Category Archives: IPO week in review

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

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: Oct 31 – Nov 4 / plus 2017 SEC Filing Deadline calendar

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 Matinas Biopharma Holdings Inc. w/ Lowenstein Sandler LLP, First Bancshares Inc. w/ Jones Walker LLP and Smith Mackinnon, PA, Arch Therapeutics Inc. w/ Lowenstein Sandler LLP, Steadfast Alcentra Global Credit Fund w/ Morris, Manning & Martin, LLP, Howard Bancorp Inc. w/ Ober, Kaler, Grimes & Shriver, PC and Sierra Opportunity Fund w/ Sutherland Asbill & Brennan LLP.

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
Allen & Overy LLP EVERETT SPINCO INC ~ 10-12G ~
Allen & Overy LLP EVERETT SPINCO INC ~ S-4 ~
Andrews Kurth Kenyon LLP ENERGY TRANSFER PARTNERS L.P ETP S-3 Natural gas transmission
Barack Ferrazzano Kirschbaum & Nagelberg LLP OLD SECOND BANCORP INC OSBC S-3 Banks
Chapman and Cutler LLP UNION PACIFIC CORP UNP S-4 Railroads, line-haul operating
Cooley LLP ACLARIS THERAPEUTICS INC ACRS S-3 Pharma preparations
Cooley LLP ADAMAS PHARMACEUTICALS INC ADMS S-3 Pharma preparations
Covington & Burling LLP CENTRAL EUROPEAN MEDIA ENTERPRISES LTD CETV S-3 Television broadcasting stations

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Fenwick & West LLP LOXO ONCOLOGY INC LOXO S-3 Pharmaceutical preparations
Franklin Ogele, Attorney at Law FIRST PHOENIX INVESTMENTS INC ~ 1-A ~
Gibson, Dunn & Crutcher LLP EVERETT SPINCO INC ~ 10-12G ~
Gibson, Dunn & Crutcher LLP EVERETT SPINCO INC ~ S-4 ~
Gibson, Dunn & Crutcher LLP TRANSCONTINENTAL GAS PIPE LINE COMPANY LLC ~ S-4 Natural gas transmission
Gross, Kleinhendler, Hodak, Halevy, Greenberg & Co. THERAPIX BIOSCIENCES LTD N/A F-1 Pharmaceutical preparations
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP PDVWIRELESS INC PDVW S-3 Telephone communications
Hinckley, Allen & Snyder LLP UNITED FINANCIAL BANCORP INC RCKB S-3 Savings institutions
Hogan Lovells US LLP PARKWAY INC PKY S-11 REITs
Horn & Co. THERAPIX BIOSCIENCES LTD N/A F-1 Pharma preparations
Hunton & Williams LLP APPALACHIAN POWER CO ~ S-3 Electric services
Jones Walker LLP FIRST BANCSHARES INC FBMS S-4 National commercial banks
Latham & Watkins LLP AMGEN INC AMGN S-4 Biological products
Latham & Watkins LLP CENTENNIAL RESOURCE DEVELOPMENT INC SRAQ S-1 Crude petroleum & natural gas
