Category Archives: IPO week in review

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

IPOs and Transactions: Jan 2 – 6 / plus XBRL state-of-the-state whitepaper

There were 29 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including BioStage Inc. w/ Burns & Levinson LLP and Ellenoff Grossman & Schole LLP, Blue Marble Energy Corp. w/ KHLK LLP and Wilson Sonsini Goodrich & Rosati and Fifth Street Asset Management Inc. w/ Proskauer Rose 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 firms / advisor Registrant Symbol Form Industry
Andrews Kurth Kenyon LLP CHENIERE CORPUS CHRISTI HOLDINGS LLC ~ S-4
Baker Botts L.L.P. KIMBELL ROYALTY PARTNERS LP ~ S-1 Crude petroleum & natural gas
Becker & Poliakoff LLP DLH HOLDINGS CORP DLHC S-3 Help supply services
Burns & Levinson LLP BIOSTAGE INC BSTG S-1 Biological products
Business Filings Inc. ARCOM ~ S-1 ~
Certilman Balin Adler & Hyman, LLP KINGSTONE COMPANIES INC KINS S-3 Insurance agents, brokers & service
Cooley LLP AQUINOX PHARMACEUTICALS INC AQXP S-3 Pharma preparations
DLA Piper LLP COHU INC COHU S-3 Instruments for measuring & testing of electricity & electric signals
Duane Morris LLP MYOMO INC ~ 1-A Orthopedic, prosthetic & surgical appliances & supplies
Eilers Law Group, P.A. ENTRANET INC ~ S-1 Wholesale – computers & peripheral equipment & software
Ellenoff Grossman & Schole LLP BIOSTAGE INC BSTG S-1 Biological products
Fifth Street Asset Management Inc. FIFTH STREET ASSET MANAGEMENT INC FSAM S-3 Investment advice
Gold Entertainment Group, Inc. GOLD ENTERTAINMENT GROUP INC GEGP 10-12G Non-operating establishments
Goodwin Procter LLP BIOAMBER INC BIOA S-3 Industrial organic chemicals
Goodwin Procter LLP FATE THERAPEUTICS INC FATE S-3 Biological products
Goodwin Procter LLP INVITATION HOMES INC ~ S-11 Real estate operators & lessors
Goodwin Procter LLP MYOKARDIA INC MYOK S-3 Pharma preparations
Hogan Lovells US LLP CNB FINANCIAL CORP/PA CCNE S-3 State commercial banks
J.M. Walker & Associates ALCOA GREENTECH INC ~ 1-A ~
KHLK LLP BLUE MARBLE ENERGY CORP ~ 1-A Commercial physical & biological research
Kramer Levin Naftalis & Frankel LLP GENCO SHIPPING & TRADING LTD GNK S-3 Deep sea foreign transportation of freight
Latham & Watkins LLP KIMBELL ROYALTY PARTNERS LP ~ S-1 Crude petroleum & natural gas
Legal & Compliance, LLC IEG HOLDINGS CORP IEGH S-4 Wholesale – motor vehicle supplies & new parts
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. WAVE LIFE SCIENCES LTD WVE S-3 Pharma preparations
Norton Rose Fulbright US LLP CAPITAL SENIOR LIVING CORP CSU S-3 Nursing & personal care facilities
O’Melveny & Myers LLP PROGENICS PHARMACEUTICALS INC PGNX S-3 Pharmaceutical preparations
Orrick, Herrington & Sutcliffe LLP PACIFIC GAS & ELECTRIC COMPANY PCG S-3 Electric & other services combined
Orrick, Herrington & Sutcliffe LLP PG&E CORP PCG S-3 Electric & other services combined
Proskauer Rose LLP FIFTH STREET ASSET MANAGEMENT INC FSAM S-3 Investment advice
Shearman & Sterling LLP ADVANCEPIERRE FOODS HOLDINGS INC APFH S-1 Food preparations
Simpson Thacher & Bartlett LLP INVITATION HOMES INC ~ S-11 Real estate operators & lessors
Skadden, Arps, Slate, Meagher & Flom LLP ADVANCEPIERRE FOODS HOLDINGS INC APFH S-1 Food preparations
Stubbs Alderton & Markiles, LLP CLEAN DIESEL TECHNOLOGIES INC CDTI S-3 Industrial & commercial fans & blowers & air purification equipment
Uranium Energy Corp. URANIUM ENERGY CORP UEC S-3 Misc. metal ores
Wilson Sonsini Goodrich & Rosati BLUE MARBLE ENERGY CORP ~ 1-A Commercial physical & biological research

