IPOs and Transactions: April 14 – 18

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 Taggares Agriculture Corp w/ Dickinson Wright PLLC, Capricor Therapeutics Inc. w/ Paul Hastings LLP and 22nd Century Group Inc. w/ Foley & Lardner LLP. We appreciate that they selected to work with us and we’re pleased that they found us both accurate and affordable.

VDR_PPC_EMAIL

Registrant Symbol Form Exchange Law firm/ advisor
FS ENERGY & POWER FUND II N-2 Alston & Bird LLP
FIRST BANCSHARES INC /MS/ FBMS S-4 Nasdaq Ambrecht Jackson LLP
COMMUNITYONE BANCORP COB S-3 Nasdaq Arnold & Porter LLP
RIVER VALLEY BANCORP RIVR S-1 Nasdaq Barnes & Thornburg LLP
ENSERVCO CORP ENSV S-3 NYSE Burns Figa & Will, P.C.
FIGO VENTURES, INC. FIGO S-1 OTC Cane Clark, LLP
HANNON ARMSTRONG SUSTAINABLE INFRASTRUCTURE CAPITAL, INC. HASI S-11 NYSE Clifford Chance US LLP
LIVE OAK BANCSHARES, INC. S-1 Covington & Burling LLP
ZOOSK, INC S-1 Davis Polk & Wardwell LLP
FS ENERGY & POWER FUND II N-2 Dechert LLP
H&Q HEALTHCARE INVESTORS HQH N-2 NYSE Dechert LLP
H&Q LIFE SCIENCES INVESTORS HQL N-2 NYSE Dechert LLP
TAGGARES AGRICULTURE CORP. S-1 Dickinson Wright PLLC
CONTRAFECT CORP S-1 Ellenoff, Grossman & Schole LLP
ZOOSK, INC S-1 Fenwick & West LLP
22ND CENTURY GROUP, INC. XXII S-3 NYSE Foley & Lardner LLP
HANNON ARMSTRONG SUSTAINABLE INFRASTRUCTURE CAPITAL, INC. HASI S-11 NYSE Fried, Frank, Harris, Shriver & Jacobson LLP
TCW DIRECT LENDING LLC 10-12G Fried, Frank, Harris, Shriver & Jacobson LLP
ARI NETWORK SERVICES INC /WI ARIS S-3 Nasdaq Godfrey & Kahn, S.C.
VYRIX PHARMACEUTICALS, INC. S-1 Goodwin Procter LLP
ZAFGEN, INC. S-1 Goodwin Procter LLP
ANGION BIOMEDICA CORP. S-1 Greenberg Traurig, LLP
NEW CENTURY RESOURCE 10-12G Heston Nielson, Esq.
ORCHID ISLAND CAPITAL, INC. ORC S-3 NYSE Hunton & Williams LLP
TOUCAN INTERACTIVE CORP S-1 John T. Root, Jr., Atty.
FIRST BANCSHARES INC /MS/ FBMS S-4 Nasdaq Jones Walker LLP
ETFS PALLADIUM TRUST PALL S-3 NYSE Katten Muchin Rosenman LLP
LORILAY CORP. S-1 Law Offices of Thomas E. Puzzo, PLLC
TERRA TECH CORP. TRTCE S-3 OTC Law Offices of Thomas E. Puzzo, PLLC
NATIONAL GENERAL HOLDINGS CORP. NGHC S-1 Nasdaq Locke Lord LLP
FIRST FOUNDATION INC. S-1 Nasdaq Manatt, Phelps & Phillips, LLP
LIGHTSTONE VALUE PLUS REAL ESTATE INVESTMENT TRUST III, INC. S-11 Martin A. Hewitt, Atty.
WIRELESS RONIN TECHNOLOGIES INC RNIN S-4 OTC Maslon Edelman Borman & Brand, LLP
GENERAL FINANCE CORP GFNCP S-3 Nasdaq Mayer Brown LLP
IMMUNE PHARMACEUTICALS INC IMNP S-1 OTC Mintz, Levin, Cohn, Ferris, Glovsky and Popeo P.C.
