Category Archives: IPO week in review

IPOs and Transactions: February 1 – 5 / plus 2016 SEC Reporting Rules guidebooks

There were 32 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Moleculin Biotech Inc. w DLA Piper LLP and Schiff Hardin LLP, Vuzix Corp w/ Sichenzia Ross Friedman Ference LLP and Reg A+ registration Beautykind Holdings Inc. w/ Szaferman, Lakind, Blumstein & Blader, PC.

We appreciate that they selected to work with us and we’re pleased that they found us to be the intelligent value.

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Law firm / advisor Registrant Symbol Form Industry
ALJ Regional Holdings, Inc. ALJ REGIONAL HOLDINGS INC ~ 10-12B ~
Anderson Hayes, P.C. INNERSCOPE ADVERTISING AGENCY, INC. ~ S-1 ~
Cadwalader, Wickersham & Taft LLP ASHFORD HOSPITALITY PRIME, INC. AHP S-3 REIT
Clifford Chance US LLP NORTHSTAR REAL ESTATE CAPITAL INCOME FUND-T ~ N-2 ~
Clifford Chance US LLP NORTHSTAR REAL ESTATE CAPITAL INCOME MASTER FUND ~ N-2 ~
Cooley LLP TRACON PHARMACEUTICALS, INC. TCON S-3 Biotech.
Cooley LLP ENPHASE ENERGY, INC. ENPH S-3 Semi-conductor
Dechert LLP APOLLO MULTI SECTOR INCOME FUND ~ N-2 ~
Dechert LLP APOLLO MULTI SECTOR INCOME FUND A ~ N-2 ~
Dechert LLP APOLLO MULTI SECTOR INCOME FUND B ~ N-2 ~
Dechert LLP EGALET CORP EGLT S-3 Biotech.
DLA Piper LLP MOLECULIN BIOTECH, INC. ~ S-1 ~
Dorsey & Whitney LLP CORVEL CORP CRVL S-3 Insurance
Greenberg Traurig. P.A. ST JOE CO JOE S-3 Real Estate Dev.
Heartland Payment Systems, Inc. GLOBAL PAYMENTS INC GPN S-4 Bus. Services
Highlands REIT, Inc. HIGHLANDS REIT, INC. ~ 10-12G ~
Keith N. Hamilton Attorney at Law, PLLC ALL SOFT GELS INC ~ S-1 ~
Kruse Landa Maycock & Ricks, LLC CANNASYS INC MJTK S-1 ~
Lowenstein Sandler LLP CYTODYN INC CYDY S-1 ~
Mayer Brown LLP BAXALTA INC BXLT S-1 Biotech.
O’Neal Law Office HIP CUISINE INC. ~ S-1 ~
Schiff Hardin LLP MOLECULIN BIOTECH, INC. ~ S-1 ~
Securities Compliance Group, Ltd. LENG UNIVERSAL, INC. ~ S-1 ~
Shearman & Sterling LLP ALJ REGIONAL HOLDINGS INC ~ 10-12B ~
Sichenzia Ross Friedman Ference LLP VUZIX CORP VUZI S-3 Elec. Equipment
Sidley Austin LLP BAXALTA INC BXLT S-1 Biotech.
Simpson Thacher & Bartlett LLP GLOBAL PAYMENTS INC GPN S-4 Bus. Services
Skadden, Arps, Slate, Meagher & Flom LLP COLONY GLOBAL ACQUISITION CORP. ~ S-1 ~
Skadden, Arps, Slate, Meagher & Flom LLP BAXALTA INC BXLT S-1 Biotech.
Sonfield & Sonfield ARISTOCRAT GROUP CORP. ASCC S-1 ~
Sutherland Asbill & Brennan LLP UNITED STATES OIL FUND, LP USO S-3 Closed-End Fund
Szaferman, Lakind, Blumstein & Blader, PC NUTRITIONAL HIGH INTERNATIONAL INC ~ F-1 ~
Szaferman, Lakind, Blumstein & Blader, PC BEAUTYKIND HOLDINGS, INC. ~ 1-A ~
TRACON Pharmaceuticals, Inc. TRACON PHARMACEUTICALS, INC. TCON S-3 Biotech.
Vinson & Elkins L.L.P. RSP PERMIAN, INC. RSPP S-4 Oil / Gas Drilling & Explor.
Wachtell, Lipton, Rosen & Katz GLOBAL PAYMENTS INC GPN S-4 Bus. Services
Weil, Gotshal & Manges LLP COLONY GLOBAL ACQUISITION CORP. ~ S-1 ~
Weintraub Tobin Chediak Coleman Grodin, Law Corp. ADAMIS PHARMACEUTICALS CORP ADMP S-3 Drug Delivery
Wilson Sonsini Goodrich & Rosati, P.C. AVINGER INC AVGR S-3 Medical App. / Equip.
Winston & Strawn LLP VERSUS CAPITAL MULTI-MANAGER REAL ESTATE INCOME FUND LLC VCMIX N-2 ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.

