Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: October 9 - 13

There were 44 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, includingHoward Bancorp Inc w/ Covington & Burling LLP, Wpcs International Inc w/ DropCar, Inc., Howard Bancorp Inc w/ First Mariner Bank, Wpcs International Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., Wpcs International Inc w/ Morse, Zelnick, Rose & Lander, LLP, Xg Technology Inc w/ Robinson Brog Leinwand Greene Genovese & Gluck P.C., Howard Bancorp Inc w/ Venable LLP, Lipocine Inc w/ Dorsey & Whitney LLP, Groundfloor Finance Inc w/ Robbins Ross Alloy Belinfante Littlefield LLC, Groundfloor Finance Inc  w/ Smith Anderson.

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.

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Country Risk: Determinants, Measures and Implications in Deal Planning

By, Prof. Aswath Damodaran - Professor of Finance, New York University

View full article from Transaction Advisors, here.
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The State of the Unicorn: Which Regions Will See the Most New Prospects Over the Next Year?

The once-vaunted category of unicorn companies is losing some of its sheen. In 2014, more than 30 private companies worth US$1bn or more exited, and the average exit valuation rose to above US$9bn, according to data from CB Insights. In the following two years, 25 or fewer unicorns exited each year and the average exit price fell to below US$3bn. With the future of unicorn valuations in limbo, questions remain about how investor sentiment will continue to shift going forward.

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present the newest edition of M&A Pulse newsletter. This newsletter features responses from US-based senior corporate executives who shared their insights on the current and future state of unicorn companies.

Toppan Vintage question: Which regions are likely to see the most new unicorns appear in the next 12 months? Leading deal experts weigh in...

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IPOs and Transactions: October 2 - 6

There were 54 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Metropolitan Bank Holding Corp w/ Davis Polk & Wardwell LLP, Metropolitan Bank Holding Corp w/ Luse Gorman, PC, Ekso Bionics Holdings Inc w/ Nutter, McClennen & Fish, LLP, Sorrento Therapeutics Inc w/ Paul Hastings LLP, Dgse Companies Inc w/ Stewart & Bonnet, 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.

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

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The SEC is Closed for Columbus Day: Monday, October 9


In honor of Columbus Day, the SEC is closed on Monday, October 9, 2017. No filings can be received. Filings submitted after 5:30 pm ET, Friday, October 6, 2017 will receive a filing date of Tuesday, October 10, 2017 and will be posted to the public on October 10, 2017.

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Developing a Rigorous (and Realistic) M&A Strategy

By, Greg Psihas, Vice President and Head of Corporate Development at Lockheed Martin Corporation; Svetlana Vinokur, Vice President, Treasurer and Corporate Development at Federal Signal; Tara Long, Vice President, Strategy and Corporate Developemnt at Seagate Technology; & Decker Walker, Partner and Managing Director at The Boston Consulting Group.  

View full article from Transaction Advisors, here.
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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.

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IPOs and Transactions: September 25 - 29

There were 50 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Innovative Industrial Properties Inc w/ DLA Piper LLP, Innovative Industrial Properties Inc w/ Foley & Lardner LLP, Select Bancorp Inc w/ Johnson Pope Bokor Ruppel & Burns, LLP, Select Bancorp Inc w/ Wyrick Robbins Yates & Ponton LLP, Golub Capital Bdc 3 Inc w/ Dechert LLP, Pareteum Corp w/ Schiff Hardin LLP, Pareteum Corp w/ Sichenzia Ross Ference Kesner 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.

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

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Insights from a Review of Corporate Venture Capital Investments

By, Neil Foster, ESQ. - Partner at Baker Botts & Tim Davison, ESQ. - Special Counsel at Baker Botts

View full article from Transaction Advisors, here.
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Toppan Vintage Continues Strong Growth Six Months after Competitor Acquisition

 

Leading international financial printing and communications firm’s acquisition of Vintage stimulates launch of new cloud-based solutions and completion of substantial deals and filings with prominent global companies

Toppan Vintage, previously known as Toppan Vite, a leading international financial printing, communications and technology company, continues substantial growth and product expansion following the acquisition of Vintage, a division of PR Newswire, in March 2017. Toppan Vite and Vintage completed a strategic rebrand and adopted a new global brand name, Toppan Vintage, in June 2017. The rebrand marked a consolidation of brand identity and resources available across the globe and reflected the company’s plans for increased international growth.  

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Investor Forum: Smart Data, Better Results / with Chase Bongirno of Toppan Vintage

Smart analysts and investors leverage structured data to improve efficiency, reduce costs and increase the accuracy of analysis. This half-day forum provides practical information about where you can get structured data on US and non-US companies, on who’s using this data today, and a step-by-step discussion on how to get started using XBRL data within your own organization. This event is hosted by Baruch College’s Zicklin School of Business in the Newman Conference Center – 55 Lexington Avenue, New York, NY. The program was developed by XBRL US, and is held in sponsorship with CFA Institute and CFA Society New York.

Hear speakers from the Securities and Exchange Commission (SEC), Morgan Stanley, Toppan Vintage, the CFA Institute, XBRL US and more.

