Category Archives: IPO week in review

IPOs and Transactions: July 11 – 15 / plus experts on merger pitfalls

There were 42 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, Superior Drilling Products Inc. w/ Dickinson Wright PLLC and Porter Hedges LLP, FXCM w/ Jones Day and Reg A+ registration for First Sentry Bancshares Inc w/ Dinsmore & Shohl 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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WHITEPAPER –  M&A: Good practices and bad pitfalls. Click here.

Law firm / advisor Registrant Symbol Form Type Industry
Adamson Brothers VIVA CONSULTING GROUP INC ~ 1-A ~
Akin Gump Strauss Hauer & Feld LLP SEMGROUP CORP SEMG S-4 Pipelines
Baker Botts L.L.P. GREAT PLAINS ENERGY INC GXP S-4 Electric services
Blank Rome LLP RIVERPARK COMMERCIAL REAL ESTATE FUND ~ N-2 ~
Bracewell LLP GREAT PLAINS ENERGY INC GXP S-4 Electric services
Buchanan Ingersoll & Rooney PC ETHERINDEX ETHER TRUST ~ S-1 ~
Checkpoint Therapeutics, Inc. CHECKPOINT THERAPEUTICS INC ~ 10-12G Biotech & Pharma
CKR Law LLP AKOUSTIS TECHNOLOGIES INC DNLX S-1 Software
Cleary Gottlieb Steen & Hamilton LLP OSG INTERNATIONAL INC ~ 10-12B ~
Cooley LLP PROTAGONIST THERAPEUTICS INC ~ S-1
Cozen O’Connor AZURRX BIOPHARMA INC ~ S-1 Pharma preparations
Dechert LLP GOLDMAN SACHS PRIVATE MIDDLE MARKET CREDIT LLC ~ 10-12G ~
Dechert LLP NB CROSSROADS PRIVATE MARKETS FUND IV (TE) ~ CLIENT LLC ~ N-2 ~
Dechert LLP NB CROSSROADS PRIVATE MARKETS FUND IV (TE) ~ CUSTODY CLIENT LLC ~ N-2 ~
Dechert LLP NB CROSSROADS PRIVATE MARKETS FUND IV (TI) ~ CLIENT LLC ~ N-2 ~
Dechert LLP SOLIDX BITCOIN TRUST ~ S-1 Commodity contracts
Dickinson Wright PLLC SUPERIOR DRILLING PRODUCTS INC SDPI S-1 Oil & gas equipment
Dinsmore & Shohl LLP FIRST SENTRY BANCSHARES INC FTSB 1-A Banks
Faegre Baker Daniels LLP AIRGAIN INC ~ S-1 Radio and TV broadcasting
Frank J. Hariton, Esq. SAUER ENERGY INC SENY S-1 Drilling oil and gas wells
Fried, Frank, Harris, Shriver & Jacobson LLP GOLDMAN SACHS PRIVATE MIDDLE MARKET CREDIT LLC ~ 10-12G ~
Fried, Frank, Harris, Shriver & Jacobson LLP MEDLEY LLC ~ S-1 Investment advice
Gibson, Dunn & Crutcher LLP SEMGROUP CORP SEMG S-4 Pipelines
Greenberg Traurig, LLP PLATFORM SPECIALTY PRODUCTS CORP PAH S-3 Speciality chemicals
Haynes and Boone, LLP PULMATRIX INCORPORATED PULM S-3 Biotech
Jones Day LAMB WESTON HOLDINGS INC ~ 10-12B ~
Jones Day FXCM INC FXCM S-3 Investment services
Jones Day OCLARO INC OCLR S-3 Telecomm equipment
Latham & Watkins LLP PROTAGONIST THERAPEUTICS INC ~ S-1
Latham & Watkins LLP AIRGAIN INC ~ S-1 Radio and TV broadcasting
Latham & Watkins LLP SUNOCO LLC SUSP S-4 Specialty retailers
Locke Lord LLP LAMAR MEDIA CORP ~ S-4 Media agencies
Loeb & Loeb LLP AZURRX BIOPHARMA INC ~ S-1 Pharma preparations
Matheau J. W. Stout, Esq. NPQ HOLDINGS LTD ~ S-1
Matthew C. McMurdo, Esq. FRANCHISE HOLDINGS INTERNATIONAL INC FNHI S-1 Business services
Mitchell Silberberg & Knupp LLP HELIOS & MATHESON ANALYTICS INC HMNY S-3 Computer services
Morgan, Lewis & Bockius LLP PIONEER ILS BRIDGE FUND ~ N-2 ~
Morgan, Lewis & Bockius LLP NUVEEN CALIFORNIA SELECT TAX FREE INCOME PORTFOLIO NXC N-2 Equity investment instruments
Morrison & Foerster LLP MOTIF BIO PLC ~ F-1 Pharma preparations
O’Melveny & Myers LLP CAVIUM INC CAVM S-4 Semiconductors
Olshan Frome Wolosky LLP AEGIS IDENTITY SOFTWARE INC ~ S-1 Software
Porter Hedges LLP SUPERIOR DRILLING PRODUCTS INC SDPI S-1 Oil & gas equipment
Reed Smith LLP TEUCRIUM COMMODITY TRUST CORN S-1 Investment services
Reed Smith LLP MOTIF BIO PLC ~ F-1 Pharma preparations
SD Mitchell & Associates, PLC KOO’TOOR DESIGN INC ~ S-1 ~
Sichenzia Ross Friedman Ference LLP SITO MOBILE LIMITED SITO S-3 Software
Skadden, Arps, Slate, Meagher & Flom LLP ARBOR REALTY TRUST INC ABR S-3 Mortage REITs
Skadden, Arps, Slate, Meagher & Flom LLP CAVIUM INC CAVM S-4 Semiconductors
Vinson & Elkins L.L.P. LSB INDUSTRIES INC LXU S-1 Chemicals
Web Debt Solutions, LLC WEB DEBT SOLUTIONS LLC ~ 1-A ~
Willkie Farr & Gallagher LLP GOLDMAN SACHS PRIVATE MIDDLE MARKET CREDIT LLC ~ 10-12G ~
Wilson Sonsini Goodrich & Rosati PC CAPNIA INC CAPN S-1 Electromedical
Winston & Strawn LLP MEDLEY LLC ~ 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: July 4 – 8 / plus Reg A+ (Form 1-A) Worksheet