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IPOs and Transactions: January 25 – 29 / plus 2016 SEC Reporting Rules guidebooks

There were 37 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Transgenomic, Inc. w/ Paul Hastings LLP.

We appreciate that they selected to work with us and we’re pleased that they found us to be the intelligent value.

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Law firm / advisor Registrant Symbol Form Industry
360 Sports, Inc. 360 SPORTS, INC. ~ 1-A ~
Affinion Group Holdings, Inc. AFFINION GROUP HOLDINGS, INC. ~ 10-12G ~
Bowles Rice LLP UNITED BANKSHARES INC/WV UBSI S-4 Regional Banks
Bryan Cave LLP COASTAL BANKING CO INC CBCO 1-A ~
Chicago Housing REIT, Inc. CHICAGO HOUSING REIT, INC. ~ 1-A ~
Clark Wilson LLP ALKALINE WATER CO INC WTERD S-1 ~
Clyde Snow & Sessions, PC PREMIER BIOMEDICAL INC BIEI S-1 ~
Cole Capital COLE OFFICE & INDUSTRIAL REIT (CCIT III), INC. ~ S-11 ~
Covington & Burling LLP UNITED BANKSHARES INC/WV UBSI S-4 Regional Banks
Davis Polk & Wardwell LLP L BRANDS, INC. LB S-4 Apparel Stores
Dorsey & Whitney LLP CHS INC CHSCP S-1 ~
Dorsey & Whitney LLP TACTILE SYSTEMS TECHNOLOGY INC ~ S-1 ~
Drinker Biddle & Reath LLP AEOLUS PHARMACEUTICALS, INC. AOLS S-1 ~
Faegre Baker Daniels LLP TACTILE SYSTEMS TECHNOLOGY INC ~ S-1 ~
Freshfields Bruckhaus Deringer US LLP SILVER RUN ACQUISITION CORP ~ S-1 ~
Gibson, Dunn & Crutcher LLP SILICON GRAPHICS INTERNATIONAL CORP SGI S-3 Diversified Comp. Sys.
Goodwin Procter LLP NEOS THERAPEUTICS, INC. NEOS S-1 Drugs
Jolie Kahn, Esq. AXION POWER INTERNATIONAL, INC. AXPW S-1 Industrial Elec. Equip.
JSBarkats, PLLC POMM INC. ~ 1-A ~
K&L Gates LLP METLIFE INSURANCE CO USA ~ S-3 ~
K&L Gates LLP XG SCIENCES INC ~ S-1 ~
Kirkland & Ellis LLP INFINIUM SOFTWARE INC ~ S-4 ~
Kirkland & Ellis LLP EXELON CORP EXC S-4 Diversified Utilities
Law Offices of Aaron A. Grunfeld & Associates SECOND SIGHT MEDICAL PRODUCTS INC EYES S-1 Med. App. & Equip.
Law Offices of Scott D. Marchant, Esq. US EXPORT, INC. ~ S-1 ~
Legal & Compliance, LLC IEG HOLDINGS CORP IEGH S-1 ~
Maynard, Cooper & Gale, P.C. HEALTHSOUTH CORP HLS S-4 Spec. Health
McGuireWoods LLP CLEVELAND BIOLABS INC CBLI S-3 Biotech.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. NEOS THERAPEUTICS, INC. NEOS S-1 Drugs
Morris, Manning & Martin LLP COLE OFFICE & INDUSTRIAL REIT (CCIT III), INC. ~ S-11 ~
Parr Brown Gee & Loveless ULURU INC. ULUR S-1 ~
Paul Hastings LLP TRANSGENOMIC INC TBIO S-3 ~
Plush Corporation PLUSH CORP ~ S-1 ~
Richardson & Associates HYGEN INDUSTRIES, INC. ~ 1-A ~
Sichenzia Ross Friedman Ference LLP MABVAX THERAPEUTICS HOLDINGS, INC. MBVX S-1 ~
Sichenzia Ross Friedman Ference LLP SUSGLOBAL ENERGY CORP. ~ S-4 ~
Sidley Austin LLP CARE CAPITAL PROPERTIES, INC. CCP S-11 REIT
Spencer Fane LLP PARNELL PHARMACEUTICALS HOLDINGS LTD PARN F-1 Drugs
Stepp Law Corp. ROYAL COUNTRY CLUB & RECREATION HOLDINGS, INC. ~ S-1 ~
Trowbridge Taylor Sidoti LLP UNITED GROUP FUND, INC ~ 1-A ~
V Financial Group, LLC HEMP NATURALS, INC. ~ 1-A ~
Wachtell, Lipton, Rosen & Katz MOHEGAN TRIBAL GAMING AUTHORITY ~ S-4 ~
Weil, Gotshal & Manges LLP SILVER RUN ACQUISITION CORP ~ S-1 ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.Click here and opt-in to receive this weekly summary via email.Click here to review the week’s underwriters.

