Category Archives: IPO week in review

IPOs and Transactions: March 20 – 24 / plus M&A whitepaper

There were 47 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services including Checkpoint Therapeutics Inc. w/ Alston & Bird LLP, Lakeland Industries Inc. w/ Moomjian, Waite & Coleman LLP and Icahn Enterprises Finance Corp. w/ Proskauer Rose LLP.

We appreciate that they selected to work with us and benefited from our fast turns, spot-on execution and absolute cost transparency.

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Law firm / advisor Registrant Symbol Form Industry
Alston & Bird LLP CHECKPOINT THERAPEUTICS INC S-1 Pharmaceutical preparations
Baker, Donelson, Bearman, Caldwell & Berkowitz, PC OLD LINE BANCSHARES INC OLBK S-4 State commercial banks
BlackRock Capital Investment Corp. BLACKROCK CAPITAL INVESTMENT CORP BKCC N-2 Investment offices
Bryan Cave LLP A.S.V. LLC ~ S-1 Construction machinery & equipment
Business Filings Inc. CHEE CORP ~ S-1 ~
Cahill Gordon & Reindel LLP DONNELLEY FINANCIAL SOLUTIONS INC DFIN S-1 Misc. business services
Clifford Chance US LLP AETOS CAPITAL DISTRESSED INVESTMENT STRATEGIES FUND LLC ~ N-2 ~
Clifford Chance US LLP AETOS CAPITAL LONG/SHORT STRATEGIES FUND LLC ~ N-2 ~
Clifford Chance US LLP AETOS CAPITAL MULTI-STRATEGY ARBITRAGE FUND LLC ~ N-2 ~
Cooley LLP ENPHASE ENERGY INC ENPH S-3 Semiconductors & related devices
Cooley LLP EVERBRIDGE INC EVBG S-1 Prepackaged software
Davis Polk & Wardwell LLP WIDEOPENWEST INC ~ S-1 ~
Davis, Graham & Stubbs LLP ROYAL HAWAIIAN ORCHARDS LIMITED PARTNERSHIP NNUTU S-1 Agricultural production-crops
Dechert LLP PENNANTPARK INVESTMENT CORP PNNT N-2 Investors, not elsewhere classified
Dechert LLP TIAA REAL ESTATE ACCOUNT 15557Z S-1 Real estate
Dorsey & Whitney LLP A.S.V. LLC ~ S-1 Construction machinery & equipment
Dorsey & Whitney LLP HEARTLAND FINANCIAL USA INC HTLF S-4 State commercial banks
Ellenoff Grossman & Schole LLP FORUM MERGER CORP ~ S-1 Blank check
Ellenoff Grossman & Schole LLP SUNSHINE HEART INC SSH S-1 Electro-medical & electro-therapeutic apparatus
Eversheds Sutherland LLP UNITED STATES 12 MONTH OIL FUND LP USL S-3 Commodity contracts brokers & dealers
Eversheds Sutherland LLP UNITED STATES COMMODITY INDEX FUNDS TRUST USCI S-1 Commodity contracts brokers & dealers
Eversheds Sutherland LLP UNITED STATES COMMODITY INDEX FUNDS TRUST USCI S-1 Commodity contracts brokers & dealers
Eversheds Sutherland LLP UNITED STATES GASOLINE FUND LP UGA S-1 Commodity contracts brokers & dealers
Eversheds Sutherland LLP UNITED STATES BRENT OIL FUND LIMITED PARTNERSHIP BNO S-3 Management investment offices, open-end
Faegre Baker Daniels LLP NORTHERN OIL & GAS INC NOG S-4 Crude petroleum & natural gas
Goodwin Procter LLP EVERBRIDGE INC EVBG S-1 Prepackaged software
Gordon Feinblatt LLC OLD LINE BANCSHARES INC OLBK S-4 State commercial banks
Graubard Miller FORUM MERGER CORP ~ S-1 Blank check
Haynes and Boone, LLP ENERGY RESOURCES 12 L.P ~ S-1 Crude petroleum & natural gas
Holland & Knight LLP STEWARDSHIP FINANCIAL CORP SSFN S-1 State commercial banks
Honigman Miller Schwartz and Cohn LLP SUNSHINE HEART INC SSH S-1 Electro-medical & electro-therapeutic apparatus
InCorp Services, Inc. ARION GROUP CORP ~ S-1 ~
Kirkland & Ellis LLP WIDEOPENWEST INC ~ S-1 ~
Latham & Watkins LLP SPIRIT REALTY CAPITAL INC SRC S-4 Operators of nonresidential buildings
Latham & Watkins LLP T2 BIOSYSTEMS INC TTOO S-3 Surgical & medical instruments & apparatus
Legal & Compliance, LLC ONLY NATURAL WELLNESS CORP ~ S-1 ~
Manatt, Phelps & Phillips, LLP CNOTE GROUP INC ~ 1-A Loan brokers
Matthew McMurdo, Esq. BLUEHIVE INC ~ S-1 ~
McCarter & English, LLP STEWARDSHIP FINANCIAL CORP SSFN S-1 State commercial banks
Miller Nash Graham & Dunn LLP BANK OF COMMERCE HOLDINGS BOCH S-3 State commercial banks
Mitchell Silberberg & Knupp, LLP MAX-1 ACQUISITION CORP ~ 10-12G ~
Moomjian, Waite & Coleman, LLP LAKELAND INDUSTRIES INC LAKE S-3 Orthopedic, prosthetic & surgical appliances & supplies
Morris, Manning & Martin, LLP FLAT ROCK CAPITAL CORP ~ 10-12G ~
Nevada Discount Registered Agent, Inc. FOLKUP DEVELOPMENT INC ~ S-1 ~
Nossiff Law Firm LLP NORTHSIGHT CAPITAL INC NCAP S-1 Beverages
Proskauer Rose LLP ICAHN ENTERPRISES FINANCE CORP IEP S-4 Motor vehicle parts & accessories
Ropes & Gray LLP ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND ~ N-2 ~
Ropes & Gray LLP STONE RIDGE TRUST V ~ N-2 ~
Schiff Hardin LLP FIRST MID ILLINOIS BANCSHARES INC FMBH S-3 State commercial banks
Shapiro Bieging Barber Otteson LLP HEARTLAND FINANCIAL USA INC HTLF S-4 State commercial banks
Skadden, Arps, Slate, Meagher & Flom LLP BLACKROCK CAPITAL INVESTMENT CORP BKCC N-2 Investment offices
SRK Kronengold Law Offices CANNABICS PHARMACEUTICALS INC AMCM S-3 Metal mining
Sullivan & Cromwell LLP DONNELLEY FINANCIAL SOLUTIONS INC DFIN S-1 Misc. business services
Trowbridge Sidoti BRIDGEWELL PREFERRED INCOME FUND LP ~ 1-A ~
V Financial Group., LLC AUSTRALIAN FORMULATED CORP ~ S-1 ~
Vinson & Elkins L.L.P. DASEKE INC HCAC S-3 Blank check
Vorys, Sater, Seymour and Pease LLP CENTRAL FEDERAL CORP CFBK S-3 Savings institutions, federally chartered

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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.

Have a great week

IPOs and Transactions: March 6 – 17 / plus “Billion Dollar Questions” for M&A

There were 121 transactions filed with the SEC in the last two weeks.