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 UPAY w/ Frederick M. Lehrer, Attorney and Counselor at Law, Newtek Business Services Corp. w/ Sutherland Asbill & Brennan LLP and Cellect Biomed LTD w/ Doron Tikotzky Kantor Gutman Cederboum & Co., Ellenoff Grossman & Schole LLP, and Zysman, Aharoni, Gayer and Sullivan & Worcester 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
Akin Gump Strauss Hauer & Feld LLP US CONCRETE INC USCR S-4 Building materials
Baker Botts L.L.P. FORTERRA INC ~ S-1 ~
Baker, Donelson, Bearman, Caldwell & Berkowitz, PC SIMMONS FIRST NATIONAL CORP SFNC S-4 Banks
Booth Udall Fuller, PLC YILOLIFE INC ~ 1-A ~
Covington & Burling LLP SIMMONS FIRST NATIONAL CORP SFNC S-4 Banks
Davis Polk & Wardwell LLP TERRAVIA HOLDINGS INC TVIA S-3 Alternative fuels
Dentons US LLP DRAGONWAVE INC DRWI F-1 Radio – telephone comms
DLA Piper LLP DRAGONWAVE INC DRWI F-1 Radio – telephone comms
Doron Tikotzky Kantor Gutman Cederboum & Co CELLECT BIOMED LTD ~ F-1 Biological products
Ellenoff Grossman & Schole LLP FILMON.TV NETWORKS INC ~ S-1 Service – video tape rentals
Ellenoff Grossman & Schole, LLP CELLECT BIOMED LTD ~ F-1 Biological products
Ellenoff Grossman & Schole, LLP DRAGONWAVE INC DRWI F-1 Radio – telephone comms
Frederick M. Lehrer, Attorney and Counselor at Law UPAY ~ S-1 ~
Gibson, Dunn & Crutcher LLP FORTERRA INC ~ S-1 ~
Gross Cutler Seiler Dupont LLC NIVALIS THERAPEUTICS INC NVLS S-3 Phama preparations
Haneberg Hurlbert, PLC WHEELER REAL ESTATE INVESTMENT TRUST INC WHLR S-3 Retail REITs
Kirkland & Ellis LLP KRAFT HEINZ FOODS CO KHC S-4 Food products
Loeb & Loeb LLP PRIME ACQUISITION CORP ~ F-1 Blamk checks
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. PIERIS PHARMACEUTICALS INC PIRS S-3 Bio research
Nexeon MedSystems Inc NEXEON MEDSYSTEMS INC ~ 10-12G ~
Olshan Frome Wolosky LLP FILMON.TV NETWORKS INC S-1 Service – video tape rentals
Pearlman Schneider LLP INUVO INC INUV S-3 Marketing Services
Sichenzia Ross Friedman Ference LLP TOWERSTREAM CORP TWER S-3 Comms services
Sidley Austin LLP CELSION CORP CLSN S-3 Medical equipment
Silver, Freedman, Taff & Tiernan LLP GREAT SOUTHERN BANCORP INC GSBC S-3 Banks
Simmons First National Corporation SIMMONS FIRST NATIONAL CORP SFNC S-4 Banks
Simpson Thacher & Bartlett LLP FIRST HAWAIIAN INC ~ S-1 Finance services
Stepp Law Corporation GO2GREEN LANDSCAPING INC ~ S-1 ~
Sullivan & Cromwell LLP FIRST HAWAIIAN INC ~ S-1 Finance services
Sullivan & Worcester LLP TECOGEN INC TGEN S-3 Building materials & fixtures
Sutherland Asbill & Brennan LLP NEWTEK BUSINESS SERVICES CORP ~ N-2 ~
Tech Central, Inc. TECH CENTRAL INC ~ S-1 ~
Wachtell, Lipton, Rosen & Katz CBS RADIO INC S-1
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP CELLECT BIOMED LTD ~ F-1 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: June 27 – July 1 / plus “Age of Activism” whitepaper