IPOs and Transactions: January 18 – 22 / plus 2016 SEC Reporting Rules guidebooks

There were 27 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including KLR Energy Acquisition Corp. w/ Ellenoff Grossman & Schole LLP and Graubard Miller and VNUE Inc. w/ Matheau J. W. Stout, Esq.

We appreciate that they selected to work with us and we’re pleased that they found us to be the intelligent value.

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Law firm / advisor Registrant Symbol Form Industry
360 Sports, Inc. 360 SPORTS, INC. ~ 1-A ~
Akerman LLP CARROLS CORP ~ S-3 ~
Akin Gump Strauss Hauer & Feld LLP WESTERN REFINING, INC. WNR S-4 Oil/Gas Refining
Amy M. Trombly, Esq. PRECISION OPTICS CORPORATION, INC. PEYE S-1 ~
Barack Ferrazzano Kirschbaum & Nagelberg LLP FIRST BUSEY CORP /NV/ BUSE S-4 Regional Banks
Covington & Burling LLP WSFS FINANCIAL CORP WSFS S-4 Regional Banks
Dorsey & Whitney LLP GLOBAL WATER RESOURCES, INC. ~ S-1 ~
Ellenoff Grossman & Schole LLP KLR ENERGY ACQUISITION CORP. ~ S-1 ~
Fenwick & West LLP BIOPHARMX CORP BPMX S-3 Biotech
Gentry Locke PARKWAY ACQUISITION CORP. ~ S-4 ~
Gracin & Marlow, LLP HEAT BIOLOGICS, INC. HTBX S-1 Biotech
Graubard Miller KLR ENERGY ACQUISITION CORP. ~ S-1 ~
Hogan Lovells US LLP URANIUM RESOURCES INC /DE/ URRE S-3 Metals & Minerals
Husch Blackwell LLP CORENERGY INFRASTRUCTURE TRUST, INC. CORR S-3 REIT
Katten Muchin Rosenman LLP META FINANCIAL GROUP INC CASH S-3 Savings & Loans
Kilpatrick Townsend & Stockton LLP FIRST BUSEY CORP /NV/ BUSE S-4 Regional Banks
Law Office of Andrew Coldicutt AXETURE CORP ~ S-1 ~
Law Offices of Joseph L. Pittera, Esq. PC MOBILE MEDIA CORP. ~ S-1 ~
Lowenstein Sandler LLP HEAT BIOLOGICS, INC. HTBX S-1 Biotech
Maslon LLP SKYLINE MEDICAL INC. SKLN S-4 Medical Inst. & Supplies
Matheau J. W. Stout, Esq. VNUE, INC. VNUE S-1 ~
Morris, Manning & Martin, LLP NEXPOINT REAL ESTATE STRATEGIES FUND ~ N-2 ~
Nevada Agency and Transfer Company LIBERTY STAR URANIUM & METALS CORP. LBSR S-1 ~
Olshan Frome Wolosky LLP SKYLINE MEDICAL INC. SKLN S-4 Medical Inst. & Supplies
Pepper Hamilton LLP FIBROCELL SCIENCE, INC. FCSC S-3 Drugs
Procopio, Cory, Hargreaves & Savitch, LLP OCEAN THERMAL ENERGY CORP ~ 10-12G ~
SD Mitchell & Associates, PLC EVENTURE INTERACTIVE, INC. EVTI S-1 Internet
Silver, Freedman, Taff & Tiernan LLP WSFS FINANCIAL CORP WSFS S-4 Regional Banks
Snell & Wilmer L.L.P. GLOBAL WATER RESOURCES, INC. ~ S-1 ~
Stroock & Stroock & Lavan LLP UMH PROPERTIES, INC. UMH S-3 REIT
Szaferman, Lakind, Blumstein & Blader, PC LEGACY VENTURES INTERNATIONAL INC. LGYV S-1 ~
Vinson & Elkins L.L.P. RICE MIDSTREAM PARTNERS LP RMP S-3 Oil/Gas Pipelines
Vinson & Elkins L.L.P. WESTERN REFINING, INC. WNR S-4 Oil/Gas Refining
Weil, Gotshal & Manges LLP CLOYES GEAR & PRODUCTS INC ~ S-3 ~
Williams Mullen PARKWAY ACQUISITION CORP. ~ S-4 ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.

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Click here to review the week’s underwriters.