Congratulations to all of the corporations and law firms that selected our transactions services last week including OncoBiologics Inc. w/ Cooley LLP, Dextera Surgical Inc. w/ Cooley LLP and Ellenoff Grossman & Schole LLP, MoneyOnMobile Inc. w/ Loeb & Loeb LLP and Sichenzia Ross Ference Kesner LLP, Lilus Energy Inc. w/ K&L Gates LLP and Albany Molecular Research Inc. w/ Goodwin Procter LLP.  v-banner-billionma

Law firm / advisor Registrant Symbol Form Industry
Advanced Medical Isotope Corporation ADVANCED MEDICAL ISOTOPE CORP ADMD S-1 Surgical & medical instruments & apparatus
Akin Gump Strauss Hauer & Feld LLP WARRIOR MET COAL LLC ~ S-1 Bituminous coal & lignite mining
Andrews Kurth Kenyon LLP ONEOK INC OKE S-4 Natural gas transmission & distribution
Ater Wynne LLP NORTHWEST PIPE CO NWPX S-3 Steel pipe & tubes
Austin Legal Group STEALTH AIR CORP ~ 1-A ~
AXA Equitable Life Insurance Company AXA EQUITABLE LIFE INSURANCE CO ~ S-3 Insurance agents, brokers & service
AXA Equitable Life Insurance Company MONY LIFE INSURANCE CO OF AMERICA ~ S-1 Life insurance
Baker Botts L.L.P. MATADOR RESOURCES CO MTDR S-4 Crude petroleum & natural gas
Baker Botts L.L.P. PENN VIRGINIA CORP PVAC S-3 Crude petroleum & natural gas
Baker Botts L.L.P. NCS MULTISTAGE HOLDINGS INC ~ S-1 Oil & gas field services, not elsewhere classified
Baker Botts L.L.P. WESTLAKE CHEMICAL CORP WLK S-4 Plastic materials, synthetic resins & non- vulcanizable elastomers
Barack Ferrazzano Kirschbaum & Nagelberg LLP FIRST BUSEY CORP BUSE S-4 State commercial banks
Barack Ferrazzano Kirschbaum & Nagelberg LLP MIDLAND STATES BANCORP INC MSBI S-4 State commercial banks
Bass, Berry & Sims PLC NN INC NNBR S-3 Ball & roller bearings
Bass, Berry & Sims PLC PINNACLE FINANCIAL PARTNERS INC PNFP S-4 National commercial banks
Bingham Greenebaum Doll LLP FIRST MERCHANTS CORP FRME S-4 National commercial banks
Brunson, Chandler & Jones, PLLC QUANTUM ENERGY INC QEGY S-1 Crude petroleum & natural gas
Business Filings Inc. SHEMN CORP ~ S-1 ~
Butler Snow LLP COMMERCE UNION BANCSHARES INC CUBN S-3 State commercial banks
Cadence Bancorporation CADENCE BANCORP ~ S-1 National commercial banks
Caesars Acquisition Company CAESARS ENTERTAINMENT CORP CZR S-4 Services – miscellaneous amusement & recreation
Cahill Gordon & Reindel LLP LSC COMMUNI-CATIONS INC LKSD S-1 Commercial printing, not elsewhere classified
Cassidy & Associates RANDOLPH ACQUISITIONS INC ~ S-1 Blank check
Cleary Gottlieb Steen & Hamilton LLP NETSHOES (CAYMAN) LTD ~ F-1 Retail – catalog & mail-order houses
Clifford Chance US LLP TANDEM DIABETES CARE INC TNDM S-1 Surgical & medical instruments & apparatus
Conyers Dill & Pearman ATHENE HOLDING LTD ATH S-1 Life insurance
Cooley LLP ONCOBIOLOGICS INC ONS S-1 Biological products, except diagnostic substances
Cooley LLP TOCAGEN INC ~ S-1 Pharma. preparations
Cooley LLP CARA THERAPEUTICS INC CARA S-3 Pharma. preparations
Cooley LLP YEXT INC ~ S-1 Services – computer processing & data preparation
Cooley LLP DEXTERA SURGICAL INC DXTR S-1 Surgical & medical instruments & apparatus
David Lubin & Associates, PLLC BIOLABMART INC ~ S-1 ~
Davis Graham & Stubbs LLP DMC GLOBAL INC BOOM S-3 Misc. primary metal products
Davis Polk & Wardwell LLP S&P GLOBAL INC SPGI S-4 Services – Credit reporting services
Dechert LLP BIOSCRIP INC BIOS S-3 Insurance agents, brokers & service
Dentons LLP ONE LIBERTY PROPERTIES INC OLP S-3 Real estate investment trusts
DLA Piper LLP SCICLONE PHARMA-CEUTICALS INC SCLN S-3 Pharma. preparations
Dorsey & Whitney LLP ENTERO- MEDICS INC ETRM S-3 Electro- medical & electro-therapeutic apparatus
Duane Morris LLP PARAMOUNT GOLD NEVADA CORP PZG S-3 Metal mining services
Duane Morris LLP ENUMERAL BIOMEDICAL HOLDINGS INC CEUL S-1 Services – computer programming, data process, etc.
Ellenoff Grossman & Schole LLP KAYNE ANDERSON ACQUISITION CORP ~ S-1 Blank checks
Ellenoff Grossman & Schole LLP DEXTERA SURGICAL INC DXTR S-1 Surgical & medical instruments & apparatus
FBR & Co. B. RILEY FINANCIAL INC RILY S-4 Services – business services, not elsewhere classified
Foley & Lardner LLP CURRENCY- SHARES EURO TRUST FXE S-3 Commodity contracts brokers & dealers
Frank J. Hariton, Esq. NIGHTFOOD HOLDINGS INC ~ S-1 Sugar & confectionery products
Fried, Frank, Harris, Shriver & Jacobson LLP WARRIOR MET COAL LLC ~ S-1 Bituminous coal & lignite mining
Fried, Frank, Harris, Shriver & Jacobson LLP ATHENE HOLDING LTD ATH S-1 Life insurance
Gide Loyrette Nouel A.A.R.P.I. TALEND SA ~ F-1 Services – prepackaged software
Goodwin Procter LLP ALBANY MOLECULAR RESEARCH INC AMRI S-3 Services – commercial physical & biological research
Goodwin Procter LLP OKTA INC ~ S-1 Services – prepackaged software
Goodwin Procter LLP TALEND SA ~ F-1 Services – prepackaged software
Gordon Feinblatt LLC FARMERS & MERCHANTS BANCSHARES INC ~ 10-12G ~
Greenberg Traurig, LLP MODERN MEDIA ACQUISITION CORP ~ S-1 Blank checks
Greenberg Traurig, LLP CENTURY COMMUNITIES, INC CCS S-4 Operative builders
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP HISTOGENICS CORP HSGX S-3 Orthopedic, prosthetic & surgical appliances & supplies
Haynes and Boone, LLP STAFFING 360 SOLUTIONS INC STAF S-3 Services – help supply services
Hogan Lovells US LLP INTREXON CORP XON S-4 Services – commercial physical & biological research
Holland & Knight LLP LADENBURG THALMANN FINANCIAL SERVICES INC LTS S-3 Security & commodity brokers, dealers, exchanges & services
Honigman Miller Schwartz and Cohn LLP SHILOH INDUSTRIES INC SHLO S-3 Metal forgings & stampings
Howard & Howard Attorneys PLLC FIRST BUSEY CORP BUSE S-4 State commercial banks
Howard & Howard Attorneys PLLC MIDLAND STATES BANCORP INC MSBI S-4 State commercial banks
Hunter Taubman Fischer & Li LLC IMPERIAL GARDEN & RESORT INC ~ F-1 Services – misc. amusement & recreation
Johnson, Pope, Bokor, Ruppel & Burns, LLP CUI GLOBAL INC CUI S-3 Services – advertising
Jones Day MODERN MEDIA ACQUISITION CORP ~ S-1 Blank checks
Jones Day ATHERSYS INC ATHX S-3 Pharma. preparations
Jones Day NEXPOINT RESIDENTIAL TRUST INC NXRT S-3 Real estate investment trusts
Jones Day TALEND SA ~ F-1 Services – prepackaged software
K&L Gates LLP EATON VANCE FLOATING-RATE 2024 TARGET TERM TRUST ~ N-2 ~
K&L Gates LLP LILIS ENERGY INC LLEX S-1 Crude petroleum & natural gas
Kaufman & Canoles, P.C. MOXIAN INC MOXC S-3 Services – computer programming, data process, etc.
Kramer Levin Naftalis & Frankel LLP TRINITY PLACE HOLDINGS INC TPHS S-3 Retail – family clothing stores
Latham & Watkins LLP NOBLE ENERGY INC NBL S-4 Crude petroleum & natural gas
Latham & Watkins LLP SOLARIS OILFIELD INFRA- STRUCTURE INC ~ S-1 Oil & gas field machinery & equipment
Latham & Watkins LLP E.L.F. BEAUTY INC ELF S-1 Perfumes, cosmetics & other toilet preparations
Latham & Watkins LLP TOCAGEN INC ~ S-1 Pharma. preparations
Latham & Watkins LLP CORCEPT THERAPEUTICS INC CORT S-3 Pharma. preparations
Latham & Watkins LLP CYTOMX THERAPEUTICS INC CTMX S-3 Pharma. preparations
Latham & Watkins LLP SERES THERAPEUTICS INC MCRB S-3 Pharma. preparations
Latham & Watkins LLP VIEWRAY INC MRXC S-3 Retail – misc. retail
Locke Lord LLP CLECO CORPORATE HOLDINGS LIMITED LIABILITY COMPANY CNL S-4 Electric services
