IPOs and Transactions: Dec 19 – 23

There were 76 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Function(X) Inc. w/ Reed Smith LLP and Sichenzia Ross Ference Kesner LLP, Bio-path Holdins Inc w/ Winstead PC, Five Oaks Investment Corp w/ Kaye Scholer LLP, Golub Capital BDC Inc. w/ Dechert LLP, Lion Biotechnologies Inc. w/ TroyGould PC and Seacoast Banking Corp of Florida w/ Foley & Lardner LLP and Cadwalader, Wickersham & Taft LLP.

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

Law firm / advisor Registrant Symbol Form Industry
Akerman LLP CATALYST PHARMACEUTICALS INC CPRX S-3 Pharma preparations
Andrews Kurth Kenyon LLP JAGGED PEAK ENERGY INC S-1 Crude petroleum & natural gas
Bart and Associates, LLC NEW AGE BEVERAGES CORP ABRW S-1 Malt beverages
Bozki, Inc. BOZKI INC ~ 10-12G ~
Breakwater Law Group, LLP NTN BUZZTIME INC NTN S-3 Television broadcasting stations
Bryan Cave LLP GENERAL MOLY INC GMO S-3 Metal mining
Cadwalader, Wickersham & Taft LLP SEACOAST BANKING CORP OF FLORIDA SBCF S-4 State commercial banks
Cleary Gottlieb Steen & Hamilton LLP WESTERN DIGITAL CORP WDC S-4 Computer storage devices
Cooley LLP HELIUS MEDICAL TECHNOLOGIES INC HSM S-3 Electromedical & electro- therapeutic apparatus
Covington & Burling LLP OXFORD IMMUNOTEC GLOBAL PLC OXFD S-3 In vitro & in vivo diagnostic substances
Cravath, Swaine & Moore LLP SCHNEIDER NATIONAL INC ~ S-1 ~
David Lubin & Associates, PLLC COOL TECHNOLOGIES INC WARM S-1 Educational services
Davis Graham & Stubbs LLP PDC ENERGY INC PDCE S-4 Crude petroleum & natural gas
Davis Polk & Wardwell COBALT INTERNATIONAL ENERGY INC CIE S-3 Crude petroleum & natural gas
Day Pitney LLP PEAPACK GLADSTONE FINANCIAL CORP PGC S-3 Commercial banks
Dechert LLP GOLUB CAPITAL BDC INC GBDC N-2 Investment advice
Dentons US LLP MYND ANALYTICS INC CNSO S-1 Services – misc. health & allied services
DLA Piper LLP ADOMANI INC 1-A Motor vehicle parts & accessories
DLA Piper LLP COTTONWOOD COMMUNITIES INC ~ S-11 ~
Dorsey & Whitney LLP ARBUTUS BIOPHARMA CORP ABUS S-3 Pharma preparations
Drinker Biddle & Reath LLP AEOLUS PHARMACEUTICALS INC IC9B S-1 Pharma preparations
Ellenoff Grossman & Schole LLP FINTECH ACQUISITION CORP. II S-1 Blank checks
Farris, Vaughan, Wills & Murphy LLP ARBUTUS BIOPHARMA CORP ABUS S-3 Pharma preparations
Fenwick & West LLP AMYRIS INC AMRS S-3 Industrial organic chemicals
Fenwick & West LLP KALVISTA PHARMACEUTICALS INC CBYL S-3 Pharma preparations
Foley & Lardner LLP SEACOAST BANKING CORP OF FLORIDA SBCF S-4 State commercial banks
Gennari Aronson, LLP TECOGEN INC TGEN S-4 Air-conditioning & warm air heating equipment & commercial & industrial refrigerators
Goodwin Procter LLP EMAGIN CORP EMAN S-3 Semiconductors & related devices
Hogan Lovells US LLP PORTO HOLDCO B.V. ~ S-4 ~
Hunton & Williams LLP CHATHAM LODGING TRUST CLDT S-3 REIT
Hunton & Williams LLP CHATHAM LODGING TRUST CLDT S-3 REIT
Incorp Services, Inc. KALMIN CORP S-1 Plastics, foil & coated paper bags
Jones Day HORIZON GLOBAL CORP HZN S-3 Motor vehicle parts & accessories
K&L Gates LLP EATON VANCE HIGH INCOME 2022 TARGET TERM TRUST ~ N-2 ~
Kaye Cooper Kay & Rosenberg, LLP MIDWEST ENERGY EMISSIONS CORP MEEC S-1 Measuring & controlling devices
Kaye Scholer LLP FIVE OAKS INVESTMENT CORP OAKS S-3 REIT
Kilpatrick Townsend & Stockton LLP INVESTAR HOLDING CORP ISTR S-3 State commercial banks
Kirkland & Ellis LLP KLEOPATRA HOLDINGS 2 S.C.A. ~ S-1 ~
Kirkland & Ellis LLP REGENCY CENTERS CORP REG S-4 REIT
Latham & Watkins LLP MILACRON HOLDINGS CORP MCRN S-1 Special industry machinery
Latham & Watkins LLP SUNOCO LOGISTICS PARTNERS L.P. SXL S-4 Pipelines
Ledgewood FINTECH ACQUISITION CORP. II S-1 Blank checks
Legal & Compliance, LLC IEG HOLDINGS CORP IEGH S-1 Wholesale – motor vehicle supplies & new parts
Libertas Law Group, Inc. BARFRESH FOOD GROUP INC BRFH S-1 Services – motion picture & video tape production
Locke Lord LLP CONNECTICUT WATER SERVICE INC CTWS S-4 Water supply
Loeb & Loeb LLP IMMURON LTD ~ F-1 ~
Loeb & Loeb LLP PRESSURE BIOSCIENCES INC PBIO S-1 Laboratory analytical instruments
Lowenstein Sandler LLP CANCER GENETICS INC CGIX S-1 Medical laboratories