IPOs and Transactions: January 11 – 15 / plus 2016 EDGAR deadline calendar

There were 31 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Labstyle Innovations Corp. w/ Sichenzia Ross Friedman Ference LLP and Zysman, Aharoni, Gayer and Sullivan & Worcester LLP and BlueRock Residential Growth REIT Inc. w/ Kaplan Voekler Cunningham & Frank, PLC.

We appreciate that they selected to work with us and we’re pleased that they found us to be the intelligent value.

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Law firm / advisor Registrant Symbol Form Type Industry
Andrew I. Telsey, P.C. ILLUMINATION AMERICA, INC. ~ S-1 ~
Baker, Donelson, Bearman, Caldwell & Berkowitz, PC MRI INTERVENTIONS, INC. MRIC S-1 Medical App. & Euip.
Barack Ferrazzano Kirschbaum & Nagelberg LLP COUNTY BANCORP, INC. ICBK S-4 Savings & Loans
Barnett & Linn ZONZIA MEDIA, INC. ZONX S-1 ~
Bass, Berry & Sims PLC GLADSTONE COMMERCIAL CORP GOOD S-3 REIT
Boardman & Clark LLP COUNTY BANCORP, INC. ICBK S-4 Savings & Loans
Cooley LLP AVEXIS, INC. ~ S-1 ~
Cooley LLP BELLICUM PHARMACEUTICALS, INC BLCM S-3 Biotech.
Cooley LLP ONCOBIOLOGICS, INC. ~ S-1 ~
Cooley LLP SENSEONICS HOLDINGS, INC. SENH S-1 ~
Covington & Burling, LLP SENSEONICS HOLDINGS, INC. SENH S-1 ~
David Lubin & Associates, PLLC COOL TECHNOLOGIES, INC. WARM S-1 ~
Davis Graham & Stubbs LLP GLOWPOINT, INC. GLOW S-3 Diversified Comm. Services
Eaton Vance Floating-Rate Income Trust EATON VANCE FLOATING-RATE INCOME TRUST ~ N-2 Closed-End Fund
Foley & Lardner LLP CURRENCYSHARES BRITISH POUND STERLING TRUST FXB S-1 Closed-End Fund
Goodwin Procter LLP HORTONWORKS, INC. HDP S-3 Tech/Sys Software
Goodwin Procter LLP ONCOBIOLOGICS, INC. ~ S-1 ~
Graubard Miller PARKERVISION INC PRKR S-3 Semiconductor
Greenberg Traurig, LLP NEWELL RUBBERMAID INC NWL S-4 Housewares & Accessories
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP WAYBETTER, INC. ~ 1-A ~
Hortonworks, Inc. HORTONWORKS, INC. HDP S-3 Tech/Sys Software
Jones Day NEWELL RUBBERMAID INC NWL S-4 Housewares & Accessories
Kaplan Voekler Cunningham & Frank, PLC BLUEROCK RESIDENTIAL GROWTH REIT, INC. BRG S-3 ~
Law Offices of Michael H. Hoffman, P.A. RELIANT SERVICE INC ~ S-1 ~
Milbank, Tweed, Hadley & McCloy LLP SCIOTO DOWNS INC ~ S-4 ~
Nixon Peabody LLP CORNING NATURAL GAS HOLDING CORP CNIG S-1 ~
Paul, Weiss, Rifkind, Wharton & Garrison LLP HRG GROUP, INC. HRG S-4 Conglomerates
Paul, Weiss, Rifkind, Wharton & Garrison LLP SPECTRUM BRANDS, INC. ~ S-1 ~
Robinson Brog Leinwand Greene Genovese & Gluck P.C. NXT-ID, INC. NXTD S-3 Security & Protection
Ropes & Gray LLP AVEXIS, INC. ~ S-1 ~
Sichenzia Ross Friedman Ference LLP LABSTYLE INNOVATIONS CORP. DRIO S-1 ~
Silver, Freedman, Taff & Tiernan LLP MB FINANCIAL INC /MD MBFI S-4 Regional Banks
Simpson Thacher & Bartlett LLP PATRIOT NATIONAL, INC. PN S-1 Insurance Brokers
Squire Patton Boggs (US) LLP MVB FINANCIAL CORP MVBF S-3 ~
Sullivan & Cromwell LLP HORTONWORKS, INC. HDP S-3 Tech/Sys Software
Thompson, Welch, Soroko & Gilbert LLP BIOTIME INC BTX S-3 Biotech.
V Financial Group, LLC BOSY HOLDINGS CORP. ~ S-1 ~
Vorys, Sater, Seymour and Pease LLP M I HOMES INC MHO S-4 Residential Construction
Wachtell, Lipton, Rosen & Katz MB FINANCIAL INC /MD MBFI S-4 Regional Banks
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP LABSTYLE INNOVATIONS CORP. DRIO S-1 ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.