Register at: https://xbrl.us/events/forum-2017/ 

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IPOs and Transactions: September 18 - 22

There were 47 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Dogness (International) Corp. w/ Kaufman & Canoles, P.C.,  & Antriabio Inc. w/ Dorsey & Whitney LLP, Rewalk Robotics Ltd w/ Goldfarb Seligman & Co., Cue Biopharma Inc. w/ K&L Gates LLP, Electromedical Technologies Inc. w/ KHLK, LLP, Cue Biopharma Inc. w/ LKP Global Law, LLP, Rewalk Robotics Ltd. w/ Meitar Liquornik Geva Leshem Tal, Tapimmune Inc. w/ Shumaker, Loop & Kendrick, LLP, Rewalk Robotics Ltd. w/ Skadden, Arps, Slate, Meagher & Flom LLP, Rewalk Robotics Ltd. w/ White & Case 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.

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

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SEC Releases Additional Guidance for Executive Pay Ratio Disclosures

Yesterday, the SEC published interpretive guidance to help companies comply with the executive pay ratio disclosure requirements (mandated under Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act). The pay ratio requirement forces companies to begin disclosing pay ratio information in early 2018. 

SEC Chairman Jay Clayton said: “It’s our priority to make sure that we implement disclosure rules mandated by Congress in a way that is true to the mandate and, to the extent practicable, allows companies to use operational data and otherwise readily available information to produce the disclosures,” said Chairman Jay Clayton.  “Today’s guidance on pay ratio reflects the feedback the SEC has received and encourages companies to use the flexibility incorporated in our prior rulemaking to reduce costs of compliance.”  


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Mega-Disasters Tests Firms’ Emergency Business Continuity Plans

This hurricane season might be the worst on record, and the structural damage and economic impact wrought by these storms are enough to imperil the business continuity plans of even the most seasoned firms. This is a true test for them. And for business owners fortunate enough to lie a safe distance away, it is important to sympathize—but also to watch and learn.

A little over a year ago, the Securities and Exchange Commission announced a proposed new rule requiring investment advisers registered with the SEC to adopt and implement written business continuity and transition plans.  The purpose was a simple one: to reduce risks of a significant disruption—say, from a natural disaster or a cyber attack against a company’s operations—in order to minimize client and investor harm.  The hurricanes of August and September easily qualify as a perfect test case.

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What the SEC’s Note on Digital Tokens Actually Means for Compliance

Bitcoin has been around since 2009, but the SEC only recently clarified that this kind of digital currency may in fact be a security—which lays it bare to the federal securities law that governs traditional securities. 

The agency’s note is a fairly straightforward compliance heads-up to those investing in initial coin offerings (ICOs), which are used to raise capital, but it comes at a time when the virtual asset sector remains a virtual free-for-all. 

The SEC investor bulletin was issued July 25 in response to concerns about a growing trend to “entice investors” to buy virtual coins with the promise of big returns on what could be risky investments. 

A virtual currency is a digital representation of value that can be digitally traded and functions as a medium of exchange, unit of account, or store of value, according to the SEC—but it “may represent other rights as well.” 

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IPOs and Transactions: September 11 - 15

There were 53 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including First Bancshares Inc. w/ Alston & Bird LLP, Immune Pharmaceuticals Inc. w/ Ellenoff Grossman & Schole LLP, Community Financial Corp.  w/ Hunton & Williams LLP, Community Financial Corp. w/ Kilpatrick Townsend & Stockton LLP, Immune Pharmaceuticals Inc. w/ Sheppard, Mullin, Richter & Hampton LLP, VII Peaks Co-Optivist Income Fund w/ Winston & Strawn LLP, Applied DNA Sciences Inc. w/ Pepper Hamilton LLP, New Ireland Fund Inc. w/ Willkie Farr & Gallagher.

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.

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

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New Study Reveals the Impact of Size and Negotiating Leverage on M&A Deal Terms

By, Richard E. Climan, Esq. - Partner at Hogan Lovells and Paul Koenig - Attorney, Entrepreneur and Co-founder of SRS Acquiom

View full article from Transaction Advisors, here.
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The State of the Unicorn: What will Happen Over the Next 12 Months?

TV_M&A Pulse_Q2 2017_Q1 supplement.jpgThe popularity of unicorn companies has grown over the last several years. In the US alone there are 107 privately owned firms valued at US$1bn or more – more than the rest of the world combined (103). Most of these companies are technology-driven enterprises with a relentless drive to grow, making them an active contributor to M&A activity. Recently, however, valuation issues have plagued the category and greatly reduced the number of exits. With the future of unicorn valuations in limbo, questions remain about how investor sentiment will continue to shift going forward.

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present the newest edition of M&A Pulse newsletter. This newsletter features responses from US-based senior corporate executives who shared their insights on the current and future state of unicorn companies.

Toppan Vintage question: What will happen to the valuations of unicorns in the next 12 months? Leading deal experts weigh in...

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Methods for Dealing with Activist Directors on the Board

By Igor Kirman, Esq.
Partner in the Corporate Department at Wachtell, Lipton, Rosen & Katz

View full article from Transaction Advisors, here.

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IPOs and Transactions: September 4 - 8

There were 34 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including BCB Bancorp Inc. w/ Covington & Burling LLP, SSB Bancorp Inc. w/ Luse Gorman, PC, BCB Bancorp Inc. w/ Windels Marx Lane & Mittendorf, LLP, Double Eagle Acquisition Corp. w/ Allen & Overy LLP, Startengine Crowdfunding Inc. w/ KHLK, LLP, Double Eagle Acquisition Corp. w/ Winston & Strawn LLP, Aytu Bioscience Inc. w/ Wyrick Robbins Yates & Ponton 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.

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

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