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: Dec 26 – 30 / plus 2017 EDGAR filing 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 22nd Century Group Inc. w/ Foley & Lardner LLP, Rise Companies Corp. w/ Goodwin Procter LLP and Novavax Inc. w/ Ropes & Gray 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
Alston & Bird LLP MOODY NATIONAL REIT II INC ~ S-4 REITs
AXA Equitable Life Insurance Co. AXA EQUITABLE LIFE INSURANCE CO ~ S-3 Insurance agents, brokers & service
Axovant Sciences, Inc. AXOVANT SCIENCES LTD AXON S-3 Pharma preparations
BlackStar Enterprise Group, Inc. BLACKSTAR ENERGY GROUP INC BEGI 10-12G Educational services
Cassidy & Associates DOERS EDUCATION ASEAN LTD ~ S-1 Blank checks
Cooley LLP AXOVANT SCIENCES LTD AXON S-3 Pharma preparations
Cooley LLP IMMUNOCELLULAR THERAPEUTICS LTD IMUC S-1 Pharma preparations
Cooley LLP OBSEVA SA ` F-1 Pharma preparations
Davis Polk & Wardwell LLP BRAEBURN PHARMACEUTICALS INC ~ S-1 Pharma preparations
Davis Polk & Wardwell LLP JOUNCE THERAPEUTICS INC ~ S-1 Biological products
Dechert LLP FS INVESTMENT CORP III ~ N-2 ~
Dechert LLP VANECK COASTLAND ONLINE CONSUMER FINANCE FUND ~ N-2 ~
Dentons US LLP MYND ANALYTICS INC CNSO S-1 Misc. health & allied services
Ellenoff Grossman & Schole LLP IMMUNOCELLULAR THERAPEUTICS LTD IMUC S-1 Pharma preparations
Foley & Lardner LLP 22ND CENTURY GROUP INC XXII S-3 Cigarettes
Goodwin Procter LLP APPDYNAMICS INC ~ S-1 Prepackaged software
Goodwin Procter LLP BRAEBURN PHARMACEUTICALS INC ~ S-1 Pharma preparations
Goodwin Procter LLP JOUNCE THERAPEUTICS INC ~ S-1 Biological products
Goodwin Procter LLP RISE COMPANIES CORP ~ 1-A REITs
Greenberg Traurig, LLP PROFESSIONAL DIVERSITY NETWORK INC IPDN S-1 Computer programming services
Hunton & Williams LLP ARLINGTON ASSET INVESTMENT CORP AI S-3 REITs
Kirkland & Ellis LLP RAMACO RESOURCES INC ~ S-1 Bituminous coal & lignite mining
Latham & Watkins LLP CYTORI THERAPEUTICS INC CYTX S-1 Surgical & medical instruments & apparatus
Latham & Watkins LLP OBSEVA SA ~ F-1 Pharma preparations
Manatt, Phelps & Phillips, LLP PINGTAN MARINE ENTERPRISE LTD PME S-3 Blank checks
Norton Rose Fulbright US LLP EQUITY BANCSHARES INC EQBK S-4 State commercial banks
Reed Smith LLP ENTERPRISE FINANCIAL SERVICES CORP EFSC S-3 State commercial banks
Ropes & Gray LLP NOVAVAX INC NVAX S-3 Biological products
Schiff Hardin LLP BIOSTAR PHARMACEUTICALS INC BSPM S-3 Pharma preparations
Sichenzia Ross Ference Kesner LLP DATARAM CORP DRAM S-4 Computer storage devices
Stinson Leonard Street LLP EQUITY BANCSHARES INC EQBK S-4 State commercial banks
Venable LLP MOODY NATIONAL REIT II INC ~ S-4 REITs
Vinson & Elkins L.L.P. MOODY NATIONAL REIT II INC ~ S-4 REITs
Vinson & Elkins L.L.P. RAMACO RESOURCES INC ~ S-1 Bituminous coal & lignite mining
Vorys, Sater, Seymour and Pease LLP SCOTTS MIRACLE-GRO CO SMG S-4 Agricultural chemicals
Williams Securities Law Firm, P.A. TMPOS INC ~ 1-A ~
Willkie Farr & Gallagher LLP RYERSON HOLDING CORP RYI S-3 Wholesale – metals service centers & offices
Wilson Sonsini Goodrich & Rosati PC APPDYNAMICS INC ~ S-1 Prepackaged software

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: 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

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: Dec 12 – 16 / plus proxy 2017 planning

There were 46 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including The Keyw Holding Corp. w/ Holland & Knight LLP and First Bancshares Inc. w/ Jones Walker 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
Akerman LLP COGINT INC COGT S-3 Services – advertising
Allianz Life Insurance Company of North America ALLIANZ LIFE INSURANCE CO OF NEW YORK ~ S-1 Life insurance
Allianz Life Insurance Company of North America ALLIANZ LIFE INSURANCE CO OF NORTH AMERICA ~ S-1 Life insurance
Andrews Kurth Kenyon LLP CONE MIDSTREAM PARTNERS LP CNNX S-3 Natural gas transmission