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

Click here to review the week’s underwriters.

IPOs and Transactions: January 4 – 8 / plus 2016 EDGAR deadline calendar

There were 52 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Net Element Inc. w/ Snell & Wilmer LLP, Genspera Inc. w/ Silvestre Law Group, PC, Nuerometrix Inc. w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, PC and Manhattan Bridge Capital Inc, w/ Morse, Zelnick, Rose & Lander, LLP and Blank Rome, LLP.

We appreciate that they selected to work with us and we’re pleased that they found us to be the intelligent value.

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Law Firm / advisor Registrant Symbol Form Industry
Baker Botts L.L.P. SHELL MIDSTREAM PARTNERS, L.P. SHLX S-3 Oil/Gas Pipelines
Blank Rome, LLP MANHATTAN BRIDGE CAPITAL, INC LOAN S-11 Credit Services
Bryan Cave LLP JAMES RIVER GROUP HOLDINGS, LTD. JRVR S-3 Insurance
C1 Financial, Inc. BANK OF THE OZARKS INC OZRK S-4 Regional Banks
Cassidy & Associates, Attorneys at Law BURNEY HILL ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law CABOT HILL ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law EVENT HILL ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law FRANKLIN HILL ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law GRANT HILL ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law JACKSON HILL ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law LINCOLN HILL ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law PERRY HILL ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law SCOTT HILL ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law SHERMAN HILL ACQUISITION CORP ~ 10-12G ~
CEN Biotech, Inc. CEN BIOTECH INC ~ 10-12G ~
Cleary Gottlieb Steen & Hamilton LLP GRUPO SUPERVIELLE S.A. ~ F-1 ~
Cleary Gottlieb Steen & Hamilton LLP WELLS FARGO
REAL ESTATE
INVESTMENT CORP.
WFEPRA S-3 ~
Cooley LLP AUDENTES THERAPEUTICS, INC. ~ S-1 ~
Cooley LLP BAVARIAN NORDIC A/S / ADR ~ F-1 ~
Cooley LLP CLEARSIDE BIOMEDICAL, INC. ~ S-1 ~
Cooley LLP SYNDAX PHARMACEUTICALS INC ~ S-1 ~
Cooley LLP TABULA RASA HEALTHCARE, INC. ~ S-1 ~
Darian B. Andersen, General Counsel, PC FORWARD PROFIT INVESTING LLC ~ S-11 ~
Davis Polk & Wardwell LLP CORVUS PHARMACEUTICALS, INC. ~ S-1 ~
Davis Polk & Wardwell LLP EDITAS MEDICINE, INC. ~ S-1 ~
Davis Polk & Wardwell LLP GRUPO SUPERVIELLE S.A. ~ F-1 ~
Davis Polk & Wardwell LLP BANK OF THE OZARKS INC OZRK S-4 Regional Banks
DLA Piper LLP CONNECTURE INC CNXR S-3 Health Care
Dorsey & Whitney LLP BIOLIFE SOLUTIONS INC BLFS S-3 Med Appliances
Eilers Law Group, P.A. TRUPAL MEDIA, INC. ~ S-1 ~
Faegre Baker Daniels LLP ASCENT SOLAR TECHNOLOGIES, INC. ASTI S-1 Semi- conductor
Fenwick & West LLP AUDENTES THERAPEUTICS, INC. ~ S-1 ~
Frank J. Hariton, Esq. SAUER ENERGY, INC. SENY S-1 ~
Geraci Law Firm CF FUND II, LLC ~ 1-A ~
Goodwin Procter LLP REATA PHARMACEUTICALS INC ~ S-1 ~
Goodwin Procter LLP AGENUS INC AGEN S-3 Biotech
Hamilton & Associates Law Group, P.A. POSTADS, INC. ~ S-1 ~
Heskett and Heskett BORROWMONEY
.COM, INC.
~ S-1 ~
Hogan Lovells US LLP SYNDAX PHARMACEUTICALS INC ~ S-1 ~
Hunt Law Corp. SPRING BANK PHARMACEUTICALS, INC. ~ S-1 ~
Jenner & Block LLP STAFFING 360 SOLUTIONS, INC. STAF S-3 Staffing & Outsourcing
John D. Thomas, P.C. MUSIC OF YOUR LIFE INC MYLI S-1 ~
Jones & Keller, P.C. MIDWEST HOLDING INC. ~ S-4 ~
Jones Day TIMKENSTEEL CORP TMST S-3 Steel & Iron
Kirkland & Ellis LLP OTG EXP, INC. ~ S-1 ~
Kutak Rock LLP BANK OF THE OZARKS INC OZRK S-4 Regional Banks
Latham & Watkins LLP CLEARSIDE BIOMEDICAL, INC. ~ S-1 ~
Latham & Watkins LLP CORVUS PHARMACEUTICALS, INC. ~ S-1 ~
Latham & Watkins LLP SPRING BANK PHARMACEUTICALS, INC. ~ S-1 ~
Matheau J. W. Stout, Esq. NOVA SMART SOLUTIONS INC ~ S-1 ~
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. BAVARIAN NORDIC A/S / ADR ~ F-1 ~
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. VISTERRA, INC. ~ S-1 ~
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. JAGUAR ANIMAL HEALTH, INC. JAGX S-1 Biotech
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. NEUROMETRIX, INC. NURO S-3 Med. Instruments
Morgan, Lewis & Bockius LLP TABULA RASA HEALTHCARE, INC. ~ S-1 ~
Morse, Zelnick, Rose & Lander, LLP MANHATTAN BRIDGE CAPITAL, INC LOAN S-11 Credit Services
O’Melveny & Myers LLP CARETRUST REIT, INC. CTRE S-3 REIT
Reed Smith LLP JAGUAR ANIMAL HEALTH, INC. JAGX S-1 Biotech
Robinson & Cole LLP ARGAN INC AGX S-3 Heavy Construction
San Carlos Resort, LLC SAN CARLOS RESORT, LLC ~ 1-A ~
Save-A-Lot, Inc. SAVE-A-LOT, INC. ~ 10-12B ~
Shearman & Sterling LLP OTG EXP, INC. ~ S-1 ~
Silvestre Law Group, P.C. GENSPERA INC GNSZ S-1 ~
Snell & Wilmer L.L.P. NET ELEMENT, INC. NETE S-1 Internet
Sullivan & Cromwell LLP WELLS FARGO REAL ESTATE INVESTMENT CORP. WFEPRA S-3 ~
Tabula Rasa HealthCare, Inc. TABULA RASA HEALTHCARE, INC. ~ S-1 ~
Vinson & Elkins LLP REATA PHARMACEUTICALS INC ~ S-1 ~
Virtuix Holdings Inc. VIRTUIX HOLDINGS INC. ~ 1-A ~
Wilmer Cutler Pickering Hale and Dorr LLP EDITAS MEDICINE, INC. ~ S-1 ~
Wilmer Cutler Pickering Hale and Dorr LLP SPRING BANK PHARMACEUTICALS, INC. ~ S-1 ~
Wilmer Cutler Pickering Hale and Dorr LLP VISTERRA, INC. ~ S-1 ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.

