There were 51 transactions filed with the SEC last week.
Congratulations to all of our clients and law firms that used our transactions services last week including Northwest Biotherapeutics, Inc. (NASDAQ), CorMedix, Inc. (NYSE) and Aurora Gold Corp. (OTC). We appreciate that they selected to work with us for this important step in their company’s growth and we’re pleased that they found us both accurate and affordable.
| Registrant | Symbol | Form | Exchange | Advisor / Law Firm |
| AMERICAN EXPRESS CO | AXP | S-4 | NYSE | American Express Company |
| AMERICAN EXPRESS CO | AXP | S-4 | NYSE | Cleary Gottlieb Steen & Hamilton LLP |
| AMERICAN REALTY CAPITAL PROPERTIES, INC. | ARCP | S-4 | Nasdaq | Duane Morris LLP |
| AMERICAN REALTY CAPITAL PROPERTIES, INC. | ARCP | S-4 | Nasdaq | Proskauer Rose LLP |
| AMERICAN REALTY CAPITAL PROPERTIES, INC. | ARCP | S-4 | Nasdaq | Weil, Gotshal & Manges LLP |
| APEX 7, INC. | 10-12G | APEX 7 Inc. | ||
| ARAX HOLDINGS CORP | S-1 | David Lubin & Associates, PLLC | ||
| ATHERSYS, INC / NEW | ATHX | S-3 | Nasdaq | Jones Day |
| AURORA GOLD CORP | ARXG | S-1 | OTC | Sierchio & Company, LLP |
| BLUELINX HOLDINGS INC. | BXC | S-1 | NYSE | Troutman Sanders LLP |
| CHEMBIO DIAGNOSTICS, INC. | CEMID | S-3 | Nasdaq | Patton Boggs LLP |
| CONNECTONE BANCORP, INC. | S-1 | Elias, Matz, Tiernan & Herrick L.L.P. | ||
| CONNECTONE BANCORP, INC. | S-1 | Windels Marx Lane & Mittendorf, LLP | ||
| CORMEDIX INC. | CRMD | S-3 | NYSE | Wyrick Robbins Yates & Ponton LLP |
| EXONE CO | S-1 | Morella & Associates | ||
| EXONE CO | S-1 | Nelson Mullins Riley & Scarborough LLP | ||
| HALEX ENERGY CORP. | S-1 | Andrew Grundman Attorney at Law | ||
| HPEV, INC. | WARM | S-1 | OTC | Sichenzia Ross Friedman Ference LLP |
| INERGY MIDSTREAM, L.P. | NRGM | S-3 | NYSE | Vinson & Elkins L.L.P. |
| INTERACTIVE MULTI MEDIA AUCTION CORP | S-1 | Icaza, Gonzalez-Ruiz & Aleman | ||
| INTERACTIVE MULTI MEDIA AUCTION CORP | S-1 | Lynton Spencer | ||
| NEW MOUNTAIN FINANCE HOLDINGS, L.L.C. | N-2 | Sutherland Asbill & Brennan LLP | ||
| NEW RESIDENTIAL INVESTMENT CORP. | 10-12B | New Residential Investment Corp. | ||
| NORTHWEST BIOTHERAPEUTICS INC | NWBO | S-3 | Nasdaq | Sichenzia Ross Friedman Ference LLP |
| ONEOK PARTNERS LP | OKS | S-3 | NYSE | Fried, Frank, Harris, Shriver & Jacobson LLP |
| ONEOK PARTNERS LP | OKS | S-3 | NYSE | GableGotwals |
| ONEOK PARTNERS LP | OKS | S-3 | NYSE | ONEOK Partners GP, L.L.C. |
| PERNIX THERAPEUTICS HOLDINGS, INC. | PTX | S-4 | NYSE | Jackson Walker L.L.P. |
| PERNIX THERAPEUTICS HOLDINGS, INC. | PTX | S-4 | NYSE | Jones, Walker, Waechter, Poitevent, Carrère & Denègre L.L.P. |
| PERNIX THERAPEUTICS HOLDINGS, INC. | PTX | S-4 | NYSE | Latham & Watkins LLP |
| PPL ENERGY SUPPLY LLC | PLS | S-4 | Simpson Thacher & Bartlett LLP | |
| PPL ENERGY SUPPLY LLC | PLS | S-4 | Sullivan & Cromwell LLP | |
| QGOG CONSTELLATION S.A. | F-1 | Milbank, Tweed, Hadley & McCloy LLP | ||
| QGOG CONSTELLATION S.A. | F-1 | White & Case LLP | ||
| SARATOGA RESOURCES INC /TX | SARA | S-4 | NYSE | Adams and Reese LLP |
| SARATOGA RESOURCES INC /TX | SARA | S-4 | NYSE | Michael W. Sanders, Esq. |
| TRADE STREET RESIDENTIAL, INC. | TSRE | S-11 | Nasdaq | Bass, Berry & Sims PLC |
| TRADE STREET RESIDENTIAL, INC. | TSRE | S-11 | Nasdaq | Hunton & Williams LLP |
| UNITED STATES 12 MONTH NATURAL GAS FUND, LP | UNL | S-1 | NYSE | Reed Smith LLP |
| UNITED STATES SHORT OIL FUND, LP | DNO | S-1 | NYSE | Reed Smith LLP |
| WESTERN ASSET OPPORTUNISTIC INCOME FUND INC. | N-2 | Legg Mason & Co., LLC | ||
| WESTERN ASSET OPPORTUNISTIC INCOME FUND INC. | N-2 | Simpson Thacher & Bartlett LLP | ||
| XOOM CORP | S-1 | Gibson, Dunn & Crutcher LLP | ||
| XOOM CORP | S-1 | Goodwin Procter LLP | ||
| XOOM CORP | S-1 | Xoom Corporation | ||
| ZAIS FINANCIAL CORP. | S-11 | Clifford Chance US LLP | ||
| ZAIS FINANCIAL CORP. | S-11 | Skadden, Arps, Slate, Meagher & Flom LLP | ||
| ZOGENIX, INC. | ZGNX | S-3 | Nasdaq | Latham & Watkins LLP |
| ZOGENIX, INC. | ZGNX | S-3 | Nasdaq | Latham & Watkins LLP |
| ZOGENIX, INC. | ZGNX | S-3 | Nasdaq | Zogenix, Inc. |
| ZOGENIX, INC. | ZGNX | S-3 | Nasdaq | Zogenix, Inc. |
Have a great day.