Loeb & Loeb LLP MONEYON- MOBILE INC CLPI S-1 Services – business services, not elsewhere classified
Longfin Corp LONGFIN CORP ~ 1-A ~
Lucosky Brookman LLP MERIDIAN WASTE SOLUTIONS INC MRDN S-3 Sanitary services
Luse Gorman, PC EAGLE FINANCIAL BANCORP INC ~ S-1 ~
Luse Gorman, PC HERITAGE NOLA BANCORP INC ~ S-1 ~
Mayer Brown LLP HALCON RESOURCES CORP HK S-3 Crude petroleum & natural gas
McLaughlin & Stern, LLP XIANGTIAN AIR POWER CO. LTD ~ S-1 Transportation services
Metro Media Holding Corporation BUY SMART STORAGE SOLUTIONS CORP ~ 1-A ~
Mitchell Silberberg & Knupp LLP HELIOS & MATHESON ANALYTICS INC HMNY S-3 Services – misc. business services
Morgan, Lewis & Bockius LLP VERITONE INC ~ S-1 Services – computer processing & data preparation
Morgan, Lewis & Bockius UK LLP UNIQURE N.V. QURE S-3 Pharma. preparations
Morrison & Foerster LLP CATALYST BIOSCIENCES INC CBIO S-1 Pharma. preparations
Morrison & Foerster LLP ARMADA HOFFLER PROPERTIES INC AHH S-3 Real estate
Morrison & Foerster LLP B. RILEY FINANCIAL INC RILY S-3 Services – business services, not elsewhere classified
Morrison & Foerster LLP VEECO INSTRUMENTS INC VECO S-4 Special industry machinery, not elsewhere classified
Nelson Mullins Riley & Scarborough LLP MONROE CAPITAL CORP MRCC N-2 Management investment offices, open-end
Nemus Bioscience, Inc. NEMUS BIOSCIENCE INC NMUS S-1 Trucking, except local
Nevada Agency and Transfer Company PUEBLA RESOURCES CORP ~ S-1 ~
Nutraceutical International Corporation NUTRACEUTICAL INTERNATIONAL CORP NUTR S-3 Medicinal chemicals & botanical products
O’Melveny & Myers LLP VEECO INSTRUMENTS INC VECO S-4 Special industry machinery, not elsewhere classified
Ortoli Rosenstadt LLP Q BIOMED INC ISMT S-1 Services – computer programming services
Phelps Dunbar LLP RENASANT CORP RNST S-4 State commercial banks
Polsinelli PC KALOBIOS PHARMACEUTICALS INC KBIO S-1 Pharma. preparations
Reed Smith LLP BRIGHTHOUSE LIFE INSURANCE CO OF NY ~ S-3 ~
Reed Smith LLP NEONODE INC NEON S-3 Electronic components, not elsewhere classified
Reed Smith LLP BRIGHTHOUSE LIFE INSURANCE CO ~ S-3 Life insurance
Ropes & Gray LLP E.L.F. BEAUTY INC ELF S-1 Perfumes, cosmetics & other toilet preparations
Sichenzia Ross Ference Kesner LLP MONEYONMOBILE INC CLPI S-1 Services – business services, not elsewhere classified
Sichenzia Ross Ference Kesner LLP IMPERIAL GARDEN & RESORT INC ~ F-1 Services – misc. amusement & recreation
Sidley Austin LLP POWERSHARES DB SILVER FUND DBS S-1 Commodity contracts brokers & dealers
Sidley Austin LLP POWERSHARES DB US DOLLAR INDEX TRUST UDN S-1 Commodity contracts brokers & dealers
Sidley Austin LLP ATHENE HOLDING LTD ATH S-1 Life insurance
Simpson Thacher & Bartlett LLP BLACKSTONE REAL ESTATE INCOME FUND ~ N-2 ~
Simpson Thacher & Bartlett LLP BLACKSTONE REAL ESTATE INCOME FUND II ~ N-2 ~
Simpson Thacher & Bartlett LLP NETSHOES (CAYMAN) LTD ~ F-1 Retail – catalog & mail-order houses
Skadden, Arps, Slate, Meagher & Flom LLP NOBLE ENERGY INC NBL S-4 Crude petroleum & natural gas
Skadden, Arps, Slate, Meagher & Flom LLP ONEOK INC /NEW/ OKE S-4 Natural gas transmission & distribution
Skadden, Arps, Slate, Meagher & Flom LLP WESTERN ASSET MORTGAGE CAPITAL CORP WMC S-3 Real estate investment trusts
Skadden, Arps, Slate, Meagher & Flom LLP ACTIVISION BLIZZARD INC ATVI S-4 Services – prepackaged software
Skadden, Arps, Slate, Meagher & Flom LLP TCP CAPITAL CORP TCPC N-2 Unit investment trusts, face-amount certificate offices & closed-end management investment offices
Spencer Fane LLP HOOPER HOLMES INC HH S-4 Services – misc. health & allied services, not elsewhere classified
Stearns Weaver Miller Weissler Alhadeff & Sitterson, P.A. BBX CAPITAL CORP BFCF S-3 Real estate investment trusts
Stradling Yocca Carlson & Rauth, P.C. TANDEM DIABETES CARE INC TNDM S-1 Surgical & medical instruments & apparatus
Stradling, Yocca, Carlson & Rauth, P.C. VERITONE INC ~ S-1 Services – computer processing & data preparation
Stroock & Stroock & Lavan LLP A&Q LONG/SHORT STRATEGIES FUND LLC ~ N-2 ~
Sullivan & Cromwell LLP LSC COMMUNI-CATIONS INC LKSD S-1 Commercial printing, not elsewhere classified
Sullivan & Cromwell LLP CADENCE BANCORP- ORATION ~ S-1 National commercial banks
Sullivan & Cromwell LLP KEY ENERGY SERVICES INC KEG S-3 Oil & gas field services, not elsewhere classified
Sullivan & Cromwell LLP B. RILEY FINANCIAL INC RILY S-4 Services – business services, not elsewhere classified
Sullivan & Cromwell LLP DONNELLEY FINANCIAL SOLUTIONS INC DFIN S-4 Services – misc. business services
Tandem Diabetes Care, Inc. TANDEM DIABETES CARE INC TNDM S-1 Surgical & medical instruments & apparatus
Team 360 Sports, Inc. TEAM 360 SPORTS INC ~ S-1 ~
The Matt Law Firm, PLLC ACTINIUM PHARMA-CEUTICALS INC ATNM S-3 Pharma. preparations
Thompson Hine LLP INTREXON CORP XON S-4 Services – commercial physical & biological research
Troutman Sanders LLP PINNACLE FINANCIAL PARTNERS INC PNFP S-4 National commercial banks
Troutman Sanders LLP RENASANT CORP RNST S-4 State commercial banks
Vinson & Elkins L.L.P. SWIFT ENERGY CO SFY S-3 Crude petroleum & natural gas
Vinson & Elkins L.L.P. WESTLAKE CHEMICAL PARTNERS LP WLKP S-3 Industrial organic chemicals, not elsewhere classified
Vinson & Elkins L.L.P. WESTERN GAS PARTNERS LP WES S-3 Natural gas transmission
Vinson & Elkins L.L.P. SOLARIS OILFIELD INFRA- STRUCTURE INC ~ S-1 Oil & gas field machinery & equipment
Vinson & Elkins L.L.P. CSI COMPRESSCO LIMITED PARTNERSHIP CCLP S-3 Oil & gas field services, not elsewhere classified
Vinson & Elkins L.L.P. C&J ENERGY SERVICES INC CJ S-3 Oil & gas field services, not elsewhere classified
Vorys, Sater, Seymour & Pease LLP EAGLE FINANCIAL BANCORP INC ~ S-1 ~
Vorys, Sater, Seymour and Pease LLP FIRST MERCHANTS CORP FRME S-4 National commercial banks
Wachtell, Lipton, Rosen & Katz CADENCE BANCORP- ORATION ~ S-1 National commercial banks
Wachtell, Lipton, Rosen & Katz PINNACLE FINANCIAL PARTNERS INC PNFP S-4 National commercial banks
Wachtell, Lipton, Rosen and Katz B. RILEY FINANCIAL INC RILY S-4 Services – business services, not elsewhere classified
Weil, Gotshal & Manges LLP NCS MULTISTAGE HOLDINGS INC ~ S-1 Oil & gas field services, not elsewhere classified
Wilmer Cutler Pickering Hale and Dorr LLP EDITAS MEDICINE INC EDIT S-3 Biological products, except diagnostic substances
Wilson Sonsini Goodrich & Rosati P.C. FLUIDIGM CORP FLDM S-3 Laboratory analytical instruments
Wilson Sonsini Goodrich & Rosati, P.C. ON DECK CAPITAL INC ONDK S-3 Finance services
Wilson Sonsini Goodrich & Rosati, P.C. AEHR TEST SYSTEMS AEHR S-3 Instruments for measuring & testing of electricity & electric signals
Wilson Sonsini Goodrich & Rosati, P.C. OKTA INC ~ S-1 Services – prepackaged software
Wilson Sonsini Goodrich & Rosati, P.C. TALEND SA ~ F-1 Services – prepackaged software
Wilson Sonsini Goodrich & Rosati, PC YEXT INC ~ S-1 Services – computer processing & data preparation
Winston & Strawn LLP KAYNE ANDERSON ACQUISITION CORP ~ S-1 Blank checks
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP DARIOHEALTH CORP DRIO S-3 Surgical & medical instruments & apparatus

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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.