There were 54 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Cion Ares Diversified Credit Fund w/ Dechert LLP,  XG Technology Inc. w/ Lowenstein Sandler LLP and Robinson Brog Leinwand Greene Genovese & Gluck PC, KT High-Tech Marketing Inc. w/ Cassidy & Associates and RegA+ registration for Novea 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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Las firm / advisor Registrant Symbol Form Industry
Alcoa Upstream Corporation ALCOA UPSTREAM CORP ~ 10-12B ~
Alliance Freight Lines Inc ALLIANCE FREIGHT LINES INC ~ 1-A ~
Bacchus Law Corporation VALMIE RESOURCES INC VMRI S-1 General Mining
Baker Botts L.L.P. 8POINT3 ENERGY PARTNERS LP CAFD S-3 ~
Becker & Poliakoff LLP DLH HOLDINGS CORPORATION DLHC S-3 Business Training & Employment Agencies
C2 Aviation Capital, Inc. C2 AVIATION CAPITAL INC ~ 10-12B ~
Calfee, Halter & Griswold LLP FAIRMOUNT SANTROL HOLDINGS INC FMSA S-3 General Mining
Cassidy & Associates KT HIGH-TECH MARKETING INC ~ S-1 ~
Chapman and Cutler LLP NUVEEN FLOATING RATE INCOME FUND JFR N-2 Equity Investment Instruments
Chapman and Cutler LLP NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND JRO N-2 Equity Investment Instruments
Conduent Inc CONDUENT INC ~ 10-12B ~
Cooley LLP ONCOBIOLOGICS INC ONS S-1 ~
Cutler Law Group, P.C. SCOTTLINE HEALTHCARE SOLUTIONS INC ~ 1-A ~
Davis Graham & Stubbs LLP HECLA MINING CO/DE/ HL S-4 Diamonds & Gemstones
Davis Polk & Wardwell LLP KINSALE CAPITAL GROUP INC ~ S-1 ~
Davis Polk & Wardwell LLP S&P GLOBAL INC SPGI S-3 Specialty Finance
Debevoise & Plimpton LLP VERIZON COMM-UNICATIONS INC VZA S-4 Fixed Line Telecomm
Dechert LLP CION ARES DIVERSIFIED CREDIT FUND ~ N-2 ~
DLA Piper LLP MOBILE MINI INC MINI S-4 Business Support Services
Dorsey & Whitney LLP CESCA THERAPEUTICS INCORPORATED KOOL S-3 Medical Supplies
Fogler, Rubinoff LLP NUTRITIONAL HIGH INTERNATIONAL INC ~ F-1 ~
Foley & Lardner LLP CURRENCY -SHARES BRITISH POUND STERLING TRUST FXB S-1 ~
Gide Loyrette Nouel A.A.R.P.I. TALEND SA ~ F-1 ~
Golenbock Eiseman Assor Bell & Peskoe LLP ATOMERA INC ~ S-1 ~
Goodwin Procter LLP TALEND SA ~ F-1 ~
Greenberg Traurig, LLP ATOMERA INC ~ S-1 ~
Harter Secrest & Emery LLP COPSYNC INC COYN S-3 Computer Services
Jones Day TALEND SA ~ F-1 ~
Jones Day YETI HOLDINGS INC ~ S-1 ~
Jones Day GUIDED THERAPEUTICS INC GTHP S-1 Medical Equipment
K&L Gates LLP HECLA MINING HL S-4 Diamonds & Gemstones
Katten Muchin Rosenman LLP META FINANCIAL GROUP INC CASH S-3 Banks
King & Spalding LLP WINGSTOP INC WING S-3 ~
Latham & Watkins LLP BIOVENTUS INC ~ S-1 ~
Latham & Watkins LLP YETI HOLDINGS INC ~ S-1 ~
Legal & Compliance, LLC BIOSCULPTURE TECHNOLOGY INC ~ 1-A ~
Loeb & Loeb LLP FULL SPECTRUM INC ~ S-1 ~
Lowenstein Sandler LLP XG TECHNOLOGY INC XGTI S-1 Telecomm Equipment
Luse Gorman, PC FIRST OF LONG ISLAND CORP FLIC S-3 Banks
Messerli & Kramer P.A. ASURE SOFTWARE INC ASUR S-3 Business Support Services
Morgan, Lewis & Bockius LLP NUVEEN ALL CAP ENERGY MLP OPPORTUNITIES FUND JMLP N-2 ~
Novea Inc. NOVEA INC ~ 1-A ~
Parkway, Inc. PARKWAY INC ~ 10-12B ~
Paul Hastings LLP SORRENTO THERAPEUTICS INC SRNE S-3 Biotech
Polsinelli PC LANDRUM CO ~ 1-A ~
Robinson Brog Leinwand Greene Genovese & Gluck P.C. XG TECHNOLOGY INC XGTI S-1 Telecomm Equipment
Sichenzia Ross Friedman Ference LLP FULL SPECTRUM INC ~ S-1 ~
Sichenzia Ross Friedman Ference LLP H/CELL ENERGY CORP ~ S-1 ~
Silverman Shin & Byrne ELITE PHARMA INC ELI S-1 Pharma
Simpson Thacher & Bartlett LLP APX GROUP HOLDINGS INC ~ S-4 ~
Simpson Thacher & Bartlett LLP BIOVENTUS INC ~ S-1 ~
Skadden, Arps, Slate, Meagher & Flom LLP KINSALE CAPITAL GROUP INC ~ S-1 ~
Snell & Wilmer L.L.P. CRYOPORT INC CYRX S-1 Containers & Packaging
Stradley Ronon Stevens & Young, LLP NUVEEN FLOATING RATE INCOME FUND JFR N-2 Equity Investment Instruments
Stradley Ronon Stevens & Young, LLP NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND JRO N-2 Equity Investment Instruments
Sutherland Asbill & Brennan LLP PRIORITY INCOME FUND INC ~ N-2 ~
The Bunker Law Group, PLLC CARO HOLDINGS INC ~ S-1 ~
TroyGould PC LION BIO- TECHNOLOGIES INCORPORATED LBIO S-1 Biotech
Vinson & Elkins L.L.P. ANTERO MIDSTREAM PARTNERS LP AM S-3 Pipelines
Wachtell, Lipton, Rosen & Katz MATCH GROUP INC MTCH S-4 ~
Web Debt Solutions, LLC STEPHANIE IZEVBIZUA ~ 1-A ~
Wilmer Cutler Pickering Hale and Dorr LLP CATABASIS PHARMA-CEUTICALS INC CATB S-3 ~
Wilson Sonsini Goodrich & Rosati, P.C. TALEND SA ~ F-1 ~
Wilson Sonsini Goodrich & Rosati, P.C. INVUITY INC IVTY S-3 ~
Winstead PC ABRAXAS PETROLEUM CORP AXAS S-3 Exploration & Production
Winstead PC ABRAXAS PETROLEUM CORP AXAS S-4 Exploration & Production
Winston & Strawn LLP NGL ENERGY PARTNERS LP NGL S-3 Oil & Gas Refining and Marketing

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: June 20 – 24 / plus new Wall Street investor report

There were 31 transactions filed with the SEC this 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 we’re pleased that they found us to be the intelligent value.

