Insights

IPOs and Transactions: November 26 - 30

There were 23 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Sirius International Insurance Group Ltd w/ Conyers Dill & Pearman Ltd., Sirius International Insurance Group Ltd w/ Sidley Austin LLP, Sirius International Insurance Group Ltd w/ Sirius International Insurance Group, Ltd.

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.

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Impact of Protectionist Measures on Cross-Border Deal Activity

In the realm of deal activity it remains unclear what the impact of increasing protectionist measures has been exactly. Through the first nine months of 2018, global M&A value climbed 22% compared to the same period last year to reach US$2.7 trillion. The increase suggests confidence among buyers. At the same time, cross-border deal value grew 10%, while domestic deal value went up 27%—implying that acquirers may be looking more inward.

To find out how deal practitioners are responding to the changes in global trade, Mergermarket on behalf of Toppan Vintage spoke with six experts for their insights.

Toppan Vintage question: What effect, if any, do you think the current wave of protectionist measures is having on overall cross-border deal activity? Leading industry experts weigh in...

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Accounting Implications Involving Partial and Step Acquisitions During the Past 10 Years

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Dealmaking in China & Protectionism

Storm clouds have gradually moved over the economic landscape, in the form of tariffs. The U.S. has targeted the European Union, Canada and China with policies aimed at counteracting what the president sees as unfair trade practices. The targeted countries have responded with tariffs of their own on U.S. goods— and more import duties are being planned. Ripple effects are being felt throughout the world economy.

To find out how deal practitioners are responding to the changes in global trade, Mergermarket on behalf of Toppan Vintage spoke with six experts for their insights.

Toppan Vintage question: What are the best avenues of cooperation or transactional activity with China at the moment, given the protectionist measures being put in place? Leading industry experts weigh in...

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SEC Cyber Security Enforcement: First Use of "Red Flags Rule"

In February 2018, the SEC voted unanimously to approve a statement and interpretive guidance to assist public companies in preparing disclosures about cybersecurity risks and incidents. Shortly thereafter, the SEC brought charges against Yahoo for failure to report data breaches in 2015-2016 periodic reports, and in recent months, the SEC has continued to signal their increased focus on this critical disclosure issue.

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IPOs and Transactions: November 19 - 23

There were 27 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Twilio Inc w/ Cooley LLP, Pepsico Inc w/ Davis Polk & Wardwell LLP, Monocle Acquisition Corp w/ Ellenoff Grossman & Schole LLP, Twilio Inc w/ Goodwin Procter LLP, Chicken Soup For The Soul Entertainment Inc w/ Graubard Miller, Monocle Acquisition Corp w/ Greenberg Traurig, LLP, Immune Pharmaceuticals Inc w/ Lowenstein Sandler LLP, Pepsico Inc w/ PepsiCo, Inc., Twilio Inc w/ SendGrid, Inc., Twilio Inc w/ Twilio Inc.

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.

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Government Delays Keep Bitcoin ETF Proposals in Play

After rejecting several proposals for the first Bitcoin ETF earlier this year, the Securities and Exchange Commission continues to seek more information on how exchanges can address fraud and manipulation concerns in the underlying Bitcoin markets.

Cboe BZX Exchange filed a rule change proposal on Jan. 5, 2018, with the Securities and Exchange Commission to list and trade shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF issued by the GraniteShares ETP Trust. The commission indicated in February and again in June that it needed more time to consider the proposal.

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SEC closed for Thanksgiving - November 22, 2018



Due to Thanksgiving, the SEC is closed Thursday, November 22, 2018. No filings can be received.

Files submitted after 5:30 pm ET, Wednesday, November 21, 2018 will receive a filing date of Friday, November 23, 2018 and will be posted to the public on November 23, 2018.

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Improve Shareholder Communications with Stylized Proxies

Current shareholder materials must engage, provoke and interact with your shareholders, yet provide your company’s data in a clear, concise way, using plain English. Your shareholder communications advisors must review your corporation’s voting results year-to-year, offer peer group analysis and provide education in best practices related to investor outreach. The goal is simple: to improve voting results and shareholder participation, eliminate unnecessary steps in the process and stay within budget requirements.

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IPOs and Transactions: November 12 - 16

There were 45 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Union Bankshares Corp w/ Access National Corp., Platinum Eagle Acquisition Corp w/ Allen & Overy LLP, Union Bankshares Corp w/ Covington & Burling LLP, Rockwell Medical Inc w/ Gibson Dunn & Crutcher, LLP, Plug Power Inc w/ Goodwin Procter LLP, Netlist Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C., Plug Power Inc w/ Plug Power Inc., Eloxx Pharmaceuticals Inc w/ Proskauer Rose LLP, Apollo Medical Holdings Inc w/ Shartsis Friese LLP, Resonant Inc w/ Stubbs Alderton & Markiles, LLP, Union Bankshares Corp w/ Troutman Sanders LLP, Usa Compression Partners Lp w/ Vinson & Elkins LLP, Usa Compression Partners Lp w/ Vinson & Elkins LLP, Rockwell Medical Inc w/ Wilson Young Costello PLC, Platinum Eagle Acquisition Corp w/ Winston & Strawn 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.

