Financial Transactions and Regulatory Compliance Review

Covering the latest in capital markets transactions, funds, annuities, financial reporting and SEC filings

Vertical Transactions & Private Equity-Owned Platform Companies

Vertical mergers have been stealing some of the thunder from horizontal deals of late. As horizontal targets become harder to come by, some acquirers are focusing on companies up or down the supply chain from them—presenting both new opportunities for expansion and a new set of challenges for a range of companies and industries. 

To explore the drivers of recent vertical transactions as well as their potential pitfalls, Mergermarket on behalf of Toppan Vintage spoke with four dealmakers for their insights.

Toppan Vintage question: Could vertical transactions be an effective strategy for, say, private equity-owned platform companies? Leading industry experts weigh in...

Continue reading

Understanding the Recent Resurgence of Special Purpose Acquisition Companies

Continue reading

Interest in Vertical Integration Transactions Lower in the Market

As horizontal deals become more challenging due to consolidation, dealmakers increasingly consider opportunities to go vertical. Looking down the supply chain, companies are finding both new and exciting opportunities for expansion, though accompanied by a new set of challenges. 

To explore the drivers of recent vertical transactions as well as their potential pitfalls, Mergermarket on behalf of Toppan Vintage spoke with four dealmakers for their insights.

Toppan Vintage question: In addition to the vertical megadeals, are you seeing interest in vertical integration transactions lower in the market? Leading industry experts weigh in...

Continue reading

IPOs and Transactions: October 8 - 12

There were 33 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Regenerx Biopharmaceuticals Inc w/ Avisen Legal, P.A., Akari Therapeutics Plc w/ McDermott Will & Emery LLP, Silverpeak Credit Company Inc w/ Proskauer Rose LLP, Solaris Oilfield Infrastructure Inc w/ Vinson & Elkins L.L.P.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

Continue reading

Putting the Recently Finalized US Inversion Regulations Into Context Following US Tax Reform

Continue reading

Negotiating M&A Deal Terms

Continue reading

Top Drivers of Vertical Integration Deals

Vertical mergers have been stealing some of the thunder from horizontal deals of late. As horizontal targets become harder to come by, some acquirers are focusing on companies up or down the supply chain from them—presenting both new opportunities for expansion and a new set of challenges.

To explore the drivers of recent vertical transactions as well as their potential pitfalls, Mergermarket on behalf of Toppan Vintage spoke with four dealmakers for their insights.

Toppan Vintage question: Several high-profile vertical integration deals have been done recently in sectors such as healthcare and media. What have been the main drivers of this trend, and do you expect it to continue? Leading industry experts weigh in...

Continue reading

How Leading Companies Get a Head Start on Synergies Before Day 1

Continue reading

IPOs and Transactions: October 1 - 5

There were 42 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including First Busey Corp w/ Barack Ferrazzano Kirschbaum & Nagelberg LLP, Ashford Inc w/ Cadwalader, Wickersham & Taft LLP, Ep Income Co Llc w/ Dechert LLP, Cim Commercial Trust Corp w/ Gross, Kleinhendler, Hodak, Halevy, Greenberg, Shenhav & Co., Sb One Bancorp w/ Hogan Lovells US LLP, First Busey Corp w/ Howard & Howard Attorneys PLLC, Esquire Financial Holdings Inc w/ Luse Gorman, PC, Ep Income Co Llc w/ Mayer Brown LLP, Government Properties Income Trust w/ Saul Ewing Arnstein & Lehr LLP, Government Properties Income Trust w/ Skadden, Arps, Slate, Meagher & Flom LLP, Cim Commercial Trust Corp w/ Sullivan & Cromwell LLP, Government Properties Income Trust w/ Sullivan & Worcester LLP, Sb One Bancorp w/ Windels Marx Lane & Mittendorf, LLP.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

Continue reading

Video: September Top Law Firms By 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.

Continue on to view September's top law firms.

Continue reading

SEC closed for Columbus Day - October 8, 2018



Due to Columbus Day, the SEC is closed Monday, October 8, 2018. No filings can be received.

Files submitted after 5:30 pm ET, Friday, October 5, 2018 will receive a filing date of Tuesday, October 9, 2018 and will be posted to the public on October 9, 2018.

Continue reading

Find a Breach During Due Diligence? Here's What to do Next

Continue reading

SEC’s Tick Size Pilot No Help to Investors

A pilot project launched in 2016 by the Securities and Exchange Commission had an opposite effect from what was intended. It raised rather than lowered trading costs for investors, according to market participants.

The Tick Size Pilot Program was set up to study the impact of widening the minimum quoting and trading increments for small-cap securities to test whether that would increase liquidity, lessen volatility, and lower investor cost. These quoted increments—known as the tick size—were required for the duration of the pilot to increase $0.05 for the securities of about 1,400 companies.