Andrews Kurth Kenyon LLP INDEPENDENT BANK GROUP INC IBTX S-3 State commercial banks
Andrews Kurth Kenyon LLP IES HOLDINGS INC IESC S-3 Electrical work
Arnold & Porter LLP EPR PROPERTIES EPR S-4 REIT
Brunson Chandler, & Jones, PLLC APPIPHANY TECHNOLOGIES HOLDINGS CORP APHD S-1 Computer programming services
Bryan Cave LLP NICOLET BANKSHARES INC NCBS S-4 Commercial banks
Business Filings Inc. FERD CORP ~ S-1 ~
Bybel Rutledge LLP STANDARD FINANCIAL CORP STND S-4 State commercial banks
Cahill Gordon & Reindel LLP KEANE GROUP INC ~ S-1 Oil & gas field services
Cassidy & Associates FRANKLIN HILL ACQUISITION CORP ~ S-1 Blank checks
CKR Law, LLP YAYYO INC ~ 1-A ~
Cooley LLP CYTOKINETICS INC CYTK S-3 Pharma preparations
Davis Polk & Wardwell LLP TESORO CORP /NEW/ TSO S-4 Petroleum refining
Dechert LLP PENNANTPARK FLOATING RATE CAPITAL LTD PFLT N-2 Finance services
Dentons US LLP ASTERIAS BIOTHERAPEUTICS INC AST S-3 Biological products
Dorsey & Whitney LLP HEARTLAND FINANCIAL USA INC HTLF S-4 State commercial banks
FS Diversified Income Fund FS DIVERSIFIED INCOME FUND ~ N-2 ~
Goodwin Procter LLP EPR PROPERTIES EPR S-4 REIT
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP REGENXBIO INC RGNX S-3 Biological products
Haynie Rake Repass & Klimko, P.C. INDEPENDENT BANK GROUP INC IBTX S-3 State commercial banks
Hogan Lovells US LLP URANIUM RESOURCES INC URRE S-3 Metal mining
Holland & Knight LLP THE KEYW HOLDING CORP KEYW S-3 Computer integrated systems design
Honigman Miller Schwartz and Cohn LLP SUNSHINE HEART INC SSH S-1 Electromedical & electrotherapeutic apparatus
Jones Walker L.L.P. FIRST BANCSHARES INC FBMS S-1 Commercial banks
K&L Gates LLP METROPOLITAN LIFE INSURANCE CO ~ S-3 Life insurance
Kirkland & Ellis LLP YRC WORLDWIDE INC YRCW S-3 Trucking
Loeb & Loeb LLP METASTAT INC MTST S-1 Semi-conductors & related devices
Luse Gorman, PC COMMUNITY FIRST BANCSHARES INC ~ S-1 ~
Luse Gorman, PC PCSB FINANCIAL CORP ~ S-1 ~
Luse Gorman, PC STANDARD FINANCIAL CORP STND S-4 State commercial banks
Newman & Morrison, LLP IASO BIOMED INC ~ S-1 Pharma preparations
Ooma, Inc. OOMA INC OOMA S-3 Computer processing & data preparation
Orrick, Herrington & Sutcliffe LLP OOMA INC OOMA S-3 Computer processing & data preparation
Reed Smith LLP DIREXION SHARES ETF TRUST II BAR S-1 Commodity contracts brokers & dealers
Reed Smith LLP RITTER PHARMACEUTICALS INC RTTR S-1 Pharma preparations
Reinhart Boerner Van Deuren, S.C. NICOLET BANKSHARES INC NCBS S-4 Commercial banks
Ropes & Gray LLP LANTHEUS HOLDINGS INC LNTH S-3 In vitro & in vivo diagnostic substances
Ropes & Gray LLP PARATEK PHARMACEUTICALS INC PRTK S-3 Pharma preparations
Schulte Roth & Zabel LLP KEANE GROUP INC ~ S-1 Oil & gas field services
SEACOR Marine Holdings Inc. SEACOR MARINE HOLDINGS INC ~ 10-12B ~
Silver, Freedman, Taff & Tiernan LLP COMMUNITY FIRST BANCSHARES INC ~ S-1 ~
Squire Patton Boggs LLP MVB FINANCIAL CORP MVBF S-3 Commercial banks
Stinson Leonard Street LLP EPR PROPERTIES EPR S-4 REIT
Stradling Yocca Carlson & Rauth, P.C. LANTRONIX INC LTRX S-3 Computer comms equipment
Stuart | Moore Attorneys at Law HEARTLAND FINANCIAL USA INC HTLF S-4 State commercial banks
Sullivan & Cromwell LLP TESORO CORP /NEW/ TSO S-4 Petroleum refining
Thompson Hine LLP BLUE SPHERE CORP BLSP S-1 Computer programming, data process, etc.
Troutman Sanders LLP ACCESS NATIONAL CORP ANCX S-4 Savings institutions
V Financial Group, LLC GLOBAL PHARMA LABS INC ~ 1-A ~
Vinson & Elkins L.L.P. GOODRICH PETROLEUM CORP GDP S-1 Crude petroleum & natural gas
Vinson & Elkins L.L.P. STONEMOR PARTNERS LP STON S-3 Personal services
Wachtell, Lipton, Rosen & Katz CENTURYLINK INC CTL S-4 Telephone comms
Williams Mullen ACCESS NATIONAL CORP ANCX S-4 Savings institutions
Willkie Farr & Gallagher LLP CENTURYLINK INC CTL S-4 Telephone comms
Wilmer Cutler Pickering Hale and Dorr LLP SPRING BANK PHARMACEUTICALS INC SBPH S-1 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: Dec 5 – 9 / plus Reg A+ webinar invite