ANGION BIOMEDICA CORP. S-1 Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
WORLD ENERGY SOLUTIONS, INC. XWES S-3 Nasdaq Mirick, O’Connell, DeMallie & Lougee LLP
ONCOSEC MEDICAL INC ONCS S-3 OTC Morrison & Foerster LLP
MOBIQUITY TECHNOLOGIES, INC. MOBQ S-1 OTC Morse & Morse, PLLC
METHES ENERGIES INTERNATIONAL LTD MEILU S-3 Nasdaq Morse, Zelnick, Rose & Lander, LLP
VECTOR GROUP LTD VGR S-4 NYSE O’Melveny & Myers LLP
CAPRICOR THERAPEUTICS, INC. CAPR S-1 OTC Paul Hastings LLP
GENERAL FINANCE CORP GFNCP S-3 Nasdaq Paul Hastings LLP
IMMUNE PHARMACEUTICALS INC IMNP S-1 OTC Pearl Cohen Zedek Latzer Baratz
DS HEALTHCARE GROUP, INC. DSKXE S-3 Nasdaq Pearlman Schneider LLP
DS HEALTHCARE GROUP, INC. DSKXE S-3 Nasdaq Pearlman Schneider LLP
ROCKY HOLDING, INC. S-4 Perkins Coie LLP
LIGHTSTONE VALUE PLUS REAL ESTATE INVESTMENT TRUST III, INC. S-11 Proskauer Rose LLP
WIRELESS RONIN TECHNOLOGIES INC RNIN S-4 OTC Reed L. Benson, Esq.
ZAFGEN, INC. S-1 Ropes & Gray LLP
CONTRAFECT CORP S-1 Shearman & Sterling LLP
SPHERIX INC SPEX S-3 Nasdaq Sichenzia Ross Friedman Ference LLP
VYRIX PHARMACEUTICALS, INC. S-1 Sichenzia Ross Friedman Ference LLP
ELITE PHARMACEUTICALS INC /NV/ ELTP S-3 OTC Silverman Shin Byrne & Gilchrest PLLC
CHUKONG HOLDINGS LTD F-1 Simpson Thacher & Bartlett
CHUKONG HOLDINGS LTD F-1 Skadden, Arps, Slate, Meagher & Flom LLP
DAYTON POWER & LIGHT CO DAYTL S-4 OTC Skadden, Arps, Slate, Meagher & Flom LLP
SANUWAVE HEALTH, INC. SNWV S-1 OTC Smith, Gambrell & Russell, LLP
FIRST FOUNDATION INC. S-1 Nasdaq Stradling Yocca Carlson & Rauth, P.C.
TAGGARES AGRICULTURE CORP. S-1 Summit Law Group, PLLC
TCW DIRECT LENDING LLC 10-12G Sutherland Asbill & Brennan LLP
REVOLUTIONS MEDICAL CORP RMCP S-1 OTC Szaferman Lakind Blumstein & Blader, PC
DYNEX CAPITAL INC DXPRA S-3 NYSE Troutman Sanders LLP
PACIFIC ETHANOL, INC. PEIX S-3 Nasdaq Troutman Sanders LLP
GALENA BIOPHARMA, INC. GALE S-3 Nasdaq TroyGould PC
RIVER VALLEY BANCORP RIVR S-1 Nasdaq Vedder Price P.C.
ENERGY TRANSFER PARTNERS, L.P. ETP S-3 NYSE Vinson & Elkins, L.L.P.
ROCKY HOLDING, INC. S-4 Weil, Gotshal & Manges LLP
HIGHLANDS BANKSHARES INC /VA/ HBKA S-1 OTC Williams Mullen
GABELLI EQUITY TRUST INC GABFR N-2 NYSE Willkie Farr & Gallagher LLP
UNITY BANCORP INC /NJ/ UNTY S-1 Nasdaq Windels Marx Lane & Mittendorf, LLP
ROCKY HOLDING, INC. S-4 Womble Carlyle Sandridge & Rice, LLP
LIVE OAK BANCSHARES, INC. S-1 Wyrick Robbins Yates & Ponton LLP

Click here to review the week’s underwriters.

Have a great week.

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