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Shareholder Trends in ESG and the SEC

The SEC recently received a petition to mandate rules for climate change and other Environmental, Social and Governance (ESG) disclosures. The petition reflects a growing trend in shareholder and market expectations for increased transparency of ESG issues, arguing it ultimately affects a company’s bottom line.

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Stylized Proxies & Improving Annual Meeting Results

Annual meetings are a wonderful chance to greet shareholders and drum up excitement, but their most practical use is as a place to hold important votes, allowing shareholders to determine a company’s direction and elect its board. Every leadership team hopes their shareholders will come in droves to fill the meeting space and cast their votes in person and en masse. Certainly we’ve provided some advice as to how companies can attract big crowds to their get-togethers, but sometimes even the most enthusiastic investors just can’t make the trip.

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Keeping today’s filers ahead of tomorrow's SEC disclosure requirements

Keeping Ahead of SEC Filing Requirements

The Securities Exchange Commission is modernizing, and with this we are seeing increasingly complex filing requirements that the Merrill Bridge Product Development team must integrate into the Merrill Bridge platform. To meet that challenge, the team has adopted an agile product development methodology, working in two-week sprints to code, test, and release new features and functionality.  This adaptation has emphasized innovation, velocity and precision into Merrill Bridge product development, with the result being that our clients are benefitting from a continuous release of new features and functionality. 

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SEC’s Upcoming Proxy Roundtable: Discussion Topics & Expectations

The SEC is scheduled to host a long awaited Proxy Roundtable on November 15 to discuss a wide range of topics spanning everything from proxy advisory firms to technology and innovation. Our subject matter experts are anticipating a few expectations for the roundtable:

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IPOs and Transactions: November 5 - 9

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 Willscot Corp w/ Allen & Overy LLP, Enlink Midstream Limited Liability Company w/ Baker Botts L.L.P., Pacwest Bancorp w/ El Dorado Savings Bank, F.S.B., Rimini Street Inc w/ Gibson, Dunn & Crutcher LLP, Rimini Street Inc w/ Gibson, Dunn & Crutcher LLP, Willscot Corp w/ Latham & Watkins LLP, Pacwest Bancorp w/ Manatt, Phelps & Phillips, LLP, Ovascience Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C., Legacy Housing Ltd w/ Olshan Frome Wolosky LLP, Rimini Street Inc w/ Rimini Street, Inc., Rimini Street Inc w/ Rimini Street, Inc., Pacwest Bancorp w/ Sullivan & Cromwell LLP, Antero Midstream Gp Limited Partnership w/ Vinson & Elkins L.L.P., Legacy Housing Ltd w/ Winston & Strawn LLP, Dariohealth Corp 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.

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Video: October 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 October's top law firms.

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SEC closed for Veterans Day - November 12, 2018



Due to the observance of Veterans Day, the SEC is closed Monday, November 12, 2018. No filings can be received.

Files submitted after 5:30 pm ET, Friday, November 9, 2018 will receive a filing date of Tuesday, November 13, 2018 and will be posted to the public on November 13, 2018.

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How Intuitive Technology and Online Tools Have Advanced Merrill Bridge Service Delivery

Anita Roberts is Vice President of client services and consulting for Merrill Bridge and XBRL. She leads a team of technical accountants, SEC experts and service project managers who are all committed to ensuring that our clients receive best in class service. Anita has been with Merrill for almost 20 years and has spent most of her career leading service delivery teams in Capital Markets and adjacent industries.

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SEC Disclosure Update and Simplification: Final Rule in Effect

As of Monday November 5, 2018, filers will be able to adopt amendments that the SEC approved in August to change certain disclosure requirements that have become duplicative, overlapping, or outdated considering other SEC disclosure requirements, GAAP, or changes in the information environment.

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IPOs and Transactions: October 29 - November 2

There were 39 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Orthopediatrics Corp w/ Bingham Greenebaum Doll LLP, First Keystone Corp w/ Bybel Rutledge LLP, Guardion Health Sciences Inc w/ Carmel, Milazzo & DiChiara LLP, Agile Therapeutics Inc w/ Morgan, Lewis & Bockius LLP, Orthopediatrics Corp w/ OrthoPediatrics Corp., Bionik Laboratories Corp w/ Ruskin Moscou Faltischek, P.C., Bionik Laboratories Corp w/ Schiff Hardin LLP, Guardion Health Sciences Inc w/ Sheppard, Mullin, Richter & Hampton LLP, Marker Therapeutics Inc w/ Shumaker, Loop & Kendrick, LLP, Equitrans Midstream Corp w/ Wachtell, Lipton, Rosen & Katz, Equitrans Midstream Corp w/ Wachtell, Lipton, Rosen & Katz.

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.

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