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 Community Bank Systems, Inc. w/ Cadwalader, Wickersham & Taft LLP and Goodwin Procter LLP, AntriBio Inc. w/ Dorsey & Whitney LLP, Rosetta Genomics LTD w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo PC and Regulation A+ registration Rock Fund VII-A LLC w/ Alliance Legal Partners, Inc. and KHLK LLP.

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Law firm / advisor Registrant Symbol Form Industry
Alliance Legal Partners, Inc. ROCK FUND VII-A LLC ~ 1-A Real estate
Baker & McKenzie LLP ONCOR ELECTRIC DELIVERY CO LLC ~ S-4 Electric services
Bass, Berry & Sims PLC ADDUS HOMECARE CORP ADUS S-3 Home health care services
Bowles Rice LLP UNITED BANKSHARES INC/WV UBSI S-4 State banks
Bunker Law Group, PLLC BLUE SKY GROUP HOLDINGS INC ~ 1-A Mortgage bankers & loan correspondents
Burns & Levinson LLP ZOOM TELEPHONICS INC ZMTP S-1 Telephone & telegraph apparatus
Cadwalader, Wickersham & Taft LLP COMMUNITY BANK SYSTEM INC CBU S-4 National commercial banks
Cranmore, FitzGerald & Meaney INDEPENDENT BANK CORP INDB S-4 State banks
Day Pitney LLP INDEPENDENT BANK CORP INDB S-4 State banks
Dentons US LLP XERIUM TECHNOLOGIES INC XRM S-4 Broadwoven fabric mills, manmade fiber & silk
Dorsey & Whitney LLP ANTRIABIO INC ANTB S-1 Pharma preparations
EastBiz.com, Inc. REMARO GROUP CORP ~ S-1 ~
Eve Fund 1, LLC EVE FUND 1 LLC ~ 1-A ~
First MetLife Investors Insurance Company FIRST METLIFE INVESTORS INSURANCE CO ~ 10-12G ~
Freshfields Bruckhaus Deringer US LLP GORES HOLDINGS II INC ~ S-1 Blank checks
Goodwin Procter LLP COMMUNITY BANK SYSTEM INC CBU S-4 National commercial banks
Goodwin Procter LLP REATA PHARMACEUTICALS INC RETA S-1 Pharma preparations
Gutierrez Bergman Boulris, P.L.L.C. SHUTTLE PHARMACEUTICALS INC ~ S-1 ~
Helix TCS, Inc. HELIX TCS INC ~ 10-12G ~
Hispanica International Delights of America, Inc. HISPANICA INTERNATIONAL DELIGHTS OF AMERICA INC HISP S-1 Beverages
Hogan Lovells US LLP GLACIER BANCORP INC GBCI S-4 State banks
Hunter Taubman Fischer & Li LLC DRAGON VICTORY INTERNATIONAL LTD ~ F-1 Investors, not elsewhere classified
Jones & Haley, P.C. BAGGER DAVE’S BURGER TAVERN INC ~ 10-12G Retail – eating places
Jones Day WESCO INTERNATIONAL INC WCC S-4 Wholesale – electrical apparatus & equipment, wiring supplies
KHLK LLP ROCK FUND VII-A LLC ~ 1-A Real estate
Latham & Watkins LLP CODEXIS INC CDXS S-3 Industrial organic chemicals
Latham & Watkins LLP MAGELLAN MIDSTREAM PARTNERS LP MMP S-3 Pipelines
LeClairRyan, PC BAY BANKS OF VIRGINIA INC BAYK S-4 State banks
LeClairRyan, PC UNITED BANKSHARES INC/WV UBSI S-4 State banks
Lewis Rice LLC ENTERPRISE FINANCIAL SERVICES CORP EFSC S-4 State banks
Lowenstein Sandler LLP PRESBIA PLC LENS S-1 Surgical & medical instruments & apparatus
Maslon LLP SKYLINE MEDICAL INC SKLN S-1 Orthopedic, prosthetic & surgical appliances & supplies
Michael J. Morrison WELLSPRING AEROSPACE INTERNATIONAL INC ~ S-1 ~
Miller Nash Graham & Dunn LLP GLACIER BANCORP INC GBCI S-4 State banks
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. ROSETTA GENOMICS LTD ROSG F-1 Pharma preparations
Mitchell, Williams, Selig, Gates & Woodyard, P.L.L.C. HOME BANCSHARES INC HOMB S-4 State banks
Morgan, Lewis & Bockius LLP CITY NATIONAL ROCHDALE REINSURANCE PREMIUM FUND ~ N-2 ~
Morrison & Foerster LLP GENERAL CANNABIS CORP CANN S-1 ~
Morrison & Foerster LLP MARRONE BIO INNOVATIONS INC MBII S-3 Agricultural chemicals
Paul Hastings LLP INSEEGO CORP INSG S-4 Communications equipment
Paul, Weiss, Rifkind, Wharton & Garrison LLP WINDSTREAM HOLDINGS INC WIN S-4 Telephone comms
Pepper Hamilton LLP APPLIED DNA SCIENCES INC APDN S-3 Industrial organic chemicals
Polsinelli PC GOLD RESOURCE CORP GORO S-3 Gold & silver ores
Reed Smith LLP JAGUAR ANIMAL HEALTH INC JAGX S-1 Pharma preparations
Reed Smith LLP ENTERPRISE FINANCIAL SERVICES CORP EFSC S-4 State banks
Ropes & Gray LLP STONE RIDGE TRUST II SRRIX N-2 ~
Rutan & Tucker, LLP PRO DEX INC PDEX S-3 Surgical & medical instruments & apparatus
Schiff Hardin LLP SKYLINE MEDICAL INC SKLN S-1 Orthopedic, prosthetic & surgical appliances & supplies
Shapiro Bieging Barber Otteson LLP GUARANTY BANCORP GBNK S-3 State banks
Shearman & Sterling LLP QUICKLOGIC CORP QUIK S-3 Semi-conductors
Sheppard, Mullin, Richter & Hampton LLP FIRST FOUNDATION INC FFWM S-3 State banks
Shutts & Bowen, LLP CENTERSTATE BANKS INC CSFL S-4 National commercial banks
Sichenzia Ross Ference Kesner LLP NUGENE INTERNATIONAL INC BLMK S-1 Wholesale – jewelry, watches, precious stones & metals
Sidley Austin LLP PROSHARES ULTRA GOLD AGQ S-1 Commodity contracts brokers & dealers
Simpson Thacher & Bartlett LLP ARAMARK ARMK S-4 Retail – eating places
Skadden, Arps, Slate, Meagher & Flom LLP BLACKROCK 2022 GLOBAL INCOME OPPORTUNITY TRUST ~ N-2 ~
Skadden, Arps, Slate, Meagher & Flom LLP WINDSTREAM HOLDINGS INC WIN S-4 Telephone comms
Smith Mackinnon, PA CENTERSTATE BANKS INC CSFL S-4 National commercial banks
Smith Mackinnon, PA HOME BANCSHARES INC HOMB S-4 State banks
Spectrum Law Group, LLP NUGENE INTERNATIONAL INC BLMK S-1 Wholesale – jewelry, watches, precious stones & metals
Troutman Sanders LLP WINDSTREAM HOLDINGS INC WIN S-4 Telephone comms
Vinson & Elkins L.L.P. PLAINS GP HOLDINGS LP PAGP S-3 Pipelines
Vinson & Elkins LLP REATA PHARMACEUTICALS INC RETA S-1 Pharma preparations
Weil, Gotshal & Manges LLP GORES HOLDINGS II INC ~ S-1 Blank checks
White & Case LLP JBS FOODS INTERNATIONAL B.V. ~ F-1 ~
Williams Mullen BAY BANKS OF VIRGINIA INC BAYK S-4 State banks
Wilmer Cutler Pickering Hale and Dorr LLP CURIS INC CRIS 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: Nov 28 – Dec 2 / plus Reg A+ Form 1-A Worksheet

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 Casi Pharmaceuticals Inc. w/ Arnold & Porter LLP, Dariohealth Corp. w/ Zysman, Aharoni, Gayer and Sullivan & Worcester LLP, Immune Pharmaceuticals Inc. w/ Sheppard, Mullin, Richter & Hampton LLP, Limbach Holdings Inc. w/ K&L Gates LLP and Winston & Strawn LLP, Molculin Biotech Inc. w/ Ellenoff Grossman & Schole LLP and Schiff Hardin LLP, Rayton Solar Inc. w/ KHLK LLP and Mitchell Silberberg & Knupp LLP, XG Technology Inc. w/ Lowenstein Sandler LLP and Robinson Brog Leinwand Greene Genovese & Gluck PC.