Have a great week

IPOs and Transactions: Feb 27 – March 3 / plus “Billion Dollar Questions” for M&A

There were 35 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including American Brivision Holding Corp w/ Kane Kessler PC and Energy XXI Gulf Coast Inc. w/ Vinson & Elkins LLP.

We appreciate that they selected to work with us and benefited from our fast turns, spot-on execution and absolute cost transparency.

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Law firm / advisor Registrant Symbol Form Industry
Baker & McKenzie LLP KELLY SERVICES INC KELYA S-3 Services – help supply services
Baker Botts L.L.P. SELECT ENERGY SERVICES INC ~ S-1 Oil & gas field services
Baker Botts LLP DELEK HOLDCO INC ~ S-4 ~
Barack Ferrazzano Kirschbaum & Nagelberg LLP WEST BANCORP INC WTBA S-3 State commercial banks
Cantabio Pharmaceuticals Inc. CANTABIO PHARMACEUTICALS INC TBD S-1 Management services
Cleary Gottlieb Steen & Hamilton LLP CITIGROUP INC C/PN S-3 National commercial banks
Dechert LLP THL CREDIT SENIOR LOAN 2024 TERM FUND ~ N-2 ~
DLA Piper LLP SEASPINE HOLDINGS CORP SPNE S-3 Surgical & medical instruments & apparatus
Eversheds Sutherland LLP SARATOGA INVESTMENT CORP SAB N-2 Finance services
Foley & Lardner LLP ORION ENERGY SYSTEMS INC OESX S-3 Electric lighting & wiring equipment
Foley Hoag LLP ZOSANO PHARMA CORP ZSAN S-1 Pharma. preparations
Greenberg Traurig, LLP AIT THERAPEUTICS INC ~ S-1 Prepackaged software
Greenberg Traurig, LLP AQUA METALS INC AQMS S-3 Secondary smelting & refining nonferrous metals
Hart & Hart, LLC AMERICANN INC NVHS S-1 Blank checks
Jones Day BABCOCK & WILCOX ENTERPRISES INC BW S-3 Heating equipment
Kane Kessler, P.C. AMERICAN BRIVISION HOLDING CORP NNVC S-3 Commercial physical & biological research
King & Spalding LLP BEAZER HOMES USA INC BZH S-4 Operative builders
Kirkland & Ellis LLP NRG ENERGY, INC. NRG S-4 Electric services
Latham & Watkins LLP GARDNER DENVER HOLDINGS INC ~ S-1 ~
Law Offices of Robert Diener PAY MY TIME LTD ~ S-1 ~
Legal & Compliance, LLC RONCO BRANDS INC ~ 1-A ~
Locke Lord LLP TAMPA ELECTRIC CO TE1 S-3 Electric services
Maslon LLP EL CAPITAN PRECIOUS METALS INC E3L S-1 Metal mining
Mayer Brown LLP HALCON RESOURCES CORP HK S-3 Crude petroleum & natural gas
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. IMMUNOGEN INC IMGN S-3 Pharma. preparations
Morris, Manning & Martin, LLP NEXPOINT CAPITAL INC ~ N-2 ~
Proskauer Rose LLP ZOSANO PHARMA CORP ZSAN S-1 Pharma. preparations
Ropes & Gray LLP NEXPOINT CAPITAL INC ~ N-2 ~
Ropes & Gray LLP STONE RIDGE TRUST III ~ N-2 ~
Sheppard, Mullin, Richter & Hampton LLP MY SIZE INC MYSZ S-3 Electro- medical & electro- therapeutic apparatus
Simpson Thacher & Bartlett LLP GARDNER DENVER HOLDINGS INC ~ S-1 ~
State Agent & Transfer Syndicate, Inc. MIKROCOZE INC ~ S-1 ~
Sullivan & Cromwell LLP FOREST CITY REALTY TRUST INC FCE S-4 REIT
Vinson & Elkins L.L.P. SELECT ENERGY SERVICES INC ~ S-1 Oil & gas field services
Vinson & Elkins L.L.P. SILVER RUN ACQUISITION CORP II ~ S-1 Blank check
Vinson & Elkins L.L.P. ENERGY XXI GULF COAST INC EXXI S-3 Crude petroleum & natural gas
Vinson & Elkins LLP DELEK HOLDCO INC ~ S-4 ~
Vorys, Sater, Seymour and Pease LLP SCOTTS MIRACLE-GRO CO SMG S-4 Agricultural chemicals
Weil, Gotshal & Manges LLP SILVER RUN ACQUISITION CORP II ~ S-1 Blank check
White & Case LLP LIFEPOINT HEALTH INC LPNT S-4 Hospital & medical service plans
Wilmer Cutler Pickering Hale and Dorr LLP EDITAS MEDICINE INC EDIT S-3 Biological products

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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.

Have a great week

 

IPOs and Transactions: Feb 20 – 24 / plus “Billion Dollar Questions” for M&A

There were 25 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Stellus Capital Investment Corp. and Alcentra Capital Corp. w/ Eversheds Sutherland LLP, Bioblast Pharma LTD w/ Haynes and Boone LLP and Zysman, Aharoni, Gayer and Sullivan & Worcester LLP, LeGall Holdings Inc. w/ Cassidy & Associates and Bionik Laboratories Corp. w/ Mazzeo Song PC and Ruskin Moscou Faltischek PC.

We appreciate that they selected to work with us and benefited from our fast turns, spot-on execution and absolute cost transparency.

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Law firm / advisors Registrant Symbol Form Industry
Cassidy & Associates DIVERSE DEVELOPMENT GROUP INC ~ S-1 Blank checks
Cassidy & Associates LEGALL HOLDINGS INC ~ S-1 Blank check
Cleary Gottlieb Steen & Hamilton LLP UNITEDHEALTH GROUP INC UNH S-4 Hospital & medical service plans
Cooley LLP ALTERYX INC S-1 Prepackaged software
Duval & Stachenfeld LLP NY RESIDENTIAL REIT LLC 1-A REITs
Eversheds Sutherland LLP ALCENTRA CAPITAL CORP ABDC N-2 Unit investment trusts, face-amount certificate offices & closed-end management investment offices
Eversheds Sutherland LLP STELLUS CAPITAL INVESTMENT CORP SCM N-2 Unit investment trusts, face-amount certificate offices & closed-end management investment offices
Fenwick & West LLP ALTERYX INC S-1 Prepackaged software
Goodwin Procter LLP LEAF GROUP LTD LFGR S-3 Computer processing & data preparation
Goodwin Procter LLP VIVEVE MEDICAL INC VIVE S-1 Electromedical & electrotherapeutic apparatus
Greenberg Traurig. P.A. BIOTELEMETRY INC BEAT S-3 Surgical & medical instruments & apparatus
Hart & Hart, LLC UNITED CANNABIS CORP MYSK S-1 Health services
Haynes and Boone, LLP BIOBLAST PHARMA LTD ORPN F-1 Pharma preparations
Hogan Lovells US LLP UNITEDHEALTH GROUP INC UNH S-4 Hospital & medical service plans
Hogan Lovells US LLP URANIUM RESOURCES INC URRE S-3 Metal mining
InCorp Services, Inc. ADVECO GROUP INC ~ S-1 ~
InCorp Services, Inc. ANTILIA GROUP CORP ~ S-1 ~
J.P. Galda & Co. CRONA CORP ~ S-1 ~
Latham & Watkins LLP COTIVITI HOLDINGS INC COTV S-1 Business services
Latham & Watkins LLP LANDMARK INFRASTRUCTURE FINANCE CORP LMRK S-3 Investment advice
Mazzeo Song P.C. BIONIK LABORATORIES CORP DWTP S-1 Offices & clinics of doctors of medicine
McDermott Will & Emery LLP MEDIGUS LTD MDGS F-1 Surgical & medical instruments & apparatus
Meitar Liquornik Geva Leshem Tal MEDIGUS LTD MDGS F-1 Surgical & medical instruments & apparatus
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. VIVEVE MEDICAL INC VIVE S-1 Electromedical & electrotherapeutic apparatus
Pearl Cohen Zedek Latzer Baratz LLP ZION OIL & GAS INC ZN S-3 Oil & gas field exploration services
Ruskin Moscou Faltischek, P.C. BIONIK LABORATORIES CORP DWTP S-1 Offices & clinics of doctors of medicine
Venture Law Corporation TRUE LEAF MEDICINE INTERNATIONAL LTD ~ 1-A ~
Wachtell, Lipton, Rosen & Katz ABBOTT LABORATORIES ABT S-4 Pharma preparations
Wall Street Acquisition Corporation WALL STREET ACQUISITIONS CORP ~ 10-12G ~
Weil, Gotshal & Manges LLP COTIVITI HOLDINGS INC COTV S-1 Business services
Wilmer Cutler Pickering Hale and Dorr LLP ACHILLION PHARMACEUTICALS INC ACHN S-3 Pharma preparations
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP BIOBLAST PHARMA LTD ORPN F-1 Pharma preparations
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP MEDIGUS LTD MDGS F-1 Surgical & medical instruments & apparatus