Below is a complete list of the week’s transactions.

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Law firm / advisor Registrant Symbol Form Industry
AltaVista Capital Markets, LLC ALTAVISTA CAPITAL MARKETS LLC ~ 1-A ~
Astics, Inc. ASTICS INC ~ 1-A ~
Baker Botts L.L.P. CENTENNIAL RESOURCE DEVELOPMENT INC ~ S-1 ~
Barack Ferrazzano Kirschbaum & Nagelberg LLP MIDWESTONE FINANCIAL GROUP INC MOFG S-3 Banks
Bofat Investment Inc BOFAT INVESTMENT INC ~ 1-A ~
Chapman and Cutler LLP NUVEEN SENIOR INCOME FUND NSL N-2 Equity Investment Instruments
Clyde Snow & Sessions, PC PREMIER BIOMEDICAL INC BIEI S-1 Biotechnology
David M. Seeberger, Esq. ROCKY MOUNTAIN HIGH BRANDS INC ~ 10-12G ~
Ellenoff Grossman & Schole LLP CONYERS PARK ACQUISITION CORP ~ S-1 ~
Foley & Lardner LLP SUNSHINE BANCORP INC SBCP S-4 Banks
Frost Brown Todd LLC PORTER BANCORP INC PBIB S-1 Banks
Gibson, Dunn & Crutcher LLP MEDPACE HOLDINGS INC ~ S-1 ~
Greenberg Traurig, LLP MOBIVITY HOLDINGS CORP MFON S-1 Software
Hogan Lovells US LLP WESTFIELD FINANCIAL INC WFD S-4 Banks
Investors Real Estate Trust INVESTORS REAL ESTATE TRUST IRET S-3 Diversified REITs
Kirkland & Ellis LLP CONYERS PARK ACQUISITION CORP ~ S-1 ~
Latham & Watkins LLP ACUSHNET HOLDINGS CORP ~ S-1 ~
Latham & Watkins LLP MEDPACE HOLDINGS INC ~ S-1 ~
Latham & Watkins LLP ACHAOGEN INC AKAO S-3 Biotechnology
Latham & Watkins LLP GOLDEN ENTERTAINMENT INCORPORATED GDEN S-3 Gambling
Libertas Law Group, Inc. REED’S INC REED S-3 Soft Drinks
Loeb & Loeb LLP NV5 GLOBAL INCORPORATED NVEE S-3 Business Support Services
Lowenstein Sandler LLP ARCH THERAPEUTICS INC ARTH S-1 ~
Luse Gorman, PC WESTFIELD FINANCIAL INC WFD S-4 Banks
Olshan Frome Wolosky LLP IZEA INCORPORATED IZEA S-3 Specialty Finance
Paul Hastings LLP VIKING THERAPEUTICS INC VKTX S-3 ~
Pillsbury Winthrop Shaw Pittman LLP VIOLIN MEMORY INC VMEM S-3 Computer Hardware
Proskauer Rose LLP ARES CAPITAL CORP ARCC N-2 Equity Investment Instruments
Reed Smith LLP JAGUAR ANIMAL HEALTH INC JAGX S-1 Biotechnology
Ruskin Moscou Faltischek, P.C. ROOT9B TECHNOLOGIES INCORPORATED RTNB S-1 Software
Silver, Freedman, Taff & Tiernan LLP DNB FINANCIAL CORP /PA/ DNBF S-4 Banks
Simpson Thacher & Bartlett LLP ACUSHNET HOLDINGS CORP ~ S-1 ~
Smith Mackinnon PA SUNSHINE BANCORP INC SBCP S-4 Banks
Steven R. Skirvin, Esq. ANFIELD ACQUISITIONS INC ~ S-1 ~
Stradley Ronon Stevens & Young, LLP DNB FINANCIAL CORP /PA/ DNBF S-4 Banks
Stradley Ronon Stevens & Young, LLP NUVEEN SENIOR INCOME FUND NSL N-2 Equity Investment Instruments
Vinson & Elkins L.L.P. CENTENNIAL RESOURCE DEVELOPMENT INC ~ S-1 ~
Vinson & Elkins L.L.P. GLOBAL PARTNERS LP GLP S-3 Exploration & Production
Vinson & Elkins L.L.P. NEXEO SOLUTIONS INC WLRHU S-3 Specialty Finance

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: June 13 – 17 / plus Reg A+ Form 1-A Worksheet

There were 52 transactions filed with the SEC this 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 we’re pleased that they found us to be the intelligent value.

Below is a complete list of the week’s transactions.