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

Click here to review the week’s underwriters.

Thank you, David.

db

IPOs and Transactions: December 28 – 31/ plus 2016 EDGAR deadline calendar

There were 28 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Assembly Biosciences Inc. w/ Goodwin Procter LLP, Clearsign Combustion Corp. w/ Mitchell Silberberg & Knupp LLP and XTL Biopharmaceuticals LTD w/ Doron Tikotzky Kantor Gutman Cederboum & Co. and Sichenzia Ross Friedman Ross LLP.

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Law firm / advisor Registrant Symbol Form Industry
Avenue Therapeutics, Inc. AVENUE THERAPEUTICS, INC. ~ 10-12G ~
Baker, Donelson, Bearman, Caldwell & Berkowitz, PC PROVECTUS BIOPHARMACEUTICALS, INC. PVCT S-4 Drug Manufac.
Barack Ferrazzano Kirschbaum & Nagelberg LLP FIRST MIDWEST BANCORP INC FMBI S-4 Regional – Midwest Banks
Chapman and Cutler LLP FIRST MIDWEST BANCORP INC FMBI S-4 Regional – Midwest Banks
Cooley LLP IMMUNOCELLULAR THERAPEUTICS, LTD. IMUC S-3 Biotech
Davis Gillett Mottern & Sims LLC DIRECT LENDING INCOME FUND ~ N-2 ~
DLA Piper LLP ARALEZ PHARMACEUTICALS INC. ~ S-1 ~
Doron Tikotzky Kantor Gutman Cederboum & Co. XTL BIOPHARMACEUTICALS LTD XTLB F-1 Biotech
Fenwick & West LLP CORIUM INTERNATIONAL, INC. CORI S-3 Biotech
Goodwin Procter LLP ASSEMBLY BIOSCIENCES, INC. ASMB S-3 Drug Manufac.
Gracin & Marlow, LLP YOUNGEVITY INTERNATIONAL, INC. YGYI S-1 ~
GRCR Partners, Inc. GRCR PARTNERS INC ~ S-1 ~
Hamilton & Associates Law Group, P.A. HD VIEW 360 INC. ~ S-1 ~
Latham & Watkins LLP DIGITAL REALTY TRUST, INC. DLR S-4 REIT – Office
Lonestar Resources US Inc. LONESTAR RESOURCES US INC. ~ 10-12B ~
Mitchell Silberberg & Knupp LLP CLEARSIGN COMBUSTION CORP CLIR S-3 Pollution and Treatment Controls
Morgan, Lewis & Bockius LLP INSPRO TECHNOLOGIES CORP ITCC S-1 ~
Reed Smith LLP RITTER PHARMACEUTICALS INC RTTR S-1 Biotech
Sichenzia Ross Friedman Ross LLP XTL BIOPHARMACEUTICALS LTD XTLB F-1 Biotech
TroyGould PC CYTRX CORP CYTR S-3 Biotech
Withers Bergman LLP COMSTOCK MINING INC. LODE S-3 Gold
Wyrick Robbins Yates & Ponton LLP BENEFITFOCUS,INC. BNFT S-3 Application Software
ZEC, Inc. ZEC, INC. ~ 10-12G ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.