Lucosky Brookman LLP PRESSURE BIOSCIENCES INC PBIO S-1 Laboratory analytical instruments
Manatt, Phelps & Phillips, LLP IMPAC MORTGAGE HOLDINGS INC IMH S-3 REIT
McGuire, Craddock & Strother, P.C. RAVE RESTAURANT GROUP INC RAVE S-3 Wholesale – groceries & related products
Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C. NEUROTROPE INC NTRP S-1 Services – prepackaged software
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. ALBIREO PHARMA INC ALBO S-3 Pharma preparations
Mitchell Silberberg & Knupp LLP HELIOS & MATHESON ANALYTICS INC HMNY S-3 Misc. business services
Mitchell Silberberg & Knupp LLP NEW MEDIA TRADER INC 1-A Computer processing & data preparation
Morris, Manning & Martin, LLP COLE CREDIT PROPERTY TRUST V INC S-11 REIT
Morrison & Foerster LLP BOYD GAMING CORP BYD S-4 Amusement & recreation services
Murtha Cullina LLP CONNECTICUT WATER SERVICE INC CTWS S-4 Water supply
Nelson Mullins Riley & Scarborough LLP CAROLINA FINANCIAL CORP CARO S-3 State commercial banks
Ober, Kaler, Grimes & Shriver, PC OLD LINE BANCSHARES INC OLBK S-3 State commercial banks
Ortoli Rosenstadt LLP Q BIOMED INC ISMT S-1 Computer programming services
Paul Hastings LLP MITEK SYSTEMS INC MITK S-3 Computer peripheral equipment
Pillsbury Winthrop Shaw Pittman LLP MACOM TECHNOLOGY SOLUTIONS HOLDINGS INC MTSI S-4 Semiconductors & related devices
Reed Smith LLP FUNCTION(X) INC DDAY S-1 Computer programming services
Reed Smith LLP NEW AGE BEVERAGES CORP ABRW S-1 Malt beverages
Ropes & Gray LLP MACOM TECHNOLOGY SOLUTIONS HOLDINGS INC MTSI S-4 Semiconductors & related devices
Ropes & Gray LLP MILACRON HOLDINGS CORP MCRN S-1 Special industry machinery
Securities Counselors, Inc. MCGRAW CONGLOMERATE CORP ~ 1-A ~
Shearman & Sterling LLP AMERICAN AXLE & MANUFACTURING HOLDINGS INC S-4 Motor vehicle parts & accessories
Shearman & Sterling LLP KLEOPATRA HOLDINGS 2 S.C.A. ~ S-1 ~
Shumaker, Loop & Kendrick, LLP TAPIMMUNE INC TPIV S-3 Pharma preparations
Sichenzia Ross Ference Kesner LLP FUNCTION(X) INC DDAY S-1 Computer programming services
Sichenzia Ross Ference Kesner LLP IMMURON LTD ~ F-1 ~
Sidley Austin LLP CARE CAPITAL PROPERTIES LP CCP S-4 REIT
Sidley Austin LLP CATERPILLAR FINANCIAL SERVICES CORP S-4 Misc. business credit institutions
Sidley Austin LLP CELSION CORP CLSN S-1 Electromedical & electro- therapeutic apparatus
Sidley Austin LLP VISTRA ENERGY CORP ~ S-1 ~
Simpson Thacher & Bartlett LLP SCHNEIDER NATIONAL INC ~ S-1 ~
State Agent and Transfer Syndicate, Inc. OS SUPPORT INC ~ S-1 ~
Steven I. Weinberger, P.A. FUSION TELECOMMUNICATIONS INTERNATIONAL INC FSNN S-3 Telephone comm.
Sullivan & Worcester LLP TECOGEN INC TGEN S-4 Air-conditioning & warm air heating equipment & commercial & industrial refrigerators
Sutherland Asbill & Brennan LLP THL CREDIT LAKESHORE INC ~ 10-12G ~
TroyGould PC CYTRX CORP CYTR S-3 Biological products
TroyGould PC LION BIOTECHNOLOGIES INC LBIO S-3 Biological products
Venable LLP BRT REALTY TRUST BRT S-4 REIT
Vinson & Elkins L.L.P. EXTRACTION OIL & GAS INC XOG S-1 Crude petroleum & natural gas
Vinson & Elkins L.L.P. JAGGED PEAK ENERGY INC S-1 Crude petroleum & natural gas
Vinson & Elkins L.L.P. SUNOCO LOGISTICS PARTNERS L.P. SXL S-4 Pipelines
Wachtell, Lipton, Rosen & Katz REGENCY CENTERS CORP REG S-4 REIT
Weil, Gotshal & Manges LLP AMERICAN AXLE & MANUFACTURING HOLDINGS INC S-4 Motor vehicle parts & accessories
Weil, Gotshal & Manges LLP PORTO HOLDCO B.V. ~ S-4 ~
Weintraub Tobin Chediak Coleman Grodin, Law Corp. DIGITAL POWER CORP DPW S-3 Electronic components
White White & Van Etten PC TECOGEN INC TGEN S-4 Air-conditioning & warm air heating equipment & commercial & industrial refrigerators
Willkie Farr & Gallagher LLP VIRTUS INVESTMENT PARTNERS INC VRTS S-3 Investment advice
Wilson Sonsini Goodrich & Rosati, PC ACXIOM CORP ACXM S-3 Computer processing & data preparation
Winstead PC BIO-PATH HOLDINGS INC BPTH S-3 Retail – misc. shopping goods stores

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Click here to review the week’s underwriters.

Have a great week

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