Latham & Watkins LLP HOULIHAN LOKEY INC HLI S-3 Investment advice
Latham & Watkins LLP CYTOMX THERAPEUTICS INC CTMX S-3 Pharma preparations
Legal & Compliance, LLC CLS HOLDINGS USA INC ADSN S-1 Retail
Loev Law Firm, PC PEDEVCO CORP PED S-3 Oil & gas field exploration
Lowenstein Sandler LLP MATINAS BIOPHARMA HOLDINGS INC MTNB S-1 Pharmaceutical preparations
Lowenstein Sandler LLP ARCH THERAPEUTICS INC ARTH S-3 Auto & home supply stores
Lowenstein Sandler LLP ARCH THERAPEUTICS INC ARTH S-3 Auto & home supply stores
Lowenstein Sandler LLP ARCH THERAPEUTICS INC ARTH S-3 Auto & home supply stores
Lowenstein Sandler LLP LAKELAND BANCORP INC LBAI S-3 Banks
Manatt, Phelps & Phillips, LLP SUPERCONDUCTOR TECHNOLOGIES INC SCON S-1 Radio & television broadcasting & communications equipment
Mayer Brown LLP ELDORADO RESORTS INC ERI S-4 Hotels & motels
McDermott Will & Emery LLP THERAPIX BIOSCIENCES LTD N/A F-1 Pharma preparations
Milbank, Tweed, Hadley & McCloy LLP ELDORADO RESORTS INC ERI S-4 Hotels & motels
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. OVASCIENCE INC OVAS S-3 Pharma preparations
Morris, Manning & Martin, LLP STEADFAST ALCENTRA GLOBAL CREDIT FUND ~ N-2 ~
North Texas Energy, Inc. NORTH TEXAS ENERGY INC ~ S-1 Crude petroleum & natural gas
Ober, Kaler, Grimes & Shriver, P.C. HOWARD BANCORP INC HBMD S-3 Banks
Reed Smith LLP ETFS PRECIOUS METALS BASKET TRUST GLTR S-3 Management investment offices
Robert O. Knutson, Attorney at Law FISION CORP ~ S-1 Blank check
Ropes & Gray LLP PIMCO FLEXIBLE CREDIT INCOME FUND ~ N-2 ~
Ropes & Gray LLP TIPTREE FINANCIAL INC TIPT S-3 REITs
Sidley Austin LLP CELSION CORP CLSN S-1 Electromedical & electrotherapeutic apparatus
Simpson Thacher & Bartlett LLP PJT PARTNERS INC PJT S-3 Investment advice
Smith Mackinnon, PA FIRST BANCSHARES INC FBMS S-4 National commercial banks
Sutherland Asbill & Brennan LLP SIERRA OPPORTUNITY FUND ~ N-2 ~
Vinson & Elkins L.L.P. WESTERN GAS EQUITY PARTNERS LIMITED PARTNERSHIP WGP S-3 Natural gas transmission
Vinson & Elkins L.L.P. CSI COMPRESSCO LIMITED PARTNERSHIP CCLP S-3 Oil & gas field services
Vorys, Sater, Seymour and Pease LLP M I HOMES INC MHO S-3 Operative builders
Wilson & Oskam, LLP FOCUS UNIVERSAL INC FCUV S-1 Advertising
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP THERAPIX BIOSCIENCES LTD N/A F-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: Oct 24 – 28 / plus 2017 SEC Filing Calendar