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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.

Have a great week

 

IPOs and Transactions: Feb 13 – 17 / plus “Billion Dollar Questions” M&A whitepaper

There were 41 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Atossa Genetics w/ Gibson, Dunn & Crutcher LLP, Great Basin Scientific Inc. w/ Ellenoff Grossman & Schole LLP and Mitchell Silberberg & Knupp LLP, Medley LLC w/ Fried, Frank, Harris, Shriver & Jacobson LLP and Winston & Strawn LLP and Monster Digital Inc. w/ Manatt, Phelps & Phillips LLP and Reg A+ registration Legion M Entertainment Inc. w/ KHLK LLP.

We appreciate that they selected to work with us and benefited from our fast turns, spot-on execution and absolute cost transparency.

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Law firm / advisor Registrant Symbol Form Industry
ABT Holdings, Inc. ABT HOLDINGS INC ~ 10-12G ~
Allen & Overy LLP EVERETT SPINCO INC ~ 10-12G Computer processing & data preparation
Alston & Bird LLP FS CREDIT REAL ESTATE INCOME TRUST INC ~ S-11 REITs
AXA Equitable Life Insurance Company AXA EQUITABLE LIFE INSURANCE CO ~ S-3 Insurance agents, brokers & service
Baker Botts L.L.P. LIBERTY OILFIELD SERVICES INC ~ S-1 Oil & gas field services, not elsewhere classified
Bart and Associates, LLC NEW AGE BEVERAGES CORP NBEV S-1 Malt beverages
Brilleman Law CODA OCTOPUS GROUP INC CDOC 10-12G Search, detection, navigation, guidance, aeronautical & nautical systems
Cooley LLP ONCOBIOLOGICS INC ONS S-1 Biological products, except diagnostic substances
Corporate Investments Group, Inc. CORPORATE INVESTMENTS GROUP INC ~ 1-A Security brokers, dealers & flotation companies
David Lubin & Associates, PLLC COOL TECHNOLOGIES INC WARM S-1 Educational services
Davis Polk & Wardwell LLP BANK OF N.T. BUTTERFIELD & SON LTD NTB F-1 Commercial banks
Ellenoff Grossman & Schole LLP MATLIN & PARTNERS ACQUISITION CORP ~ S-1 Blank checks
Ellenoff Grossman & Schole LLP GREAT BASIN SCIENTIFIC INC GBSN S-1 Surgical & medical instruments & apparatus
Freshfields Bruckhaus Deringer US LLP MATLIN & PARTNERS ACQUISITION CORP ~ S-1 Blank checks
Fried, Frank, Harris, Shriver & Jacobson LLP MEDLEY LLC MDLQ S-1 Investment advice
Gennari Aronson LLP BOSTON OMAHA CORP ~ S-1 Real estate operators & lessors
Gibson, Dunn & Crutcher LLP EVERETT SPINCO INC ~ 10-12G Computer processing & data preparation
Gibson, Dunn & Crutcher LLP ATOSSA GENETICS INC ATOS S-1 Surgical & medical instruments & apparatus
Goodwin Procter LLP MULESOFT INC ~ S-1 Prepackaged software
Gutierrez Bergman Boulris, PLLC AVRA MEDICAL ROBOTICS INC ~ S-1 ~
Hewlett-Packard Enterprise Company EVERETT SPINCO INC ~ 10-12G Computer processing & data preparation
Honigman Miller Schwartz and Cohn LLP SUNSHINE HEART INC SSH S-1 Electromedical & electrotherapeutic apparatus
Hunter Taubman Fischer & Li LLC CONSUMER CAPITAL GROUP INC CCGN S-1 Wholesale – groceries & related products
John E. Lux, Esq., Attorney at Law ALFACOURSE INC ~ S-1 ~
KHLK LLP LEGION M ENTERTAINMENT INC ~ 1-A Motion picture & video tape production
Kinetic Group Inc. KINETIC GROUP INC ~ S-1 ~
Latham & Watkins LLP CANADA GOOSE HOLDINGS INC ~ F-1 Apparel & other finished products made from fabrics & similar material
Latham & Watkins LLP WEATHERFORD INTERNATIONAL PLC WFT S-3 Oil & gas field machinery & equipment
Latham & Watkins LLP TRADING DESK INC ~ S-1 Computer programming services
Lowenstein Sandler LLP ADGERO BIO-PHARMACEUTICALS HOLDINGS INC ~ S-1 Pharma preparations
Manatt, Phelps & Phillips, LLP MONSTER DIGITAL INC MSDI S-1 Computer storage devices
Matrix Oil Management Corp. ROYALE ENERGY HOLDINGS INC ~ S-4 ~
Messerli & Kramer P.A. ASURE SOFTWARE INC ASUR S-3 Computer integrated systems design
Mitchell Silberberg & Knupp LLP GREAT BASIN SCIENTIFIC INC GBSN S-1 Surgical & medical instruments & apparatus
Nelson Mullins Riley & Scarborough LLP FIRST BANCORP FBNC S-3 State commercial banks
Ortoli Rosenstadt LLP CONSUMER CAPITAL GROUP INC CCGN S-1 Wholesale – groceries & related products
Osler, Hoskin & Harcourt LLP CANADA GOOSE HOLDINGS INC ~ F-1 Apparel & other finished products made from fabrics & similar material
Pacific Continental Corporation COLUMBIA BANKING SYSTEM INC COLB S-4 State commercial banks
Paul Hastings LLP VIKING THERAPEUTICS INC VKTX S-3 Pharma preparations
Pillsbury Winthrop Shaw Pittman LLP COLUMBIA BANKING SYSTEM INC COLB S-4 State commercial banks
Porter Hedges LLP ROYALE ENERGY HOLDINGS INC ~ S-4 ~
Pubco Advisory Service ARTIN CONSULTING INC ~ S-1 ~
Reed Smith LLP NEW AGE BEVERAGES CORP NBEV S-1 Malt beverages
Rogers & Hardin LLP REGIONAL HEALTH PROPERTIESINC ~ S-4 ~
Ropes & Gray LLP CANADA GOOSE HOLDINGS INC ~ F-1 Apparel & other finished products made from fabrics & similar material
Securities Compliance Group AMERICAN GAS & TECHNOLOGY LP ~ 1-A ~
Steele Oceanic Corporation STEELE OCEANIC CORP SELR 10-12G Phonograph records & prerecorded audio tapes & discs
Stem Holdings, Inc. STEM HOLDINGS INC ~ 10-12G ~
Stikeman Elliott LLP CANADA GOOSE HOLDINGS INC ~ F-1 Apparel & other finished products made from fabrics & similar material
Strasburger & Price, LLP ROYALE ENERGY HOLDINGS INC ~ S-4 ~
Sullivan & Cromwell LLP BANK OF N.T. BUTTERFIELD & SON LTD NTB F-1 Commercial banks
Sullivan & Cromwell LLP COLUMBIA BANKING SYSTEM INC COLB S-4 State commercial banks
Thompson Hine LLP ALPHACENTRIC PRIME MERIDIAN INCOME FUND ~ N-2 ~
Vinson & Elkins L.L.P. VANTAGE ENERGY ACQUISITION CORP ~ S-1 ~
Vinson & Elkins L.L.P. LIBERTY OILFIELD SERVICES INC ~ S-1 Oil & gas field services
Weil, Gotshal & Manges LLP VANTAGE ENERGY ACQUISITION CORP ~ S-1 ~
Wilson Sonsini Goodrich & Rosati PC TRADING DESK INC ~ S-1 Computer programming services
Wilson Sonsini Goodrich & Rosati, P.C. MULESOFT INC ~ S-1 Prepackaged software
Winston & Strawn LLP MEDLEY LLC MDLQ S-1 Investment advice

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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.

