar to a Form 10-K for U.S.-based issuers, Form 20-F calls for the submission of an annual report within six months of the end of a company’s fiscal year.

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“Once again, we are very proud with our achievement of being in the number one position in China,” said Sharon Xu, Director of IR Services: China, PR Newswire and Vintage. “We continue to advance our investment in the expansion of the bilingual production team and in delivering fast-turns and accurate execution. We appreciate our clients’ confidence in us and we will continue to surpass their expectations.”

58.com, (NYSE: WUBA) the largest online marketplace serving local merchants and consumers in China, utilizes the compliance services of Vintage and compliments the company’s ability to execute under great pressure.

“PR Newswire/Vintage provides total solutions to us, including Edgar Filing, XBRL, typesetting, news releases and webcast services,” said 58.com CFO, Alex Zhou. “The different functions of their teams work together in highly efficiency way to support their clients. The editors and XBRL professionals will give you valuable suggestions even under great time pressure. I trust their work.”

Vintage rated Number Two worldwide for Form 20-F and Form 40-F filings

In addition to holding the top position in China, Vintage also claimed the number two position worldwide, led predominantly by their Israeli and Canadian offices.

“Our dedicated, local presence has long made us a leading provider of compliance solutions in Israel,” said Jeremy Thompson, CEO (EMEA & India) Cision/PR Newswire. “There is a strong demand for filing alongside shareholder communications – PR Newswire and Vintage allow US-listed clients to easily fulfil their compliance obligations and leverage the industry’s most powerful distribution network.”

“At CNW, we firmly believe that our clients deserve the very best and this is why we leverage the experts at Vintage to offer our inter-listed clients a concierge level of service for all their regulatory needs,” said Nicole Guillot, CNW’s President. “We can’t tell you how pleased we are to be an integral element of this global and combined success story for Vintage, PR Newswire, CNW and, now Cision.”

In addition to Form 20-F, the company also supports corporations, regardless of geography, throughout IPO registrations, Regulation A+ registrations, virtual data rooms and shareholder communications.

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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. 

About PR Newswire

PR Newswire, a Cision company, is the premier global provider of multimedia platforms and distribution that marketers, corporate communicators, sustainability officers, public affairs and investor relations officers leverage to engage key audiences. Having pioneered the commercial news distribution industry over 60 years ago, PR Newswire today provides end-to- end solutions to produce, optimize and target content — and then distribute and measure results. Combining the world’s largest multi-channel, multi-cultural content distribution and optimization network with comprehensive workflow tools and platforms, PR Newswire powers the stories of organizations around the world. PR Newswire serves tens of thousands of clients from offices in the Americas, Europe, Middle East, Africa and Asia-Pacific regions.

Cision is a leading global media intelligence company, serving the complete workflow of today’s communication professionals. 

Media Contact:
Bradley H. Smith
Director of Marketing, IR and Compliance Services
PR Newswire & Vintage
+1 201.942.7157

bradley.smith@prnewswire.com

IPOs and Transactions: Jan 23 – 27 / plus whitepaper: improving SEC disclosure

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 WPCS International Inc. w/ K&L Gates LLP, Dipexium Pharmaceuticals Inc. w/ Jackson Walker LLP and Mintz, Levin, Cohn, Ferris, Glovsky and Popeo PC, Yatra Online Inc. w/ Goodwin Procter LLP and RegA+ registration Groundfloor Real Estate 1 LLC w/ Robbins Ross Alloy Belinfante Littlefield LLC and Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan LLP.