Continue reading

Consolidation Barriers Could Fuel More Satellite ‘Cooperation’

Continue reading

IPOs and Transactions: September 24 - 28

There were 44 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Bank First National Corp w/ Alston & Bird LLP, Nrg Energy Inc w/ Baker Botts L.L.P., Bank First National Corp w/ Bank First National Corp., Ovascience Inc w/ Cooley LLP, Valtech Se w/ Davis Polk & Wardwell LLP, Vivaldi Opportunities Fund w/ Drinker Biddle & Reath LLP, Chicken Soup For The Soul Entertainment Inc w/ Graubard Miller, Niu Technologies w/ Kirkland & Ellis International LLP, Harvest Oil & Gas Corp w/ Kirkland & Ellis LLP, Ovascience Inc w/ Millendo Therapeutics, Inc., Ovascience Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C., Samoyed Holding Ltd w/ Shearman & Sterling LLP, Samoyed Holding Ltd w/ Simpson Thacher & Bartlett LLP, Niu Technologies w/ Skadden, Arps, Slate, Meagher & Flom LLP, Valtech Se w/ Skadden, Arps, Slate, Meagher & Flom LLP.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

Continue reading

Unequal Voting and the Business Judgement Rule

Continue reading

Agency Stakes Claim to Regulate Cryptocurrency

Regulation of cryptocurrency is happening in various sectors, as agencies and industry groups seek information on those involved with digital assets in an attempt to map out authority over certain aspects of the virtual currencies market.

The Commodity Futures Trading Commission has taken a lead in setting guidelines for this new market, though the agency has acknowledged that U.S. law does not provide authority for direct, comprehensive oversight of underlying Bitcoin or virtual currency spot markets or platforms.

Continue reading

Chase Bongirno Named Chair of XBRL US Communications Steering Committee

We’re pleased to share that Chase Bongirno, Director of XBRL at Toppan Vintage, has been named the chair of the XBRL US Communications Steering Committee (CSC).

With a mission of facilitating the adoption and widespread use of XBRL by the business reporting supply chain, the CSC engages members, government and the public at large to increase the awareness of the benefits of using XBRL data and build community among a diverse audience. Current workstreams include identifying new consumers of XBRL data and establishing proof of XBRL benefits.

Continue reading

PE Insights on Sustainability in the Long-Term

Recently, a new consideration in corporate culture has been sustainability and environmental, social, and governance (ESG) principles, which more companies have been adopting as part of their respective cultures. Taking up these priorities presents new challenges for dealmakers, especially private equity buyers.

In order to understand the importance of ESG and corporate culture principles as they relate to M&A deals, as well as the challenges of integrating and evaluating such principles, Mergermarket on behalf of Toppan Vintage spoke with six dealmakers with experience in the field.

Toppan Vintage question: On average, the holding period for private equity is around five years. How does this affect the way in which PE firms view companies that emphasize sustainability issues, since they often require strategizing for the long term? Leading industry experts weigh in...

Continue reading

IPOs and Transactions: September 17 - 21

There were 40 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Willscot Corp w/ Allen & Overy LLP, Celcuity Inc w/ Fredrikson & Byron, P.A., Pebblebrook Hotel Trust w/ Goodwin Procter LLP, Synthetic Biologics Inc w/ Gracin & Marlow, LLP, Dd3 Acquisition Corp w/ Graubard Miller, Graf Industrial Corp w/ Graubard Miller, Dd3 Acquisition Corp w/ Greenberg Traurig, LLP, Pebblebrook Hotel Trust w/ Hunton Andrews Kurth LLP, Graf Industrial Corp w/ Winston & Strawn LLP, Synthetic Biologics Inc w/ Zysman, Aharoni, Gayer and Sullivan & Worcester LLP.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

Continue reading

Subscribe to the Toppan Vintage Blog

Most Popular Articles

2018 SEC REPORTING RULES GUIDEBOOKS - PRE-ORDER FREE SET

Order now.  

2018 SEC FILING CALENDAR - DOWNLOAD NOW

Download the 2018 SEC Filing Calendar here.  

2018 MUTUAL FUND & ETF FILING DATES - DOWNLOAD NOW

Download the 2018 Mutual Fund & ETF Filing Dates here.  

2018 ETF HANDBOOK - DOWNLOAD NOW

Download the 2018 ETF Handbook here.

 

UNICORNS: WHAT WILL HAPPEN OVER THE NEXT 12 MONTHS?

Get your free whitepaper here

ANNUAL COMPLIANCE SUBSCRIPTION PACKAGE 

Click here to learn more about which XBRL service option best fits your team's business requirements and work standards.

Latest Blogs