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Law firm / advisor Registrant Symbol Form Industry
Akerman LLP IDI INC IDI S-3 Media Agencies
Alston & Bird LLP FIRST CASH FINANCIAL SERVICES INC FCFS S-4 Consumer Finance
Armstrong Simpson NATCORE TECHNOLOGY INC ~ F-1 Semiconductors
Astics, Inc. ASTICS INC ~ 1-A ~
Ballard Spahr LLP OPGEN INC OPGN S-3 ~
Barack Ferrazzano Kirschbaum & Nagelberg LLP FIRST MID ILLINOIS BANCSHARES INC FMBH S-4 Banks
Christen P. Lambert, Atty. POCKET SHOT CO ~ S-1 ~
Cleary Gottlieb Steen & Hamilton LLP TPI COMPOSITES INC ~ S-1 ~
Cooley LLP ORTHOPEDIATRICS CORP ~ S-1 ~
Cooley LLP ACLARIS THERAPEUTICS INC ACRS S-1 ~
Cooley LLP ARENA PHARMACEUTICALS INC ARNA S-3 Biotech
Cooley LLP EIGER BIO PHARMACEUTICALS INCORPORATED EIGR S-3 Biotech
Davis Polk & Wardwell LLP TGLT S.A. ~ F-1 ~
Davis Polk & Wardwell LLP CLIFFS NATURAL RESOURCES INC CLF S-1 Iron & Steel
DLA Piper LLP GENMARK DIAGNOSTICS INC GNMK S-3 Medical Equipment
Dorsey & Whitney LLP TRI-STATE GENERATION & TRANSMISSION ASSOCIATION INC ~ S-4 ~
Downey Brand LLP CENTRAL VALLEY COMMUNITY BANCORP CVCY S-4 Banks
Ellenoff Grossman & Schole LLP HEDGEPATH PHARMACEUTICALS INCORPORATED CBTE S-1 Biotech
Faegre Baker Daniels LLP AV HOMES INC AVHI S-3 Real Estate Holding & Development
Foley Hoag LLP CELLECTAR BIOSCIENCES INCORPORATED CLRB S-3 Pharma
Frederick M. Lehrer, Attorney and Counselor at Law DYNAMIC ENVIRO INC ~ S-1 ~
Gibson, Dunn & Crutcher LLP ABBOTT LABORATORIES ABT S-4 Pharma
Goodwin Procter LLP TPI COMPOSITES INC ~ S-1 ~
Goodwin Procter LLP FUNDRISE EAST COAST OPPORTUNISTIC REIT LLC ~ 1-A Real Estate
Goodwin Procter LLP FUNDRISE MIDLAND OPPORTUNISTIC REIT LLC ~ 1-A Real Estate
Goodwin Procter LLP FUNDRISE WEST COAST OPPORTUNISTIC REIT LLC ~ 1-A Real Estate
Goodwin Procter LLP ATYR PHARMA INC LIFE S-3 ~
Hinckley, Allen & Snyder LLP BANKWELL FINANCIAL GROUP INCORPORATED BWFG S-4 Banks
Holland & Knight LLP TGLT S.A. ~ F-1 ~
Holland & Knight LLP GRIFFIN INSTITUTIONAL ACCESS REAL ESTATE FUND GIREX N-2 ~
Hunton & Williams LLP FIRST CASH FINANCIAL SERVICES INC FCFS S-4 Consumer Finance
Jones & Keller, P.C. YUMA DELAWARE MERGER SUBSIDIARY INC ~ S-4 ~
Jones Day CLIFFS NATURAL RESOURCES INC CLF S-1 Iron & Steel
Jones Day MPLX LIMITED PARTNERSHIP MPLX S-4 Pipelines
K&L Gates LLP NEOGENOMICS INC NEO S-3 Health Care Providers
K&L Gates LLP UNIVERSAL STAINLESS & ALLOY PRODUCTS INC USAP S-3 Iron & Steel
Kaplan Voekler Cunningham & Frank PLC HC GOVERNMENT REALTY TRUST INC ~ 1-A ~
Keating Muething & Klekamp PLL ATRICURE INC ATRC S-3 Medical Equipment
Kenneth B. Lerman, PC OPPORTUNITY ACQUIS CORP ~ 10-12G ~
Kramer Levin Naftalis & Frankel LLP PROSPECT INVESTMENT CORP ~ N-2 ~
Latham & Watkins LLP CAMPING WORLD HOLDINGS INC ~ S-1 ~
Latham & Watkins LLP ORTHOPEDIATRICS CORP ~ S-1 ~
LoPresti Law Group, P.C. NATCORE TECHNOLOGY INC ~ F-1 Semiconductors
Lucosky Brookman LLP MERIDIAN WASTE SOLUTIONS INCORPORATED BCKE S-1 Electrical Components & Equipment
Manatt, Phelps & Phillips, LLP CENTRAL VALLEY COMMUNITY BANCORP CVCY S-4 Banks
Matthew McMurdo, Esq. GLOLEX INC ~ S-1 ~
Michael A. Littman, Atty. POCKET SHOT CO ~ S-1 ~
Morrison & Foerster LLP JERNIGAN CAPITAL INC JCAP S-3 ~
Paul Hastings LLP CAPRICOR THERAPEUTICS INC CAPR S-3 Biotech
Paul, Weiss, Rifkind, Wharton & Garrison LLP HCP SPINCO INC ~ 10-12B ~
Porter Hedges LLP YUMA DELAWARE MERGER SUBSIDIARY INC ~ S-4 ~
Porter Hedges LLP PAR PACIFIC HOLDINGS INCORPORATED PARR S-3 Oil Equipment & Services
Sacks Tierney P.A. RAYONIER ADVANCED MATERIALS INCORPORATED RYAM S-3 Specialty Chemicals
Schiff Hardin LLP FIRST MID ILLINOIS BANCSHARES INC FMBH S-4 Banks
Sichenzia Ross Friedman Ference LLP BIOPHARMX CORPORATION BPMX S-3 Specialty Finance
Sichenzia Ross Friedman Ference LLP OWC PHARMACEUTICAL RESEARCH CORP DYAP S-1 Specialty Finance
Sichenzia Ross Friedman Ference LLP MEDOVEX CORPORATION MDVX S-1 Nonequity Investment Instruments
Sidley Austin LLP RANGE RESOURCES CORP RRC S-4 Exploration & Production
Skadden, Arps, Slate, Meagher & Flom LLP HCP SPINCO INC ~ 10-12B ~
Stradling Yocca Carlson & Rauth, P.C. XY – THE FINDABLES CO ~ 1-A ~
Vinson & Elkins LLP RANGE RESOURCES CORP RRC S-4 Exploration & Production
Wachtell, Lipton, Rosen & Katz ABBOTT LABORATORIES ABT S-4 Pharma
Weil, Gotshal & Manges LLP CAMPING WORLD HOLDINGS INC ~ S-1 ~
Wilmer Cutler Pickering Hale and Dorr LLP AVEO PHARMACEUTICALS INC AVEO S-3 Pharma
Wilson Sonsini Goodrich & Rosati, P.C. GODADDY INC GDDY S-3 ~
Wyrick Robbins Yates & Ponton LLP AYTU BIOSCIENCE INC RSWN S-1 Specialty Finance