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

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Law firm / advisor Registrant Symbol Form Industry
Baker Botts L.L.P. ENABLE MIDSTREAM PARTNERS LP ENBL S-3 Natural gas transmission
Bernstein Shur, Sawyer & Nelson PEACHTREE ALTERNATIVE STRATEGIES FUND ~ N-2 ~
Broadcast 3DTV, Inc. BROADCAST 3DTV INC ~ 1-A Radio & television broadcasting & comms equipment
Disclosure Law Group, PC VISTAGEN THERAPEUTICS INC VTGN S-3 Pharma preparations
Dorsey & Whitney LLP CHS INC CHSCM S-1 Wholesale – farm product raw materials
Durham Jones & Pinegar, P.C. DYNATRONICS CORP DYNT S-3 Electromedical & electro-therapeutic apparatus
Ellenoff Grossman & Schole LLP ITUS CORP ITUS S-1 Computer peripheral equipment
Fried, Frank, Harris, Shriver & Jacobson LLP GOLDMAN SACHS MIDDLE MARKET LENDING LLC ~ 10-12G ~
Golenbock Eiseman Assor Bell & Peskoe, LLP IMPRIMIS PHARMA-CEUTICALS INC IMMY S-3 Pharma preparations
Goodwin Procter LLP YATRA ONLINE INC YTRA F-1 Transportation services
Greenberg Traurig, LLP RMG NETWORKS HOLDING CORP RMGN S-3 Business services, not elsewhere classified
Haynes and Boone, LLP INSPIREMD INC NSPR S-1 Surgical & medical instruments & apparatus
Hunton & Williams LLP FIRST INTERSTATE BANCSYSTEM INC FIBK S-4 State commercial banks
J.P. Galda & Co. ALGAE DYNAMICS CORP ~ S-1 Medicinal chemicals & botanical products
Jackson Walker L.L.P. DIPEXIUM PHARMA-CEUTICALS INC DPRX S-4 Pharma preparations
JBG SMITH Properties JBG SMITH PROPERTIES ~ 10-12B ~
K&L Gates LLP WPCS INTERNATIONAL INC WPCS S-3 Comms services
Korth Direct Mortgage LLC KORTH DIRECT MORTGAGE LLC ~ S-1 ~
Lane & Waterman LLP LEE ENTERPRISES INC LEE S-3 Newspapers
Latham & Watkins LLP HOULIHAN LOKEY INC HLI S-3 Investment advice
Loeb & Loeb LLP SMITH MICRO SOFTWARE INC SMSI S-3 Prepackaged software
Lowenstein Sandler LLP CELLDEX THERAPEUTICS INC CLDX S-3 In vitro & in vivo diagnostic substances
Lu Thuan Van LU THUAN VAN ~ 1-A ~
Lucosky Brookman LLP DUOS TECHNOLOGIES GROUP INC IOSA S-1 Prepackaged software
Luse Gorman, PC FIRST INTERSTATE BANCSYSTEM INC FIBK S-4 State commercial banks
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo P.C. DIPEXIUM PHARMA-CEUTICALS INC DPRX S-4 Pharma preparations
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. NEUROMETRIX INC NURO S-3 Surgical & medical instruments & apparatus
Mobodexter Inc. MOBODEXTER INC ~ 1-A ~
Northwest Trout Farms, Inc. NORTHWEST TROUT FARMS INC ~ 1-A ~
O’Neal Law Office DIAMANTE MINERALS INC OCOO S-1 Mining & quarrying nonmetallic minerals
Paul Hastings LLP CONSOLIDATED COMMUNICATIONS HOLDINGS INC CNSL S-4 Telephone comms
Pearlman Law Group LLP SOCIAL REALITY INC SRAX S-3 Advertising agencies
Robbins Ross Alloy Belinfante Littlefield LLC GROUNDFLOOR REAL ESTATE 1 LLC ~ 1-A ~
Ropes & Gray LLP NEXPOINT CREDIT STRATEGIES FUND NHF N-2 Finance services
Satterlee Stephens LLP RENOVACARE INC RCAR S-1 Oil & gas field exploration services
Schiff Hardin LLP CONSOLIDATED COMMUNICATIONS HOLDINGS INC CNSL S-4 Telephone comms
Schiff Hardin LLP INSPIREMD INC NSPR S-1 Surgical & medical instruments & apparatus
Schwell Wimpfheimer & Associates STRAIGHT PATH COMMUNICATIONS INC STRP S-3 Radiotelephone comms
SD Mitchell & Associates, PLC ECO SCIENCE SOLUTIONS INC ESSI S-1 Retail
Sheppard, Mullin, Richter & Hampton LLP DUOS TECHNOLOGIES GROUP INC IOSA S-1 Prepackaged software
Sichenzia Ross Ference Kesner LLP ORBITAL TRACKING CORP SILV S-1 Telephone comms
Simpson Thacher & Bartlett LLP FIRST HAWAIIAN INC FHB S-1 Finance services
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, LLP GROUNDFLOOR REAL ESTATE 1 LLC ~ 1-A ~
Snell & Wilmer L.L.P. CRYOPORT INC CYRX S-3 Plastics foam products
StepOne Personal Health, Inc. STEPONE PERSONAL HEALTH INC ~ 1-A Computer processing & data preparation
Sullivan & Cromwell LLP FIRST HAWAIIAN INC FHB S-1 Finance services
Sutherland Asbill & Brennan LLP GOLDMAN SACHS MIDDLE MARKET LENDING LLC ~ 10-12G ~
Sutherland Asbill & Brennan LLP OGLETHORPE POWER CORP ~ S-3 Electric services
Tool Floor, Inc. TOOL FLOOR INC ~ 1-A ~
Vinson & Elkins L.L.P. CONTANGO OIL & GAS CO 5CE;MCF S-3 Crude petroleum & natural gas
Vinson & Elkins LLP PATTERSON UTI ENERGY INC PTEN S-4 Drilling oil & gas wells
Wachtell, Lipton, Rosen & Katz PATTERSON UTI ENERGY INC PTEN S-4 Drilling oil & gas wells
Willkie Farr & Gallagher LLP GOLDMAN SACHS MIDDLE MARKET LENDING LLC ~ 10-12G ~
Willliams Law Firm, P.A. BIOLARGO INC BLGO S-1 Chemicals & allied products
Wilson & Oskam, LLP BIOLARGO INC BLGO S-1 Chemicals & allied products