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

Click here to review the week’s underwriters.

IPOs and Transactions: December 21 – 24 / plus 2016 EDGAR deadline calendar

There were 50 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Cancer Prevention Pharmaceuticals Inc. w/ Gracin & Marlow LLP and Zysman, Aharoni, Gayer and Sullivan & Worcester LLP, XG Technology Inc. w/ Robinson Brog Leinwand Greene Genovese & Gluck PC and Shearman & Sterling LLP and Reg A+ effective filings Hamilton National Income Trust Inc. w/ Lowenstein Sandler LLP and Hunting Dog Capital Corp with Sutherland Asbill & Brennan LLP.

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Law firm / advisor Registrant Symbol Form Exchange
Alston & Bird LLP RENASANT CORP RNST S-4 NASDAQ
Alston & Bird LLP RREEF PROPERTY TRUST, INC. ~ S-11 ~
Arnold & Porter LLP CAPITAL BANK FINANCIAL CORP. CBF S-4 NASDAQ
Baker Botts L.L.P. LIBERTY MEDIA CORP LMCA S-4 NASDAQ
Barton LLP SUREPURE, INC. SURP S-1 OTC Markets
Brunson Chandler & Jones, PLLC DOMINOVAS ENERGY CORP DNRG S-1 OTC Markets
Butler Snow LLP SMARTFINANCIAL INC. SMBK S-3 NASDAQ
Cleary Gottlieb Steen & Hamilton LLP TRITON INTERNATIONAL LTD ~ S-4 ~
Cooley LLP AQUINOX PHARMACEUTICALS, INC AQXP S-3 NASDAQ
Cooley LLP BIOCEPT INC BIOC S-1 NASDAQ
Cravath, Swaine & Moore LLP MARRIOTT INTERNATIONAL INC /MD/ MAR S-4 NASDAQ
Davis Wright Tremaine LLP ACUCELA INC. ~ S-3 ~
Davis Wright Tremaine LLP WILLAMETTE VALLEY VINEYARDS INC WVVI S-3 NASDAQ
Dentons US LLP GALECTIN THERAPEUTICS INC GALT S-3 NASDAQ
DLA Piper LLP LAUREATE EDUCATION, INC. ~ S-4 ~
Dorsey & Whitney LLP COMBIMATRIX CORP CBMX S-1 NASDAQ
Faegre Baker Daniels LLP FIRST INTERNET BANCORP INBK S-3 NASDAQ
Fenwick & West LLP NUTANIX, INC. ~ S-1 ~
Fig Grasslands LLC FIG PUBLISHING, INC. ~ 1-A ~
Fox Rothschild LLP BIO KEY INTERNATIONAL INC BKYI S-1 OTC Markets
Gabelli Go Anywhere Trust GABELLI GO ANYWHERE TRUST ~ N-2 ~
Gibson, Dunn & Crutcher LLP MARRIOTT INTERNATIONAL INC /MD/ MAR S-4 NASDAQ
GK Investment Holdings, LLC GK INVESTMENT HOLDINGS, LLC ~ 1-A ~
Golenbock Eiseman Assor Bell & Peskoe LLP PULSE BIOSCIENCES, INC. ~ S-1 ~
Goodwin Procter LLP ACACIA COMMUNICATIONS, INC. ~ S-1 ~
Goodwin Procter LLP ESPERION THERAPEUTICS, INC. ESPR S-3 NASDAQ
Goodwin Procter LLP PROTEOSTASIS THERAPEUTICS, INC. ~ S-1 ~
Goodwin Procter LLP TIGENIX NV ~ F-1 ~
Gracin & Marlow, LLP CANCER PREVENTION PHARMACEUTICALS, INC. ~ S-1 ~
Hamilton & Associates Law Group, P.A. FORCE PROTECTION VIDEO EQUIPMENT CORP. FPVD S-1 OTC Markets
Hamilton National Income Trust, Inc. HAMILTON NATIONAL INCOME TRUST, INC. ~ 1-A ~
Hertz Global Holdings, Inc. HERTZ RENTAL CAR HOLDING COMPANY, INC. ~ 10-12B ~