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: May 30 – June 10 / plus Reg A+ Form 1-A Worksheet

There were 79 transactions filed with the SEC during these dates.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Atossa Genetics Inc. w/ Gibson, Dunn & Crutcher, LLP and Steben Select Multi-Strategy Fund w/ K&L Gates 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
Andrews Kurth LLP ASHFORD HOSPITALITY TRUST INC AHT S-3 REITs
Andrews Kurth LLP CINER RESOURCES LP OCIR S-3 General Mining
Baker Botts L.L.P. TALLGRASS ENERGY GP LP TEGP S-3 ~
Barack Ferrazzano Kirschbaum & Nagelberg LLP FIRST COMMUNITY FINANCIAL PARTNERS INC FCFP S-3 Banks
Brownstein Hyatt Farber Schreck, LLP REAL GOODS SOLAR INC RGSE S-1 Electrical Components & Equipment
Bryan Cave LLP QUINTILES TRANSNATIONAL HOLDINGS INC Q S-4 Biotech
Cleary Gottlieb Steen & Hamilton LLP LINE CORP ~ F-1 ~
Clifford Chance US LLP NATIONAL STORAGE AFFILIATES TRUST NSA S-3 ~
Cooley LLP SYROS PHARMACEUTICALS INC ~ S-1 ~
Cooley LLP TITAN TECHNOLOGIES CORP ~ S-4 ~
Cooley LLP IMMUNOCELLULAR THERAPEUTICS LTD IMUC S-1 Biotech
Cravath, Swaine & Moore LLP ASHLAND GLOBAL HOLDINGS INC ~ S-4 ~
Cravath, Swaine & Moore LLP VALVOLINE INC ~ S-1 ~
Davis Graham & Stubbs LLP PERSHING GOLD CORPORATION PGLC S-3 Gold Mining
Davis Polk & Wardwell LLP AC IMMUNE SA ~ F-1 ~
Davis Polk & Wardwell LLP GLOBAL BLOOD THERAPEUTICS INC GBT S-1 ~
Dechert LLP GRIFFON CORP GFF S-4 Building Materials & Fixtures
DLA Piper LLP KADMON HOLDINGS LLC ~ S-1 ~
DLA Piper LLP NET 1 UEPS TECHNOLOGIES INC UEPS S-3 Financial Administration
EastBiz.com, Inc. BYLOG GROUP CORP ~ S-1 ~
Ellenoff Grossman & Schole LLP IMMUNOCELLULAR THERAPEUTICS LTD IMUC S-1 Biotech
Faegre Baker Daniels LLP COLUCID PHARMACEUTICALS INC CLCD S-3 ~
Fenwick & West LLP IMPINJ INC ~ S-1 ~
Foley & Lardner LLP CURRENCYSHARES JAPANESE YEN TRUST FXY S-3 ~
Foley & Lardner LLP MANITOWOC FOODSERVICE INC MFS S-1 ~
Fried, Frank, Harris, Shriver & Jacobson LLP JELD-WEN HOLDING INC ~ S-1 ~
Frost Brown Todd LLC WESBANCO INC WSBC S-4 Banks
Gibson, Dunn & Crutcher LLP PDL BIOPHARMA INC PDLI S-3 Biotech
Gibson, Dunn & Crutcher, LLP ATOSSA GENETICS INC ATOS S-1 Medical Supplies
Goodwin Procter LLP AC IMMUNE SA ~ F-1 ~
Goodwin Procter LLP GLOBAL BLOOD THERAPEUTICS INC GBT S-1 ~
Greenberg Traurig, LLP INVIVO THERAPEUTICS HOLDINGS CORP NVIV S-3 Biotech
Harold P. Gewerter, Esq. Ltd. BIOCRUDE TECHOLOGIES INC ~ S-1 ~
Hogan Lovells US LLP PARK HOTELS & RESORTS INC ~ 10-12B ~
Hogan Lovells US LLP COUSINS PROPERTIES INC CUZ S-4 REITs
Holland & Knight LLP GRIFFIN INSTITUTIONAL ACCESS GLOBAL CREDIT FUND ~ N-2 ~
Jones Day PARK OHIO HOLDINGS CORP PKOH S-3 Business Support Services
Jones Day OLYMPIC STEEL INC ZEUS S-3 Iron & Steel
K&L Gates LLP GROSVENOR REGISTERED MULTI-STRATEGY FUND (TI 1) LLC ~ N-2 ~
K&L Gates LLP GROSVENOR REGISTERED MULTI-STRATEGY FUND (TI 2) LLC ~ N-2 ~
K&L Gates LLP GROSVENOR REGISTERED MULTI-STRATEGY FUND (W) LLC ~ N-2 ~
K&L Gates LLP STEBEN SELECT MULTI-STRATEGY FUND ~ N-2 ~
K&L Gates LLP WESBANCO INC WSBC S-4 Banks
Kilpatrick Townsend & Stockton LLP OTTAWA BANCORP INC ~ S-1 ~
Kramer Levin Naftalis & Frankel LLP SIGA TECHNOLOGIES INC SIGA S-1 Biotech
Latham & Watkins LLP JELD-WEN HOLDING INC ~ S-1 ~
Latham & Watkins LLP KADMON HOLDINGS LLC ~ S-1 ~
Latham & Watkins LLP CONTRAFECT CORP CFRX S-3 Biotech
Loev Law Firm, PC VERTEX ENERGY INC VTNR S-1 Waste & Disposal Services
Luse Gorman, PC BANCORP 34 INC ~ S-1 ~