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: Jan 23 – 27 / plus whitepaper: improving SEC disclosure

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 +
FIRST HAWAIIAN INC S-1 Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC / BNP Paribas Securities Corp.
GOLDMAN SACHS MIDDLE MARKET LENDING LLC 10-12G Goldman, Sachs & Co. Goldman Sachs International ~
DUOS TECHNOLOGIES GROUP INC S-1 Joseph Gunnar & Co., LLC ~ ~
ITUS CORP S-1 Meetrix Communications, Inc. ~ ~
ECO SCIENCE SOLUTIONS INC S-1 Phenix Ventures, LLC ~ ~
PEACHTREE ALTERNATIVE STRATEGIES FUND N-2 Ultimus Fund Distributors, 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.

 

How mutual fund SEC filings compare to corporate issuer filings

Our ETF and mutual fund teams are experts with the intricacies (and deadlines) of mutual fund reporting e.g. keeping track of the very subtle changes, prospectus-by-prospectus, across a trust.

Although the SEC filings for ’40 Act documents are no more “accurate” than ’33 and ’34 Acts, the process and volume of work, per client, can be much greater. Our WorkStream process diagram illustrates that. Request our 2017 MF & ETF Calendar for even more clarity. 

WorkStream-Integrates-Traditional-and-Automated-Publishing-for-Mutual-Funds_V3

CLICK IMAGE TO ENLARGE

 Corporate SEC filings compared with mutual fund SEC filings:

Corporate Issuer Filings

Securities Act Of 1933

Mutual Fund Filings

Securities Act Of 1933 and 1940

S-1: Initial IPO registration N-1A: Initial fund registration
S-1/A: Pre-effective amendments

 

N-1A/A: Pre-effective amendments
POS AM: Post-effective amendments 485APOS: Post-effective amendments
NA 485BPOS: Post-effective amendments with XBRL risk/return reporting
8-K: Current report 497: Supplement report
10-Q: Quarterly report with XBRL N-Q: Filed Q1 and Q3 reporting
NA N-CSRS: First six-month report including non-financial information
NA NSAR-A: First six-month financial-based report
10-K: Annual report with XBRL N-CSR: Year-end report including non-financial information
NA NSAR-B: Year-end financial-based report
DEF 14A: Definitive proxy statement DEF 14A: Definitive proxy statement
NA N-PX: Annual proxy voting record
S-4: Merger N-14: Merger
NA 40-17G: Fidelity bond filing

Another differentiation is that, unlike a corporate S-1 issuer with its single “stock,” N-1A funds have a three-tiered structure

  • Trust – corporation: this is the entity that gets a CIK on the EDGAR system.
  • Series – fund: this is the specific fund
  • Class: most funds also have different share classes based on audience for that fund

Lastly, a cost difference between the S-1 and N-1A filing processes is that N-1A don’t have a SEC filing fee nor do they typically work through the “aesthetic” typesetting and financial “ink on paper” printing process. This generally happens when the fund is ready to be marketed – at the 485APOS and 485BPOS (post-effective) stage.

Request our 2017 MF & ETF Calendar now. Each month is sorted by FYE.

“Thank you for going above and beyond as always.”

Fast turns and spot-on execution 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.

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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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…and file the amendment with the SEC today. Thank you all for a great job. May the gods of the Securities and Exchange Commission be with all of us.

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The New Year is on the way, and for all the hard works, efforts, and sleepless nights you put into this project, we want to say thank you!

On behalf of our management and Board of Directors, we appreciate that the IPO application can be filed before the new year and this couldn’t have happened without you.

We wish all of you and your families the happiness and health for the New Year!

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I know it doesn’t happen by magic, so I was to let you, the Vintage team, know that your hard work is appreciated.

Thanks, again, and best regards.

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Thank you, [Vintage employee name] . And thank you to everyone who got this done overnight. We appreciate the work.

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Once, again, I thank you, all for making it so easy to file a complete, accurate and professional-looking document on such a timely basis.

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You guys are AWESOME!!!

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Thank you very much for getting this taken care of quickly, and apologies for [our] last minute “fire drill” on this.

We really appreciate you and your team delivering and getting it done!

Our rebrand was not just a logo change – it was a systemic and cultural reform throughout our operations. Our president, Liam Power, challenged his team to deliver the industry’s intelligent value, measured as fast turns and spot-on execution of services. You can meet Liam Power on this video. Thanks to our experts for delivering intelligent value!