Last week’s IPOs and Transactions

There were 85 transactions filed with the SEC last week.

Congratulations to all of our clients and law firms that used our transactions services last week including Medley Capital Corp (NYSE) w/ Sutherland Asbill & Brennan LLP, Emerald Oil. Inc. (NYSE) w/ Mayer Brown LLP and  Multiband Corp. (NASDAQ) w/ Winthrop & Weinstine, P.A. 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.

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Registrant Symbol Form Exchange Advisor / Law firm
8X8 INC EGHT S-3 Nasdaq Bingham McCutchen LLP
ACE MARKETING & PROMOTIONS INC AMKT S-1 OTC Lucosky Brookman LLP
ACE MARKETING & PROMOTIONS INC AMKT S-1 OTC Morse & Morse, PLLC
AMERICAN BAR ASSOCIATION MEMBERS / NORTHERN TRUST COLLECTIVE TR S-1 Sidley Austin LLP
AMERICAN RESIDENTIAL PROPERTIES, INC. S-11 Hunton & Williams LLP
AMERICAN RESIDENTIAL PROPERTIES, INC. S-11 Sidley Austin LLP
ANTERO RESOURCES APPALACHIAN CORP S-4 Vinson & Elkins L.L.P.
ANWORTH MORTGAGE ASSET CORP ANH S-3 NYSE Greenberg Traurig, LLP
ARATANA THERAPEUTICS, INC. S-1 Dechert LLP
ARATANA THERAPEUTICS, INC. S-1 Latham & Watkins LLP
ARES MULTI-STRATEGY CREDIT FUND, INC. N-2 Proskauer Rose LLP
BIOSCRIP, INC. BIOS S-3 Nasdaq Polsinelli Shughart PC
BLACKHAWK NETWORK HOLDINGS, INC S-1 Latham & Watkins LLP
BLACKHAWK NETWORK HOLDINGS, INC S-1 Sullivan & Cromwell LLP
CALIFORNIA HOTEL FINANCE CORP S-4 Morrison & Foerster LLP
CDW CORP S-1 Kirkland & Ellis LLP
CDW CORP S-1 Winston & Strawn LLP
CHEFS’ WAREHOUSE, INC. CHEF S-4 Nasdaq Bass, Berry & Sims PLC
CHEFS’ WAREHOUSE, INC. CHEF S-3 Nasdaq Bass, Berry & Sims PLC
CHEMOCENTRYX, INC. CCXI S-3 Nasdaq Latham & Watkins LLP
CITIZENS FINANCIAL SERVICES INC CZFS S-3 OTC Citizens Financial Services, Inc.
CITIZENS FINANCIAL SERVICES INC CZFS S-3 OTC Kilpatrick Townsend & Stockton LLP
CLEAN ENERGY FUELS CORP. CLNE S-3 Nasdaq Clean Energy Fuels Corp.
CLEAN ENERGY FUELS CORP. CLNE S-3 Nasdaq Morrison & Foerster LLP
COLE OFFICE & INDUSTRIAL REIT (CCIT II), INC. S-11 Morris, Manning & Martin, LLP
ECHOSPHERE LLC S-4 Sullivan & Cromwell LLP
EMERALD OIL, INC. EOX S-3 NYSE Mayer Brown LLP
ENDOCYTE INC ECYT S-3 Nasdaq Faegre Baker Daniels LLP
EPL OIL & GAS, INC. EPL S-4 NYSE Sidley Austin LLP
FEDERAL MOGUL CORP FDML S-3 Nasdaq Winston & Strawn LLP
FIRST FINANCIAL BANKSHARES INC FFIN S-4 Nasdaq Hunton & Williams LLP
GENMARK DIAGNOSTICS, INC. GNMK S-3 Nasdaq DLA Piper LLP
GLOBAL REAL ESTATE HOLDINGS, INC. S-11 Silver Shield Services, Inc.
GW PHARMACEUTICALS PLC F-1 GW Pharmaceuticals PLC
GW PHARMACEUTICALS PLC F-1 Mayer Brown LLP
GW PHARMACEUTICALS PLC F-1 Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
HERCULES TECHNOLOGY GROWTH CAPITAL INC HTGC N-2 NYSE Sutherland Asbill & Brennan LLP
INTERCONTINENTAL EXCHANGE GROUP, INC. S-4 Sullivan & Cromwell LLP
INTERCONTINENTAL EXCHANGE GROUP, INC. S-4 Wachtell, Lipton, Rosen & Katz
INVESTORS BANCORP INC ISBC S-4 Nasdaq Luse Gorman Pomerenk & Schick, P.C.
INVESTORS BANCORP INC ISBC S-4 Nasdaq Spidi & Fisch, PC
ISLE OF CAPRI CASINOS INC ISLE S-4 Nasdaq Mayer Brown LLP