Have a great week

 

IPOs and Transactions: Feb 6 – 10 / plus 2016’s top law firms

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 XG Technology Inc. w/ Robinson Brog Leinwand Greene Genovese & Gluck P.C. and XCEL Brands Inc. w/ Blank Rome LLP.

We appreciate that they selected to work with us and benefited from our fast-turns and spot-on execution.

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Law firm / advisor Registrant Symbol Form Industry
Alston & Bird LLP ADVAXIS INC ADXS S-3 Pharma. preparations
Bioptix, Inc. BIOPTIX INC BIOP S-3 In vitro & in vivo diagnostic substances
Blank Rome LLP XCEL BRANDS INC XELB S-3 Services – business services
Brownstein Hyatt Farber Schreck, LLP REAL GOODS SOLAR INC RGSE S-3 Special trade contractors
Crowell & Moring LLP NOVUME SOLUTIONS INC ~ S-4 ~
Debevoise & Plimpton LLP ATKORE INTERNATIONAL GROUP INC ATKR S-1 Misc. electrical machinery, equipment & supplies
DLA Piper LLP MAST THERAPEUTICS INC MSTX S-4 Pharma. preparations
Gibson, Dunn & Crutcher LLP NOODLES & CO NDLS S-1 Eating places
Hogan Lovells US LLP 21ST CENTURY FOX AMERICA INC FOX S-4 Newspapers: publishing or publishing & printing
Jones Day FTS INTERNATIONAL INC ~ S-1 Oil & gas field services
Latham & Watkins LLP ATKORE INTERNATIONAL GROUP INC ATKR S-1 Misc. electrical machinery, equipment & supplies
Latham & Watkins LLP ENERGY TRANSFER EQUITY L.P. ETE S-3 Natural gas transmission
Latham & Watkins LLP FDO HOLDINGS INC ~ S-1 Lumber & other building materials dealers
Latham & Watkins LLP JILL INTERMEDIATE LLC ~ S-1 Women’s, misses’, & juniors outerwear
Latham & Watkins LLP PROPETRO HOLDING CORP ~ S-1 Oil & gas field services
McGuireWoods LLP CNX COAL RESOURCES LP CNXC S-3 Bituminous coal & lignite surface mining
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. CATASYS INC CATS S-1 Services – miscellaneous health & allied services
Nason, Yeager, Gerson, White & Lioce, P.A. TIMEFIREVR INC BDLF S-1 Crude petroleum & natural gas
Olshan Frome Wolosky LLP AMERI HOLDINGS INC SPAZ S-1 Semiconductors & related devices
Paul, Weiss, Rifkind, Wharton & Garrison LLP JILL INTERMEDIATE LLC ~ S-1 Women’s, misses’, & juniors outerwear
Proskauer Rose LLP FDO HOLDINGS INC ~ S-1 Lumber & other building materials dealers
Robinson Brog Leinwand Greene Genovese & Gluck P.C. GLYECO INC GLYE S-1 Miscellaneous chemical products
Robinson Brog Leinwand Greene Genovese & Gluck P.C. XG TECHNOLOGY INC XGTI S-3 Communications
Shearman & Sterling LLP FTS INTERNATIONAL INC ~ S-1 Oil & gas field services
Sichenzia Ross Ference Kesner NOVUME SOLUTIONS INC ~ S-4 ~
Sichenzia Ross Ference Kesner LLP HEALTHLYNKED CORP ~ S-1 Offices & clinics of doctors of medicine
Sichenzia Ross Ference Kesner LLP MABVAX THERAPEUTICS HOLDINGS INC MBVX S-1 Pharma. preparations
Sichenzia Ross Ference Kesner LLP MARATHON PATENT GROUP INC MARA S-1 Patent owners & lessors
Sidley Austin LLP PROSHARES SHORT EURO AGQ S-1 Commodity contracts brokers & dealers
Sidley Austin LLP PROSHARES SHORT EURO AGQ S-1 Commodity contracts brokers & dealers
State Agent & Transfer Syndicate, Inc. HICLASST INC ~ S-1 ~
Sullivan & Cromwell LLP EASTMAN KODAK CO KODK S-3 Photographic equipment & supplies
Vinson & Elkins L.L.P. PROPETRO HOLDING CORP ~ S-1 Oil & gas field services
Vinson & Elkins LLP GOODRICH PETROLEUM CORP GDP S-1 Crude petroleum & natural gas
White & Case LLP NOODLES & CO NDLS S-1 Eating places
Wilson Sonsini Goodrich & Rosati, PC MAST THERAPEUTICS INC MSTX S-4 Pharma. preparations

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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.

Have a great week

 

IPOs and Transactions: Jan 30 – Feb 3 / plus whitepaper: “Improving SEC disclosure”

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 Pharmathene Inc. w/ Dentons US and Proskauer Rose LLP, Eastside Distilling Inc. w/ Dickinson Wright PLLC and Summit Law Group PLLC and Acura Pharmaceuticals Inc. w/ LeClairRyan.

We appreciate that they selected to work with us and benefited from our fast-turns and spot-on execution.

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Law firm / advisor Registrant Symbol Form Industry
Andrews Kurth LLP SABINE PASS LIQUEFACTION LLC ~ S-4 Natural gas distribution
Baker Botts L.L.P. ENSCO PLC ESV S-4 Drilling oil & gas wells
Breyer & Associates PC FS BANCORP INC FSBW S-3 Savings institutions, not federally chartered
Cheval Resources Corporation CHEVAL RESOURCES CORP ~ S-1 Blank check
Cooley LLP SNAP INC ~ S-1 Computer programming, data process
Davis Polk & Wardwell LLP HAMILTON LANE INC ~ S-1 Investment advice
Debevoise & Plimpton LLP GMS INC GMS S-1 Lumber & other construction materials
Dentons US LLP PHARMATHENE INC PIP S-4 Pharma preparations
Dickinson Wright PLLC EASTSIDE DISTILLING INC ESDI S-1 Advertising
Disclosure Law Group, PC INNOVUS PHARMACEUTICALS INC INNV S-1 Pharma preparations
Drinker Biddle & Reath LLP HAMILTON LANE INC ~ S-1 Investment advice
Fenwick & West LLP CASTLIGHT HEALTH INC CSLT S-4 Computer processing & data preparation
Fried, Frank, Harris, Shriver & Jacobson LLP GMS INC GMS S-1 Lumber & other construction materials
Goodwin Procter LLP SNAP INC ~ S-1 Computer programming, data process
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP CASTLIGHT HEALTH INC CSLT S-4 Computer processing & data preparation
Hart & Hart, LLC DIAMOND CARTEL INC ~ S-1 ~
Haynes and Boone, LLP CHEMBIO DIAGNOSTICS INC CEMI S-3 Pharma preparations
Jones & Keller, P.C. FEEL THE WORLD INC ~ 1-A Rubber & plastics footwear
Kutak Rock LLP US ENERGY CORP USEG S-3 Metal mining
Latham & Watkins LLP VIEWRAY INC MRXC S-3 Retail
LeClairRyan ACURA PHARMACEUTICALS INC ACUR S-1 Pharma preparations
Morgan, Lewis & Bockius LLP SPECIAL DIVERSIFIED OPPORTUNITIES INC SDOI S-4 Miscellaneous chemical products
Norcor Technologies Corp. NORCOR TECHNOLOGIES CORP NCRT 10-12G Construction-special trade contractors
Proskauer Rose LLP PHARMATHENE INC PIP S-4 Pharma preparations
Sichenzia Ross Ference Kesner LLP INNOVUS PHARMACEUTICALS INC INNV S-1 Pharma preparations
Sichenzia Ross Ference Kesner LLP POLARITYTE INC COOL S-1 Prepackaged software
Summit Law Group, PLLC EASTSIDE DISTILLING INC ESDI S-1 Advertising
Trombly Business Law, P.C PRECISION OPTICS CORPORATION INC PEYE S-1 Electromedical & electrotherapeutic apparatus
Vinson & Elkins L.L.P. BLACK STONE MINERALS L.P. BSM S-3 Crude petroleum & natural gas
Vinson & Elkins L.L.P. EZCORP INC EZPW S-3 Retail
Weintraub Tobin Chediak Coleman Grodin, L.C. DIGITAL POWER CORP DPW S-3 Electronic components
Weintraub Tobin Chediak Coleman Grodin, Law Corp. DIGITAL POWER CORP DPW S-3 Electronic components
Wilson Sonsini Goodrich & Rosati, PC CAPNIA INC CAPN S-1 Electromedical & electrotherapeutic apparatus
Wilson Sonsini Goodrich & Rosati, PC TEARLAB CORP TEAR S-3 Surgical & medical instruments & apparatus
Zipmesh, Inc. ZIPMESH INC ~ 1-A ~

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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.