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Law firms / advisors Registrant Symbol Form Industry
Arnold & Porter LLP CASI PHARMACEUTICALS INC CASI S-3 Biological products
Brazil Minerals, Inc. JUPITER GOLD CORP BMIX F-1 Gold & silver ores
Business Union Financial, LLC BUSINESS UNION FINANCIAL LLC ~ 10-12G ~
Cooley LLP CLEARSIDE BIOMEDICAL INC CLSD S-1 Pharma preparations
Cooley LLP S&W SEED CO SANW S-3 Agricultural production-crops
Cooley LLP SIGNAL GENETICS INC SGNL S-4 Medical labs
Cravath, Swaine & Moore LLP MYLAN N.V. MYL S-4 Pharma preparations
Debevoise & Plimpton LLP ATKORE INTERNATIONAL GROUP INC ATKR S-1 Electrical machinery, equipment & supplies
Dechert LLP RECRO PHARMA INC REPH S-1 Pharma preparations
DLA Piper LLP KBS STRATEGIC OPPORTUNITY REIT INC ~ S-11 REIT
Ellenoff Grossman & Schole LLP MOLECULIN BIOTECH INC MBRX S-1 Pharma preparations
Flaster Greenberg P.C. IMPACT HOUSING REIT LLC ~ 1-A REIT
Garvey Schubert Barer CHINA RECYCLING ENERGY CORP CREG S-3 Business services
Goodwin Procter LLP VOYAGER THERAPEUTICS INC VYGR S-3 Biological products
Gracin & Marlow, LLP HEAT BIOLOGICS INC HTBX S-3 Pharma preparations
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP MEDICINOVA INC MNOV S-3 Pharma preparations
Harold P. Gewerter, Esq. Ltd. BIOCRUDE TECHNOLOGIES USA INC ~ S-1 ~
Hogan Lovells US LLP RECRO PHARMA INC REPH S-1 Pharma preparations
K&L Gates LLP LIMBACH HOLDINGS INC LMB S-1 Blank checks
KHLK LLP RAYTON SOLAR INC ~ 1-A Semi-conductors
Latham & Watkins LLP ATKORE INTERNATIONAL GROUP INC ATKR S-1 Electrical machinery, equipment & supplies
Latham & Watkins LLP CLEARSIDE BIOMEDICAL INC CLSD S-1 Pharma preparations
Loeb & Loeb LLP NANOFLEX POWER CORP OPVS S-1 Hazardous waste management
Lowenstein Sandler LLP CELLDEX THERAPEUTICS INC CLDX S-3 In-vitro & in-vivo diagnostic substances
Lowenstein Sandler LLP XG TECHNOLOGY INC XGTI S-1 Communications
Maslon LLP GWG HOLDINGS INC GWGH S-1 Life insurance
Mazzeo Song P.C. MEDICAL TRANSCRIPTION BILLING CORP MTBC S-1 Prepackaged software
McMurdo Law Group, LLC ALMOST NEVER FILMS INC SMAK S-1 Retail – apparel
Miragen Therapeutics, Inc. SIGNAL GENETICS INC SGNL S-4 Medical labs
Mitchell Silberberg & Knupp LLP RAYTON SOLAR INC ~ 1-A Semi-conductors
Morgan, Lewis & Bockius LLP AXSOME THERAPEUTICS INC AXSM S-3 Pharma preparations
Northwest Registered Agents, LLC. KRIPTECH INTERNATIONAL CORP ~ S-1 ~
Paul Hastings LLP TITAN ENERGY LLC ARP S-1 Drilling oil & gas wells
Paul Hastings LLP SORRENTO THERAPEUTICS INC SRNE S-3 Business services
Pillsbury Winthrop Shaw Pittman LLP SIGNAL GENETICS INC SGNL S-4 Medical labs
Pryor Cashman LLP NANOFLEX POWER CORP OPVS S-1 Hazardous waste management
Robinson Brog Leinwand Greene Genovese & Gluck P.C. XG TECHNOLOGY INC XGTI S-1 Communications
Schiff Hardin LLP MOLECULIN BIOTECH INC MBRX S-1 Pharma preparations
Sheppard, Mullin, Richter & Hampton, LLP IMMUNE PHARMACEUTICALS INC IMNP S-3 Pharma preparations
Shumaker, Loop & Kendrick, LLP HILLS BANCORPORATION HBIA S-3 Commercial banks
Sutherland Asbill & Brennan LLP USCF FUNDS TRUST ~ S-1 Commodity contracts brokers & dealers
Tensleep Financial Corp. TENSLEEP FINANCIAL CORP ~ 1-A ~
Vinson & Elkins L.L.P. CLOUD PEAK ENERGY INC CLD S-3 Bituminous coal & lignite surface mining
Vinson & Elkins, L.L.P. HI-CRUSH PARTNERS LP HCLP S-3 Mining & quarrying nonmetallic minerals
Wachtell, Lipton, Rosen & Katz JOHNSON CONTROLS INTERNATIONAL PLC JCI S-4 Business services
Winston & Strawn LLP LIMBACH HOLDINGS INC LMB 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: Nov 21 – 25 / plus 2017 EDGAR filing deadline calendar

There were 27 transactions filed with the SEC last week. (USA holiday week)