KVH INDUSTRIES INC \DE\ KVHI 10-12B Nasdaq KVH Industries, Inc.
LADENBURG THALMANN FINANCIAL SERVICES INC LTS S-3 NYSE Greenberg Traurig, P.A.
LIN TELEVISION CORP S-4 Paul Hastings LLP
LINN ENERGY, LLC LINE S-4 Nasdaq Baker Botts L.L.P.
LINN ENERGY, LLC LINE S-4 Nasdaq Berry Petroleum Company
LINN ENERGY, LLC LINE S-4 Nasdaq Latham & Watkins LLP
LINN ENERGY, LLC LINE S-4 Nasdaq Wachtell, Lipton, Rosen & Katz
LIVEDEAL INC LIVE S-3 Nasdaq Loeb & Loeb LLP
MEDLEY CAPITAL CORP MCC N-2 NYSE Sutherland Asbill & Brennan LLP
MERITAGE HOMES CORP MTH S-4 NYSE Snell & Wilmer L.L.P.
MULTIBAND CORP MBND S-1 Nasdaq Multiband Corporation
MULTIBAND CORP MBND S-1 Nasdaq Winthrop & Weinstine, P.A.
NEXCORE COMPANIES LLC S-4 Kutak Rock LLP
NRG ENERGY, INC. NRG S-4 OTC Kirkland & Ellis LLP
NUVEEN CALIFORNIA PERFORMANCE PLUS MUNICIPAL FUND INC NCP N-2 NYSE Bingham McCutchen LLP
NUVEEN VIRGINIA PREMIUM INCOME MUNICIPAL FUND NPVPRE N-2 NYSE Bingham McCutchen LLP
ORAMED PHARMACEUTICALS INC. ORMPD S-3 Nasdaq Zysman Aharoni Gayer and Sullivan & Worcester LLP
OXYGEN BIOTHERAPEUTICS, INC. OXBT S-1 Nasdaq Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P.
PACIFIC BIOSCIENCES OF CALIFORNIA, INC. PACB S-3 Nasdaq Wilson Sonsini Goodrich & Rosati, P.C.
PENSKE AUTOMOTIVE GROUP, INC. PAG S-4 NYSE Penske Automotive Group, Inc.
PGT, INC. PGTI S-3 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
PROTECTIVE LIFE INSURANCE CO S-3 Sutherland Asbill & Brennan LLP
RESORT SAVERS, INC. S-1 Parsons/ Burnett/ Bjordahl/ Hume, LLP
RESOURCE CAPITAL CORP. RSOPRB S-3 NYSE Ledgewood Law
RESOURCE CAPITAL CORP. RSOPRB S-3 NYSE Ledgewood Law
SALIENT ALTERNATIVE STRATEGIES I FUND N-2 K&L Gates LLP
SATORI BEVERAGES INTERNATIONAL, LTD. 10-12G Satori Beverages International, Ltd
SMITH & WESSON HOLDING CORP SWHC S-3 Nasdaq Greenberg Traurig, LLP
SPHERIX INC SPEX S-3 Nasdaq Baxter, Baker, Sidle, Conn & Jones, P.A.
SPHERIX INC SPEX S-3 Nasdaq Sichenzia Ross Friedman Ference LLP
TEUCRIUM COMMODITY TRUST CORN S-1 NYSE Reed Smith LLP
TEUCRIUM COMMODITY TRUST CORN S-1 NYSE Reed Smith LLP
TEUCRIUM COMMODITY TRUST CORN S-1 NYSE Reed Smith LLP
UNITED COMMUNITY FINANCIAL CORP UCFC S-3 Nasdaq Vorys, Sater, Seymour and Pease LLP
UNITED STATES COMMODITY INDEX FUNDS TRUST USCI S-3 NYSE Reed Smith LLP
UNITED STATES COMMODITY INDEX FUNDS TRUST USCI S-3 NYSE Reed Smith LLP
UNITED STATES COMMODITY INDEX FUNDS TRUST USCI S-3 NYSE Reed Smith LLP
UNIVERSAL BUSINESS PAYMENT SOLUTIONS ACQUISITION CORP UBPS S-3 Nasdaq Dechert LLP
UNIVERSAL BUSINESS PAYMENT SOLUTIONS ACQUISITION CORP UBPS S-3 Nasdaq Universal Business Payment Solutions Acquisition Corporation
VOXX INTERNATIONAL CORP VOXX S-3 Nasdaq Duane Morris LLP
VOXX INTERNATIONAL CORP VOXX S-4 Nasdaq Duane Morris LLP
WP PRISM INC. S-1 Cleary Gottlieb Steen & Hamilton LLP
WP PRISM INC. S-1 Cravath, Swaine & Moore LLP

Have a great day.

.

One response to “Last week’s IPOs and Transactions

  1. Pingback: March’s recap: Investor relations and SEC compliance posts | Building Shareholder Confidence

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