Have a great week

IPOs and Transactions: Jan 23 – 27 / plus whitepaper: improving SEC disclosure

There were 45 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including WPCS International Inc. w/ K&L Gates LLP, Dipexium Pharmaceuticals Inc. w/ Jackson Walker LLP and Mintz, Levin, Cohn, Ferris, Glovsky and Popeo PC, Yatra Online Inc. w/ Goodwin Procter LLP and RegA+ registration Groundfloor Real Estate 1 LLC w/ Robbins Ross Alloy Belinfante Littlefield LLC and Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan LLP.

We appreciate that they selected to work with us and benefited from our fast-turns and spot-on execution.

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Law firm / advisor Registrant Symbol Form Industry
Baker Botts L.L.P. ENABLE MIDSTREAM PARTNERS LP ENBL S-3 Natural gas transmission
Bernstein Shur, Sawyer & Nelson PEACHTREE ALTERNATIVE STRATEGIES FUND ~ N-2 ~
Broadcast 3DTV, Inc. BROADCAST 3DTV INC ~ 1-A Radio & television broadcasting & comms equipment
Disclosure Law Group, PC VISTAGEN THERAPEUTICS INC VTGN S-3 Pharma preparations
Dorsey & Whitney LLP CHS INC CHSCM S-1 Wholesale – farm product raw materials
Durham Jones & Pinegar, P.C. DYNATRONICS CORP DYNT S-3 Electromedical & electro-therapeutic apparatus
Ellenoff Grossman & Schole LLP ITUS CORP ITUS S-1 Computer peripheral equipment
Fried, Frank, Harris, Shriver & Jacobson LLP GOLDMAN SACHS MIDDLE MARKET LENDING LLC ~ 10-12G ~
Golenbock Eiseman Assor Bell & Peskoe, LLP IMPRIMIS PHARMA-CEUTICALS INC IMMY S-3 Pharma preparations
Goodwin Procter LLP YATRA ONLINE INC YTRA F-1 Transportation services
Greenberg Traurig, LLP RMG NETWORKS HOLDING CORP RMGN S-3 Business services, not elsewhere classified
Haynes and Boone, LLP INSPIREMD INC NSPR S-1 Surgical & medical instruments & apparatus
Hunton & Williams LLP FIRST INTERSTATE BANCSYSTEM INC FIBK S-4 State commercial banks
J.P. Galda & Co. ALGAE DYNAMICS CORP ~ S-1 Medicinal chemicals & botanical products
Jackson Walker L.L.P. DIPEXIUM PHARMA-CEUTICALS INC DPRX S-4 Pharma preparations
JBG SMITH Properties JBG SMITH PROPERTIES ~ 10-12B ~
K&L Gates LLP WPCS INTERNATIONAL INC WPCS S-3 Comms services
Korth Direct Mortgage LLC KORTH DIRECT MORTGAGE LLC ~ S-1 ~
Lane & Waterman LLP LEE ENTERPRISES INC LEE S-3 Newspapers
Latham & Watkins LLP HOULIHAN LOKEY INC HLI S-3 Investment advice
Loeb & Loeb LLP SMITH MICRO SOFTWARE INC SMSI S-3 Prepackaged software
Lowenstein Sandler LLP CELLDEX THERAPEUTICS INC CLDX S-3 In vitro & in vivo diagnostic substances
Lu Thuan Van LU THUAN VAN ~ 1-A ~
Lucosky Brookman LLP DUOS TECHNOLOGIES GROUP INC IOSA S-1 Prepackaged software
Luse Gorman, PC FIRST INTERSTATE BANCSYSTEM INC FIBK S-4 State commercial banks
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo P.C. DIPEXIUM PHARMA-CEUTICALS INC DPRX S-4 Pharma preparations
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. NEUROMETRIX INC NURO S-3 Surgical & medical instruments & apparatus
Mobodexter Inc. MOBODEXTER INC ~ 1-A ~
Northwest Trout Farms, Inc. NORTHWEST TROUT FARMS INC ~ 1-A ~
O’Neal Law Office DIAMANTE MINERALS INC OCOO S-1 Mining & quarrying nonmetallic minerals
Paul Hastings LLP CONSOLIDATED COMMUNICATIONS HOLDINGS INC CNSL S-4 Telephone comms
Pearlman Law Group LLP SOCIAL REALITY INC SRAX S-3 Advertising agencies
Robbins Ross Alloy Belinfante Littlefield LLC GROUNDFLOOR REAL ESTATE 1 LLC ~ 1-A ~
Ropes & Gray LLP NEXPOINT CREDIT STRATEGIES FUND NHF N-2 Finance services
Satterlee Stephens LLP RENOVACARE INC RCAR S-1 Oil & gas field exploration services
Schiff Hardin LLP CONSOLIDATED COMMUNICATIONS HOLDINGS INC CNSL S-4 Telephone comms
Schiff Hardin LLP INSPIREMD INC NSPR S-1 Surgical & medical instruments & apparatus
Schwell Wimpfheimer & Associates STRAIGHT PATH COMMUNICATIONS INC STRP S-3 Radiotelephone comms
SD Mitchell & Associates, PLC ECO SCIENCE SOLUTIONS INC ESSI S-1 Retail
Sheppard, Mullin, Richter & Hampton LLP DUOS TECHNOLOGIES GROUP INC IOSA S-1 Prepackaged software
Sichenzia Ross Ference Kesner LLP ORBITAL TRACKING CORP SILV S-1 Telephone comms
Simpson Thacher & Bartlett LLP FIRST HAWAIIAN INC FHB S-1 Finance services
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, LLP GROUNDFLOOR REAL ESTATE 1 LLC ~ 1-A ~
Snell & Wilmer L.L.P. CRYOPORT INC CYRX S-3 Plastics foam products
StepOne Personal Health, Inc. STEPONE PERSONAL HEALTH INC ~ 1-A Computer processing & data preparation
Sullivan & Cromwell LLP FIRST HAWAIIAN INC FHB S-1 Finance services
Sutherland Asbill & Brennan LLP GOLDMAN SACHS MIDDLE MARKET LENDING LLC ~ 10-12G ~
Sutherland Asbill & Brennan LLP OGLETHORPE POWER CORP ~ S-3 Electric services
Tool Floor, Inc. TOOL FLOOR INC ~ 1-A ~
Vinson & Elkins L.L.P. CONTANGO OIL & GAS CO 5CE;MCF S-3 Crude petroleum & natural gas
Vinson & Elkins LLP PATTERSON UTI ENERGY INC PTEN S-4 Drilling oil & gas wells
Wachtell, Lipton, Rosen & Katz PATTERSON UTI ENERGY INC PTEN S-4 Drilling oil & gas wells
Willkie Farr & Gallagher LLP GOLDMAN SACHS MIDDLE MARKET LENDING LLC ~ 10-12G ~
Willliams Law Firm, P.A. BIOLARGO INC BLGO S-1 Chemicals & allied products
Wilson & Oskam, LLP BIOLARGO INC BLGO S-1 Chemicals & allied products

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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.

Have a great week

 

IPOs and Transactions: Jan 16 – 20 / plus “SEC Reporting & Filing in the Trump Administration” webinar

There were 39 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week. We appreciate that they selected to work with us and benefited from our fast-turns and spot-on execution.