Congratulations to all of the corporations and law firms that selected our transactions services last week including Nuo Therapeutics Inc. w/ Hill Ward Henderson, Creative Medical Technology Holdings Inc. w/ Vance, Higley & Associates PC and Regulation A+ registration CapRocq Core 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 Industry
All for One Media Corp. ALL FOR ONE MEDIA CORP EEQU 10-12G Amusement & recreation services
AltaVista Private Client, LLC STOCK MARKET BAR & GRILL CORP ~ 1-A ~
Carmel, Milazzo & DiChiara LLP PROVISION HOLDING INC PVHO S-1 Household audio & video equipment
Dechert LLP HERCULES CAPITAL INC HTGC N-2 Finance services
Delta Apparel, Inc. DELTA APPAREL INC DLA S-3 Wholesale apparel, piece goods & notions
Dorsey & Whitney LLP TACTILE SYSTEMS TECHNOLOGY INC TCMD S-1 Surgical & medical instruments & apparatus
Faegre Baker Daniels LLP ENDRA INC S-1 Electromedical & electro-therapeutic apparatus
Faegre Baker Daniels LLP AIRGAIN INC AIRG S-1 Radio & television broadcasting & comms equipment
Faegre Baker Daniels LLP TACTILE SYSTEMS TECHNOLOGY INC TCMD S-1 Surgical & medical instruments & apparatus
Foley & Lardner LLP GREAT ELM CAPITAL GROUP INC GEC S-1 ~
Fox Rothschild LLP BIO KEY INTERNATIONAL INC BJO S-1 Computer comms equipment
Goodwin Procter LLP PLUG POWER INC PLUG S-3 Electrical industrial apparatus
Hill Ward Henderson NUO THERAPEUTICS INC 4C7A S-1 Surgical & medical instruments & apparatus
Hughes Hubbard & Reed LLP CENVEO INC CVO S-3 Converted paper & paperboard products
Jenner & Block LLP INTERNAP CORP INAP S-3 Computer programming, data process, etc.
K&L Gates LLP ENDRA INC ~ S-1 Electromedical & electro-therapeutic apparatus
Kaplan Voekler Cunningham & Frank, PLC CAPROCQ CORE REIT INC ~ 1-A ~
Latham & Watkins LLP PRESIDIO INC ~ S-1 ~
Latham & Watkins LLP AMERICAN MIDSTREAM PARTNERS LP AMID S-4 Natural gas transmission
Latham & Watkins LLP AIRGAIN INC AIRG S-1 Radio & television broadcasting & comms equipment
Latham & Watkins LLP BEASLEY BROADCAST GROUP INC BBGI S-3 Radio broadcasting stations
Locke Lord LLP AMERICAN MIDSTREAM PARTNERS LP AMID S-4 Natural gas transmission
McMurdo Law Group, LLC AMERI METRO INC. (FORMERLY YELLOWWOOD) AMGTI S-1 Heavy construction
Nemus Bioscience, Inc. NEMUS BIOSCIENCE INC NMUS S-1 Trucking, except local
O’Neal Law Office HIP CUISINE INC ~ S-1 Retail eating places
Pryor Cashman LLP NATIONAL HOLDINGS CORP NHLD S-1 Security & commodity brokers, dealers, exchanges & services
Shearman & Sterling LLP ROCKWELL COLLINS INC COL S-4 Aircraft parts & auxiliary equipment
Sichenzia Ross Ference Kesner LLP TOWERSTREAM CORP TWER S-3 Communications services
Skadden, Arps, Slate, Meagher & Flom LLP GREAT ELM CAPITAL GROUP INC GEC S-1 ~
Skadden, Arps, Slate, Meagher & Flom LLP ROCKWELL COLLINS INC COL S-4 Aircraft parts & auxiliary equipment
Tucker Ellis LLP UNITED COMMUNITY FINANCIAL CORP UCFC S-4 Savings institutions, not federally chartered
Vance, Higley & Associates, P.C. CREATIVE MEDICAL TECHNOLOGY HOLDINGS INC JLLM S-1 Non-operating establishments
Vinson & Elkins L.L.P. PLAINS ALL AMERICAN PIPELINE LP PAA S-3 Pipelines, except natural gas
Wachtell, Lipton, Rosen & Katz PRESIDIO INC ~ S-1 ~

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: Nov 14 – 18 / plus 2017 Mutual Funds filing deadline calendar

There were 51 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Medley LLC w/ Fried, Frank, Harris, Shriver & Jacobson LLP and Winston & Strawn LLP and Digital Donations Technologies Inc. w/ Cassidy & Associates.