Mayflower Advisors, LLC MAYFLOWER INVESTMENT GROUP INC ~ 1-A ~
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. NEUROMETRIX INC NURO S-3 Medical Equipment
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. PIERIS PHARMACEUTICALS INCORPORATED PIRS S-3 ~
Mobad Service Corporation MOBAD SERVICE CORP ~ S-1 ~
Moomjian, Waite & Coleman, LLP ECHO THERAPEUTICS INC ECTE S-3 Medical Supplies
Morgan, Lewis & Bockius LLP NUVEEN MINNESOTA MUNICIPAL INCOME FUND NMS N-2 ~
Morgan, Lewis & Bockius LLP NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND NMZ N-2 Equity Investment Instruments
Morgan, Lewis & Bockius LLP NUVEEN AMT-FREE MUNICIPAL VALUE FUND NUW N-2 Equity Investment Instruments
Morrison & Foerster LLP BANK OF MONTREAL BMO S-1 ~
NMI Health, Inc. NMI HEALTH INC NANM 10-12G Medical Supplies
Novea Inc. NOVEA INC ~ 1-A ~
Nutriband Ltd. NUTRIBAND INC ~ 10-12G ~
Paul Hastings LLP KAYNE ANDERSON MLP INVESTMENT CO KYN N-2 Equity Investment Instruments
Pepper Hamilton LLP ONCONOVA THERAPEUTICS INC ONTX S-1 Biotech
Phillips, Gardill, Kaiser & Altmeyer, PLLC WESBANCO INC WSBC S-4 Banks
Pillsbury Winthrop Shaw Pittman LLP PACIFIC CONTINENTAL CORP PCBK S-4 Banks
Proskauer Rose LLP ARES COMMERCIAL REAL ESTATE CORP ACRE S-3 REITs
Proskauer Rose LLP PREFERRED APARTMENT COMMUNITIES INC APTS S-3 REITs
Reed Smith LLP ETFS PLATINUM TRUST PPLT S-3 Nonequity Investment Instruments
Ropes & Gray LLP BLUE COAT INC ~ S-1 ~
Ropes & Gray LLP MICROVISION INC MVIS S-3 Electronic Equipment
Shearman & Sterling LLP VALVOLINE INC ~ S-1 ~
Shearman & Sterling LLP THE CHEFS’ WAREHOUSE INCORPORATED CHEF S-3 Food Retailers & Wholesalers
Sichenzia Ross Friedman Ference LLP LEO MOTORS INC LEOM S-1 Auto Parts
Sidley Austin LLP PACIFIC CONTINENTAL CORP PCBK S-4 Banks
Silver, Freedman, Taff & Tiernan LLP OTTAWA BANCORP INC ~ S-1 ~
Simpson Thacher & Bartlett LLP HILTON GRAND VACATIONS INC ~ 10-12B ~
Simpson Thacher & Bartlett LLP LINE CORP ~ F-1 ~
Simpson Thacher & Bartlett LLP PARK HOTELS & RESORTS INC ~ 10-12B ~
Simpson Thacher & Bartlett LLP TRANSUNION 0205153D S-3 ~
Skadden, Arps, Slate, Meagher & Flom LLP TITAN TECHNOLOGIES CORP ~ S-4 ~
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P. QUINTILES TRANSNATIONAL HOLDINGS INC Q S-4 Biotech
Squire Patton Boggs LLP NOVABAY PHARMACEUTICALS INC NBY S-3 Biotech
Stark & Stark, PC GH CAPITAL INC ~ S-1 ~
Sullivan & Cromwell LLP 100 MAPLE LLC VGR S-4 Tobacco
Sutherland Asbill & Brennan LLP HANCOCK PARK CORPORATE INCOME INC ~ 10-12G ~
The Doney Law Firm OPTIMIZERX CORP OPRX S-1 Publishing
Vedder Price P.C. BANCORP 34 INC ~ S-1 ~
Vinson & Elkins L.L.P. TC PIPELINES LP TCP S-3 Pipelines
Wachtell, Lipton, Rosen & Katz COUSINS PROPERTIES INC CUZ S-4 REITs
Weil, Gotshal & Manges LLP GE CAPITAL INTERNATIONAL FUNDING CO GE S-4 Diversified Industrials
Weil, Gotshal & Manges LLP QUINTILES TRANSNATIONAL HOLDINGS INC Q S-4 Biotech
Williams Securities Law Firm, P.A. SHIFTPIXY INC ~ 1-A ~
Willkie Farr & Gallagher LLP CLOVIS ONCOLOGY INC CLVS S-3 Biotech
Willkie Farr & Gallagher LLP RYERSON HOLDING CORP RYI S-3 Iron & Steel
Wilmer Cutler Pickering Hale and Dorr LLP SYROS PHARMACEUTICALS INC ~ S-1 ~
Wilmer Cutler Pickering Hale and Dorr LLP SPARK THERAPEUTICS INC ONCE S-3 ~
Wilson Sonsini Goodrich & Rosati PC IMPINJ INC ~ S-1 ~
Wilson Sonsini Goodrich & Rosati, P.C. BLUE COAT 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: May 23 – 27 / plus Reg A+ Form 1-A Worksheet