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Law firms / advisors Registrant Symbol Form Industry
ABCO Energy, Inc. ABCO ENERGY INC ABCE S-1 Construction-special trade contractors
Andrews Kurth Kenyon LLP INDEPENDENT BANK GROUP INC IBTX S-4 State commercial banks
Axelrod, Smith & Kirshbaum TORCHLIGHT ENERGY RESOURCES INC TRCH S-1 Crude petroleum & natural gas
Baker, Donelson, Bearman, Caldwell & Berkowitz, PC SIMMONS FIRST NATIONAL CORP SFNC S-4 National commercial banks
Bracewell LLP ALLEGIANCE BANCSHARES INC ABTX S-3 State commercial banks
Cassidy & Associates, Attorneys at Law BUSH SOUND ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law ECHO SOUND ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law FOREST SOUND ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law PARK SOUND ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law RAIN SOUND ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law ROUGH SOUND ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law STILL SOUND ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law THICKET SOUND ACQUISITION CORP ~ 10-12G ~
Cassidy & Associates, Attorneys at Law TIMBER SOUND ACQUISITION CORP ~ 10-12G ~
Cleary Gottlieb Steen & Hamilton LLP ALCOA CORP AA S-1 Aluminium rolling & drawing
Covington & Burling LLP SIMMONS FIRST NATIONAL CORP SFNC S-4 National commercial banks
Cravath, Swaine & Moore LLP ALCOA CORP AA S-1 Aluminium rolling & drawing
Davis Polk & Wardwell LLP BITCOIN INVESTMENT TRUST ~ S-1 Commodity contracts brokers & dealers
Dorsey & Whitney LLP CACHET FINANCIAL SOLUTIONS INC CAFN S-1 Blank checks
Dorsey & Whitney LLP CESCA THERAPEUTICS INC KOOL S-3 Laboratory apparatus & furniture
Fenimore, Kay, Harrison & Ford, LLP INDEPENDENT BANK GROUP INC IBTX S-4 State commercial banks
Fenimore, Kay, Harrison & Ford, LLP VERITEX HOLDINGS INC VBTX S-4 State commercial banks
Fredrikson & Byron, P.A. CACHET FINANCIAL SOLUTIONS INC CAFN S-1 Blank checks
Gunster, Yoakley & Stewart, PA CENTERSTATE BANKS INC CSFL S-4 National commercial banks
Haynie Rake Repass & Klimko, P.C. INDEPENDENT BANK GROUP INC IBTX S-4 State commercial banks
Hogan Lovells US LLP BIOVIE INC NNAB S-1 Pharmaceutical preparations
Holland & Knight LLP PACIFIC PREMIER BANCORP INC PPBI S-4 Savings institutions, federally chartered
K&L Gates LLP ENER-CORE INC ENCR S-1 Miscellaneous chemical products
Kirkland & Ellis LLP MIDSTATES PETROLEUM COMPANY INC MPO S-1 Crude petroleum & natural gas
Latham & Watkins LLP CENTENNIAL RESOURCE DEVELOPMENT INC SRAQ S-1 Crude petroleum & natural gas
Lindquist & Vennum LLP WINNEBAGO INDUSTRIES INC WGO S-3 Motor homes
Macdonald Tuskey Corporate & Securities Lawyers XPLOSION INC ~ S-1 ~
Manatt, Phelps & Phillips, LLP PACIFIC PREMIER BANCORP INC PPBI S-4 Savings institutions, federally chartered
Milbank, Tweed, Hadley & McCloy LLP MGM GROWTH PROPERTIES OPERATING PARTNERSHIP LP ~ S-4 ~
Nemus Bioscience, Inc. NEMUS BIOSCIENCE INC NMUS S-1 Trucking, except local
Norton Rose Fulbright US LLP EQUITY BANCSHARES INC EQBK S-3 State commercial banks
Norton Rose Fulbright US LLP VERITEX HOLDINGS INC VBTX S-4 State commercial banks
Paul A. Rachmuth, Esq. ALTAVOZ ENTERTAINMENT INC ~ S-1 ~
Ropes & Gray LLP AGENUS INC AGEN S-3 Biological products
Ropes & Gray LLP PIMCO CORPORATE & INCOME OPPORTUNITY FUND PTY N-2 Unit investment trusts
Ropes & Gray LLP PIMCO DYNAMIC INCOME FUND PDI N-2 Investment advice
Smith Mackinnon, PA CENTERSTATE BANKS INC CSFL S-4 National commercial banks
Squire Patton Boggs LLP AMTECH SYSTEMS INC ASYS S-3 Special industry machinery
Steele Oceanic Corp. STEELE RESOURCES CORP SELR 10-12B Phonograph records & prerecorded audio tapes & discs
Sutherland Asbill & Brennan LLP SARATOGA INVESTMENT CORP SAB N-2 Finance services
Wilson Sonsini Goodrich & Rosati, P.C. TRUECAR INC TRUE S-3 Services – computer processing & data preparation
Womble Carlyle Sandridge & Rice, LLP ATLANTIC CAPITAL BANCSHARES INC ACBI S-3 State commercial banks

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IPOs and Transactions: Jan 9 – 13 / plus Reg A+ Form 1-A Worksheet

There were 21 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Avenue Therapeutics Inc. and Inspyr Therapeutics Inc. w/ Silvestre Law Group, PC.

We appreciate that they selected to work with us and benefited from our fast-turns and spot-on execution.

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Law firm / advisor Registrant Symbol Form Industry
Avenue Therapeutics, Inc. AVENUE THERAPEUTICS INC 10-12G Pharma preparations
Baker Botts L.L.P. FOUNDATION BUILDING MATERIALS INC ~ S-1 Wholesale – lumber & other construction materials
Booth Udall Fuller, PLC RONN MOTOR GROUP INC ~ 1-A ~
Debevoise & Plimpton LLP US FOODS HOLDING CORP USFD S-1 Retail – Misc. food stores
Gibson, Dunn & Crutcher LLP FOUNDATION BUILDING MATERIALS INC ~ S-1 Wholesale – lumber & other construction materials
Goodwin Procter LLP CONFORMIS INC CFMS S-3 Orthopedic, prosthetic & surgical appliances & supplies
Jenner & Block LLP US FOODS HOLDING CORP USFD S-1 Retail – Misc. food stores
Kramer Levin Naftalis & Frankel LLP GENER8 MARITIME INC GNRT S-3 Deep sea foreign transportation of freight
Latham & Watkins LLP SMART SAND INC SND S-1 Mining & quarrying nonmetallic minerals
Law Offices of Aaron A. Grunfeld & Associates SECOND SIGHT MEDICAL PRODUCTS INC EYES S-1 Wholesale – medical, dental & hospital equipment & supplies
Lindquist & Vennum LLP QUMU CORP QUMU S-3 Computer peripheral equipment
Littman Krooks LLP STEEL PARTNERS HOLDINGS L.P. SPLP S-4 Misc. primary metal products
Olshan Frome Wolosky LLP STEEL PARTNERS HOLDINGS L.P. SPLP S-4 Misc. primary metal products
Patterson Belknap Webb & Tyler LLP FUELCELL ENERGY INC FCEL S-3 Misc. electrical machinery, equipment & supplies
Paul, Weiss, Rifkind, Wharton & Garrison LLP EP ENERGY CORP EPE S-3 Crude petroleum & natural gas
Richardson & Associates WYTEC INTERNATIONAL INC ~ S-1 ~
Robinson & Cole LLP FUELCELL ENERGY INC FCEL S-3 Misc. electrical machinery, equipment & supplies
Ruder Ware, L.L.S.C. STRATFORD BANCSHARES INC ~ 1-A ~
Silvestre Law Group, P.C. INSPYR THERAPEUTICS INC GNSZ S-1 Pharma preparations
Simpson Thacher & Bartlett LLP US FOODS HOLDING CORP USFD S-1 Retail – Misc. food stores
Skadden, Arps, Slate, Meagher & Flom LLP GREAT ELM CAPITAL GROUP INC GEC S-3 Prepackaged software
V Financial Group., LLC GLOBAL BRIDGE CAPITAL INC ~ S-1 ~
Vinson & Elkins L.L.P. DOMINION MIDSTREAM PARTNERS LP DM S-3 Oil & gas field services
Vinson & Elkins L.L.P. EXTRACTION OIL & GAS INC XOG S-1 Crude petroleum & natural gas
Vinson & Elkins L.L.P. SMART SAND INC SND S-1 Mining & quarrying nonmetallic minerals
Wilmer Cutler Pickering Hale and Dorr LLP ARGOS THERAPEUTICS INC ARGS S-3 Pharma preparations
Zysman Aharoni Gayer and Sullivan & Worcester LLP ORAMED PHARMACEUTICALS INC ORMP S-3 Pharma preparations

Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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.

Have a great week