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. PENN VIRGINIA CORP PVA S-1 Crude petroleum & natural gas
Barnes & Thornburg LLP AMERICA FIRST MULTIFAMILY INVESTORS LIMITED PARTNERSHIP ATAX S-3 Finance services
Bonner & Associates MEXICO SALES MADE EASY INC ~ S-1 ~
Cahill Gordon & Reindel LLP ARDAGH FINANCE HOLDINGS S.A. ~ F-1 ~
Cassidy & Associates DIGITAL DONATIONS TECHNOLOGIES INC ~ S-1 Blank checks
Cleary Gottlieb Steen & Hamilton LLP ENDURANCE INTERNATIONAL GROUP HOLDINGS INC CTCT;EIGI S-4 Direct mail advertising services / prepackaged software
Cleary Gottlieb Steen & Hamilton LLP ENDURANCE INTERNATIONAL GROUP HOLDINGS INC EIGI S-3 Direct mail advertising services / prepackaged software
Cooley LLP STEADYMED LTD STDY S-3 Pharma preparations
Cravath, Swaine & Moore LLP AT&T INC T S-4 Telephone communications
Davis Polk & Wardwell LLP KINSALE CAPITAL GROUP INC KNSL S-1 Fire, marine & casualty insurance
Debevoise & Plimpton LLP SITEONE LANDSCAPE SUPPLY INC SITE S-1 Landscape counseling & planning
Disclosure Law Group, PC BRIDGELINE DIGITAL INC BLIN S-3 Prepackaged software
DLA Piper LLP MARRIOTT INTERNATIONAL INC MAR S-4 Hotels & motels
Ellenoff Grossman & Schole LLP FRANKLY INC ~ S-1 ~
EMR Technology Solutions, Inc. EMR TECHNOLOGY SOLUTIONS INC ~ 10-12G ~
Fenwick & West LLP IMPINJ INC PI S-1 Electronic components
Fried, Frank, Harris, Shriver & Jacobson LLP MEDLEY LLC MDLX S-1 Investment advice
Gary Steven Findley & Associates CVB FINANCIAL CORP CVBF S-4 State commercial banks
Gibson, Dunn & Crutcher LLP LA JOLLA PHARMACEUTICAL CO LJPC S-3 Biological products
Gibson, Dunn & Crutcher LLP MARRIOTT INTERNATIONAL INC MAR S-4 Hotels & motels
Gibson, Dunn & Crutcher LLP GALLAGHER ARTHUR J & CO AJG S-4 Insurance agents, brokers & service
Goodwin Procter LLP AMPLIFY SNACK BRANDS INC BETR S-3 Food preparations, not elsewhere classified
Goodwin Procter LLP BEYONDSPRING INC ~ F-1 Pharma preparations
Goodwin Procter LLP TURBO TRAVEL HOLDING B.V. ~ F-1 Computer processing & data preparation
Graubard Miller PARKERVISION INC PRKR S-3 Radio & television broadcasting & communications equipment
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP SYNACOR INC SYNC S-3 Computer processing & data preparation
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP NATERA INC NTRA S-3 Medical laboratories
Helios Exchange, Inc. HELIOS EXCHANGE INC ~ 1-A ~
Hogan Lovells US LLP URANIUM RESOURCES INC URRE S-3 Metal mining
Incorp Services, Inc. KALMIN CORP ~ S-1 ~
Jones Day TRANSDIGM INC TDG S-4 Fabricated metal products
K&L Gates LLP CHINA GEWANG BIOTECHNOLOGY INC RCHR S-1 Food & kindred products
Katzenell Dimant STEADYMED LTD STDY S-3 Pharma preparations
Kirkland & Ellis LLP ICHOR HOLDINGS LTD ~ S-1 Semiconductors & related devices
Kirkland & Ellis LLP OPTIV INC ~ S-1 Computer integrated systems design
Latham & Watkins LLP ICHOR HOLDINGS LTD ~ S-1 Semiconductors & related devices
Latham & Watkins LLP COTIVITI HOLDINGS INC COTV S-1 Business services
Latham & Watkins LLP TURBO TRAVEL HOLDING B.V. ~ F-1 Computer processing & data preparation
Legion Capital Corporation LEGION CAPITAL CORP ~ 1-A ~
Lowenstein Sandler LLP FRANKLY INC ~ S-1 ~
Manatt, Phelps & Phillips, LLP CVB FINANCIAL CORP CVBF S-4 State commercial banks
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. CALADRIUS BIOSCIENCES INC CLBS S-3 Miscellaneous health & allied services
Morgan, Lewis & Bockius LLP HOSTESS BRANDS INC TWNK S-3 Blank checks
Morgan, Lewis & Bockius LLP ALPHA & OMEGA SEMICONDUCTOR LTD AOSL S-3 Semiconductors & related devices
Paul Hastings LLP CROSSAMERICA PARTNERS LP CAPL S-3 Wholesale – petroleum & petroleum products
Pearlman Law Group LLP SOCIAL REALITY INC SRAX S-3 Advertising agencies
Pearlman Law Group LLP SOCIAL REALITY INC SRAX S-3 Advertising agencies
Pepper Hamilton LLP BOJANGLES’ INC BOJA S-3 Retail eating places
Pierce Atwood LLP IMMUCELL CORP ICCC S-3 In vitro & in vivo diagnostic substances
Porter Hedges LLP PAR PACIFIC HOLDINGS INC PARR S-3 Crude petroleum & natural gas
Porter, Wright, Morris & Arthur LLP FIRST COMMONWEALTH FINANCIAL CORP FCF S-4 National commercial banks
Shearman & Sterling LLP ARDAGH FINANCE HOLDINGS S.A. ~ F-1 ~
Sichenzia Ross Ference Kesner LLP ALZAMEND NEURO INC ~ 1-A Pharma preparations
Simpson Thacher & Bartlett LLP SITEONE LANDSCAPE SUPPLY INC SITE S-1 Landscape counseling & planning
Simpson Thacher & Bartlett LLP OPTIV INC ~ S-1 Computer integrated systems design
Skadden, Arps, Slate, Meagher & Flom LLP KINSALE CAPITAL GROUP INC KNSL S-1 Fire, marine & casualty insurance
Skadden, Arps, Slate, Meagher & Flom LLP BEYONDSPRING INC ~ F-1 Pharma preparations
Skadden, Arps, Slate, Meagher & Flom LLP NATERA INC NTRA S-3 Medical laboratories
Squire Patton Boggs LLP FIRST COMMONWEALTH FINANCIAL CORP FCF S-4 National commercial banks
Stroock & Stroock & Lavan LLP PBF FINANCE CORP ~ S-4 Petroleum refining
Sullivan & Cromwell LLP AT&T INC T S-4 Telephone communications
Sunset Island Group, Inc. SUNSET ISLAND GROUP ~ S-1 ~
SW Innovative Holdings, Inc. SW INNOVATIVE HOLDINGS INC SWHI 1-A Telephone communications
Vincent & Rees CH REAL ESTATE II INC ~ S-1 Real estate
Vinson & Elkins L.L.P. CRYOLIFE INC CRY S-3 Surgical & medical instruments & apparatus
Weil, Gotshal & Manges LLP COTIVITI HOLDINGS INC COTV S-1 Business services
Wiggin and Dana LLP CAS MEDICAL SYSTEMS INC CASM S-3 Surgical & medical instruments & apparatus
Wilson Sonsini Goodrich & Rosati PC IMPINJ INC PI S-1 Electronic components
Windels Marx Lane & Mittendorf, LLP NANO STONE INC ~ 1-A ~
Winston & Strawn LLP MEDLEY LLC MDLX 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


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IPOs and Transactions: Nov 7 – 11 / plus 2017 SEC Filing Deadline calendar

There were 47 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Alliqua Holdings Inc. w/ Haynes and Boone, LLP and Troutman Sanders LLP, XG Technology Inc. w/ Robinson Brog Leinwand Greene Genovese & Gluck P.C., Sinorama Corp. w/ O’Neal Law Office, First United Corp. w/ Gordon Feinblatt LLC also Reg A+ registrations Knightscope Inc. and Sagoon Inc. w/ KHLK LLP and Keen Home Inc.