There were 33 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Protea Biosciences Group Inc. w/ CKR Law LLP and Sichenzia Ross Friedman Ference LLP and XG Technology Inc. w/ Robinson Brog Leinwand Greene Genovese & Gluck P.C. 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 GREENBACKER RENEWABLE ENERGY CO LLC ~ S-1 ~
Baker Botts L.L.P. JONES ENERGY HOLDINGS LLC JONE S-3 Exploration & Production
Bass Berry & Sims PLC MRI INTERVENTIONS INC MRIC S-1 Medical Equipment
Bjornson Law Offices, PLLC GLACIER BANCORP INC GBCI S-4 Banks
Bryan Cave LLP CENTENE CORP CNC S-4 Health Care Providers
CKR Law LLP PROTEA BIOSCIENCES GROUP INC PRGB S-1 Biotech
Cleary, Gottlieb, Steen & Hamilton CARBO CERAMICS INC CRR S-3 Oil Equipment & Services
Clifford Chance US LLP NATIONAL STORAGE AFFILIATES TRUST ~ S-3 ~
Cooley LLP SELECTA BIOSCIENCES INC ~ S-1 ~
Crowell & Moring LLP GIGPEAK INC GIG S-3 Semiconductors
Dechert LLP CAREY CREDIT INCOME FUND 2017 T ~ N-2 ~
Dorsey & Whitney LLP AMEDICA CORP AMDA S-1 Medical Supplies
Ellenoff Grossman & Schole LLP HIGHLAND ACQUISITION CORP ~ S-1 ~
Ellenoff Grossman & Schole, LLP AMEDICA CORP AMDA S-1 Medical Supplies
Fredrikson & Byron, P.A. MRI INTERVENTIONS INC MRIC S-1 Medical Equipment
Gewerter & Dowling ATLANTIC ACQUISITION INC ~ S-1 ~
Goodwin Procter LLP TWILIO INC ~ S-1 ~
Graubard Miller HIGHLAND ACQUISITION CORP ~ S-1 ~
Hogan Lovells US LLP APPLE HOSPITALITY REIT INCORPORATED APLE S-4 ~
Latham & Watkins LLP SELECTA BIOSCIENCES INC ~ S-1 ~
Latham & Watkins LLP TWILIO INC ~ S-1 ~
Legal & Compliance, LLC IEG HOLDINGS CORP IEGH S-1 Specialty Finance
McGuireWoods LLP APPLE HOSPITALITY REIT INCORPORATED APLE S-4 ~
Miller Nash Graham & Dunn LLP GLACIER BANCORP INC GBCI S-4 Banks
Morgan, Lewis & Bockius LLP NUVEEN ARIZONA PREMIUM INCOME MUNICIPAL FUND INCORPORATED NAZ N-2 Equity Investment Instruments
Morris, Manning & Martin, LLP GREENBACKER RENEWABLE ENERGY CO LLC ~ S-1 ~
Olshan Frome Wolosky LLP IEG HOLDINGS CORP IEGH S-1 Specialty Finance
Planet Fitness, Inc. PLANET FITNESS INC PLNT S-1 ~
Robinson Brog Leinwand Greene Genovese & Gluck P.C. XG TECHNOLOGY INC XGTI S-3 Telecomm Equipment
Ropes & Gray LLP PLANET FITNESS INC PLNT S-1 ~
Ropes & Gray LLP BLACKSTONE ALTERNATIVE ALPHA FUND ~ N-2 ~
Ropes & Gray LLP BLACKSTONE ALTERNATIVE ALPHA FUND II ~ N-2 ~
Ropes & Gray LLP STEMCELLS INC STEM S-1 Biotech
Securus Law Group, P.A. FUTURELAND CORP AEGA S-1 Specialty Finance
Sichenzia Ross Friedman Ference LLP PROTEA BIOSCIENCES GROUP INC PRGB S-1 Biotech
Sichenzia Ross Friedman Ference LLP TROVAGENE INCORPORATED TROV S-3 Biotech
Simpson Thacher & Bartlett LLP PLANET FITNESS INC PLNT S-1 ~
Stroock & Stroock & Lavan LLP A&Q MASTERS FUND ~ N-2 ~
Troutman Sanders LLP PARAGON COMMERCIAL CORP ~ S-1 ~
Troutman Sanders LLP SQN ASSET INCOME FUND V L.P ~ S-1 ~
Vorys, Sater, Seymour and Pease LLP PEOPLES BANCORP INC PEBO S-3 Banks
Wilson Sonsini Goodrich & Rosati, P.C. CAREDX INCORPORATED CDNA S-3 Medical Supplies
Wyrick Robbins Yates & Ponton LLP PARAGON COMMERCIAL CORP ~ S-1 ~
Wyrick Robbins Yates & Ponton LLP CORMEDIX INC CRMD S-3 Pharmaceuticals

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.