Highlands REIT, Inc. HIGHLANDS REIT, INC. ~ 10-12B ~
Hogan Lovells US LLP AMERICAN HOMES 4 RENT AMH S-4 NYSE
Hunton & Williams LLP AMERICAN HOMES 4 RENT AMH S-4 NYSE
Ignyta, Inc. IGNYTA, INC. RXDX S-3 NASDAQ
Jolie Kahn, Esq. S&W SEED CO SANW S-3 NASDAQ
K&L Gates LLP METLIFE INSURANCE CO USA ~ S-3 ~
Kramer Levin Naftalis & Frankel LLP TRINITY PLACE HOLDINGS INC. TPHS S-3 NYSE
Latham & Watkins LLP IGNYTA, INC. RXDX S-3 NASDAQ
Latham & Watkins LLP WILLIAM LYON HOMES WLH S-4 NYSE
LKP Global Law, LLP PULSE BIOSCIENCES, INC. ~ S-1 ~
Locke Lord LLP TEAM INC TISI S-4 NYSE
Lowenstein Sandler LLP HAMILTON NATIONAL INCOME TRUST, INC. ~ 1-A ~
Morris, Manning & Martin, LLP RREEF PROPERTY TRUST, INC. ~ S-11 ~
Morrison & Foerster LLP BIOCEPT INC BIOC S-1 NASDAQ
Morse, Barnes-Brown & Pendleton, PC ZOOM TELEPHONICS, INC. ZMTP S-1 OTC Markets
Northwest Law Group I-MINERALS INC IMAHF S-1 OTC Markets
Phelps Dunbar LLP RENASANT CORP RNST S-4 NASDAQ
Pillsbury Winthrop Shaw Pittman LLP RENEWABLE ENERGY GROUP, INC. REGI S-3 NASDAQ
PNK Entertainment, Inc. PNK ENTERTAINMENT, INC. ~ 10-12B ~
Proskauer Rose LLP TIGENIX NV ~ F-1 ~
Pryor Cashman LLP COMBIMATRIX CORP CBMX S-1 NASDAQ
Robinson Brog Leinwand Greene Genovese & Gluck P.C. SANUWAVE HEALTH, INC. SNWV S-1 OTC Markets
Robinson Brog Leinwand Greene Genovese & Gluck P.C. XG TECHNOLOGY, INC. XGTI S-1 NASDAQ
Ropes & Gray LLP PROTEOSTASIS THERAPEUTICS, INC. ~ S-1 ~
Shartsis Friese, LLP S&W SEED CO SANW S-3 NASDAQ
Shearman & Sterling LLP XG TECHNOLOGY, INC. XGTI S-1 NASDAQ
Skadden, Arps, Slate, Meagher & Flom LLP GABELLI GO ANYWHERE TRUST ~ N-2 ~
Skadden, Arps, Slate, Meagher & Flom LLP TRITON INTERNATIONAL LTD ~ S-4 ~
Smith, Gambrell & Russell, LLP SANUWAVE HEALTH, INC. SNWV S-1 OTC Markets
Sullivan & Cromwell LLP NEW YORK COMMUNITY BANCORP INC NYCB S-4 NYSE
Sutherland Asbill & Brennan LLP HANCOCK PARK CORPORATE INCOME, INC. ~ 10-12G ~
Sutherland Asbill & Brennan LLP HUNTING DOG CAPITAL CORP. ~ 1-A ~
Sutherland Asbill & Brennan LLP MEDLEY CAPITAL CORP MCC N-2 NYSE
Team, Inc. TEAM INC TISI S-4 NYSE
Wachtell, Lipton, Rosen & Katz CAPITAL BANK FINANCIAL CORP. CBF S-4 NASDAQ
Wachtell, Lipton, Rosen & Katz NEW YORK COMMUNITY BANCORP INC NYCB S-4 NYSE
Wachtell, Lipton, Rosen & Katz TEAM INC TISI S-4 NYSE
Wilmer Cutler Pickering Hale and Dorr LLP ACACIA COMMUNICATIONS, INC. ~ S-1 ~
Wilson Sonsini Goodrich & Rosati, P.C. NUTANIX, INC. ~ S-1 ~
Xtant Medical Holdings, Inc. XTANT MEDICAL HOLDINGS, INC. XTNT S-1 NYSE
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP CANCER PREVENTION PHARMACEUTICALS, INC. ~ S-1 ~

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