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
Akerman LLP RENNOVA HEALTH INC RNVA S-1 Computer processing & data preparation
Andrews Kurth Kenyon LLP MID-CON ENERGY PARTNERS LP MCEP S-3 Crude petroleum & natural gas
Andrews Kurth LLP NGL ENERGY PARTNERS LP NGL S-3 Wholesale – petroleum & petroleum products, except bulk stations
AT&T Inc. AT&T INC T S-4 Telephone comms.
Baker & McKenzie LLP FRANK’S INTERNATIONAL N.V. FI S-3 Oil & gas field services
Blank Rome, LLP JWIZ INC ~ S-1 Computer processing & data preparation
Bryan Cave LLP GRAYBAR ELECTRIC CO INC 1737B S-1 Wholesale – electrical apparatus & equipment, wiring supplies
Cooley LLP CERECOR INC CERC S-3 Pharma preparations
Davis Graham & Stubbs LLP RESOLUTE ENERGY CORP REN S-3 Crude petroleum & natural gas
Davis Polk & Wardwell LLP BEIGENE LTD BGNE S-1 Pharma preparations
Davis Polk & Wardwell LLP CBOE HOLDINGS INC CBOE S-4 Security & commodity brokers, dealers, exchanges & services
Dechert LLP GOLDMAN SACHS BDC INC GSBD N-2 Finance services
EastBiz.com, Inc. LAZEX INC ~ S-1 ~
Eaton Vance Tax-Managed Buy-Write Income Fund EATON VANCE TAX-MANAGED BUY- WRITE INCOME FUND ETB N-2 Investment advice
Eaton Vance Tax-Managed Buy-Write Opportunities Fund EATON VANCE TAX-MANAGED BUY- WRITE OPPORTUNITIES FUND ETV N-2 Investment advice
Ellenoff Grossman & Schole LLP CAR CHARGING GROUP INC CCGI S-1 Power, distribution & specialty transformers
FBR & Co. FBR & CO FBRC S-3 Security brokers, dealers & flotation companies
Fellheimer & Eichen LLP OPTEX SYSTEMS HOLDINGS INC OPXS S-1 Optical instruments & lenses
Fried, Frank, Harris, Shriver & Jacobson LLP GOLDMAN SACHS BDC INC GSBD N-2 Finance services
Gibson, Dunn & Crutcher LLP HEWLETT PACKARD ENTERPRISE CO HPE S-4 Computer & office equipment
Goodwin Procter LLP DIMENSION THERAPEUTICS INC DMTX S-3 Biological products
Goodwin Procter LLP LENNAR CORP /NEW/ LEN S-4 General building contractors- residential
Goodwin Procter LLP BEIGENE LTD BGNE S-1 Pharma preparations
Gordon Feinblatt LLC FIRST UNITED CORP FUNC S-1 National commercial banks
Haynes and Boone, LLP ALLIQUA HOLDINGS INC ~ S-4 ~
Herrick, Feinstein LLP GADSDEN GROWTH PROPERTIES INC ~ S-11 ~
Incorp Services, Inc. BITMIS CORP ~ S-1 ~
Jessica Nguyen Law ALLEGRO BEAUTY PRODUCTS INC ~ S-1 ~
Jones Day AQUABOUNTY TECHNOLOGIES INC ABTX 10-12B Biological products
Keen Home Inc. KEEN HOME INC ~ 1-A ~
Kelley Drye & Warren LLP CINEDIGM CORP CIDM S-1 Services – business services
KHLK LLP KNIGHTSCOPE INC ~ 1-A ~
KHLK LLP SAGOON INC ~ 1-A ~
Kramer Levin Naftalis & Frankel LLP TRINITY PLACE HOLDINGS INC TPHS S-3 Retail – family clothing stores
Latham & Watkins LLP WILDHORSE RESOURCE DEVELOPMENT CORP ~ S-1 Crude petroleum & natural gas
Latham & Watkins LLP LENNAR CORP /NEW/ LEN S-4 General building contractors- residential
Latham & Watkins LLP USD PARTNERS LP USDP S-3 Railroad switching & terminal establishments
Legal & Compliance, LLC HEALING TOUCH HOLDINGS INC ~ S-1 ~
Lucosky Brookman LLP CAR CHARGING GROUP INC CCGI S-1 Power, distribution & specialty transformers
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. KERYX BIOPHARMA-CEUTICALS INC KERX S-3 Pharma preparations
Morse, Zelnick, Rose & Lander, LLP JWIZ INC ~ S-1 Computer processing & data preparation
Nelson Mullins Riley & Scarborough LLP HCSB FINANCIAL CORP HCFB S-1 Savings institutions, federally chartered
Norcor Technologies Corp. NORCOR TECHNOLOGIES CORP NCRT 10-12G Construction-special trade contractors
O’Neal Law Office SINORAMA CORP ~ S-1 ~
Pepper Hamilton LLP GADSDEN GROWTH PROPERTIES INC ~ S-11 ~
Perkins Coie LLP PUGET SOUND ENERGY INC ~ S-3 Electric services
Proskauer Rose LLP PREFERRED APARTMENT COMMUNITIES INC APTS S-3 REITs
Robinson Brog Leinwand Greene Genovese & Gluck P.C. XG TECHNOLOGY INC XGTI S-3 Communications
Sichenzia Ross Ference Kesner LLP RENNOVA HEALTH INC RNVA S-1 Computer processing & data preparation
Sidley Austin LLP CBOE HOLDINGS INC CBOE S-4 Security & commodity brokers, dealers, exchanges & services
Skadden, Arps, Slate, Meagher & Flom LLP BLACKROCK FLOATING RATE INCOME STRATEGIES FUND INC FRA N-2 Unit investment trusts
Sullivan & Cromwell LLP AT&T INC T S-4 Telephone comms
Tridentine Corp TRIDENTINE CORP ~ 1-A ~
Troutman Sanders LLP ALLIQUA HOLDINGS INC ~ S-4 ~
Venture Law Corporation DUBUC MOTORS INC ~ 1-A ~
Vinson & Elkins L.L.P. WILDHORSE RESOURCE DEVELOPMENT CORP ~ S-1 Crude petroleum & natural gas
Willkie Farr & Gallagher LLP GOLDMAN SACHS BDC INC GSBD N-2 Finance services
Wilmer Cutler Pickering Hale and Dorr LLP KARYOPHARM THERAPEUTICS INC KPTI S-3 Pharma preparations
Wilmer Cutler Pickering Hale and Dorr LLP TETRAPHASE PHARMACEUTICALS INC TTPH S-3 Pharma preparations
Wilson Sonsini Goodrich & Rosati, P.C. CAR CHARGING GROUP INC CCGI S-1 Power, distribution & specialty transformers

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