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 Sachem Capital Corp. w/ Blank Rome LLP and Morse, Zelnick, Rose, & Lander, LLP, Digital Turbine Inc. w/ Manatt, Phelps & Phillips, LLP and Cellectar Biosciences Inc. w/ Ellenoff Grossman & Schole LLP and Foley Hoag LLP.

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Law firm / advisor Registrant Symbol Form Industry
Baker & Hostetler LLP LONESTAR RESOURCES US INC LONE S-1 Crude petroleum & natural gas
Barack Ferrazzano Kirschbaum & Nagelberg LLP QCR HOLDINGS INC QCRH S-3 Banks
Blank Rome LLP SACHEM CAPITAL CORP ~ S-11 REITs
Bryan Cave LLP STEREOTAXIS INC STXS S-1 Electromedical & electro-therapeutic apparatus
Bull, Housser & Tupper LLP QLT INC/BC QLTI S-3 Pharm preparations
Bunker Law Group, PLLC BLUE SKY GROUP HOLDINGS INC ~ S-1 ~
Davis Graham & Stubbs LLP RESOLUTE ENERGY CORP REN S-3 Crude petroleum & natural gas
Davis Polk & Wardwell LLP REV GROUP INC ~ S-1 ~
Davis Wright Tremaine LLP MERCER ISLAND INVESTORS GROUP INC ~ 1-A ~
Duane Morris LLP ENERGY HUNTER RESOURCES INC ~ 1-A Crude petroleum & natural gas
Ellenoff Grossman & Schole LLP BELLEROPHON THERAPEUTICS INC BLPH S-1 Pharm preparations
Ellenoff Grossman & Schole LLP CELLECTAR BIOSCIENCES INC CLRB S-1 Pharm preparations
Ellenoff Grossman & Schole LLP SEANERGY MARITIME HOLDINGS CORP SHIP F-1 Deep sea foreign transportation of freight
Ervin Cohen & Jessup LLP PRIMO WATER CORP PRMW S-4 Wholesale – groceries, general line
Foley Hoag LLP CELLECTAR BIOSCIENCES INC CLRB S-1 Pharm preparations
Game Time Hydration, Inc. GAME TIME HYDRATION INC ~ 1-A ~
Gibson, Dunn & Crutcher LLP ARROWHEAD PHARMACEUTICALS INC ARWR S-3 Commercial physical & biological research
Graubard Miller PAVMED INC PAVM S-1 Surgical & medical instruments & apparatus
Huntsman Spin Corp. HUNTSMAN SPIN CORP ~ 10-12B ~
Indie Crowd Funder, LLC. RAVEN FUND 1 ~ 1-A ~
Jones Day A. SCHULMAN INC SHLM S-4 Plastic materials, synthetic resins & non-vulcanizable elastomers
Jones Day LOUISIANA- PACIFIC CORP LPX S-4 Lumber & wood products, except furniture
K&L Gates LLP PRIMO WATER CORP PRMW S-4 Wholesale – groceries, general line
Kokos Group Inc. KOKOS GROUP INC ~ S-1 ~
Latham & Watkins LLP EMERGE ENERGY SERVICES LP EMES S-1 Oil & gas field services
Latham & Watkins LLP LONESTAR RESOURCES US INC LONE S-1 Crude petroleum & natural gas
Latham & Watkins LLP REV GROUP INC ~ S-1 ~
Latham & Watkins LLP RICE MIDSTREAM PARTNERS LP RMP S-3 Natural gas transmission
Libertas Law Group, Inc. CHANTICLEER HOLDINGS INC HOTR S-1 Management consulting services
Loeb & Loeb LLP STARS ACQUISITION CORP ~ S-1 Blank check
Loev Law Firm, PC RELIANT HOLDINGS INC ~ S-1 ~
Lucosky Brookman LLP AKERS BIOSCIENCES INC AKER S-3 Industrial inorganic chemicals
Manatt, Phelps & Phillips, LLP DIGITAL TURBINE INC APPS S-1 Patent owners & lessors
Metro Media Holding Corp. NITRO HOLDINGS INC ~ 1-A ~
Milbank, Tweed, Hadley & McCloy LLP RED ROCK RESORTS INC RRR S-1 Hotels & motels
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. BELLEROPHON THERAPEUTICS INC BLPH S-1 Pharm preparations
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. STARS ACQUISITION CORP ~ S-1 Blank check
Mitchell Silberberg & Knupp LLP CADIZ INC CDZI S-3 Water supply
Morrison & Foerster LLP EMERGE ENERGY SERVICES LP EMES S-1 Oil & gas field services
Morse, Zelnick, Rose, & Lander, LLP SACHEM CAPITAL CORP ~ S-11 REITs
Olshan Frome Wolosky LLP CHANTICLEER HOLDINGS INC HOTR S-1 Management consulting services
Oxygen Therapy, Inc. OXYGEN THERAPY INC ~ S-1 ~
Prospect Capital Management L.P. PROSPECT MARKETPLACE LENDING CORP ~ N-2 ~
Seward & Kissel LLP SEANERGY MARITIME HOLDINGS CORP SHIP F-1 Deep sea foreign transportation of freight
Sidley Austin LLP BIOLASE INC BIOL S-3 Dental equipment & supplies
Sidley Austin LLP POWERSHARES DB G10 CURRENCY HARVEST FUND DBV S-1 Commodity contracts brokers & dealers
Sidley Austin LLP POWERSHARES DB MULTI-SECTOR COMMODITY TRUST DBO; DBS S-3 Commodity contracts brokers & dealers
Skadden, Arps, Slate, Meagher & Flom LLP FS ENERGY TOTAL RETURN FUND ~ N-2 ~
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P. PRIMO WATER CORP PRMW S-4 Wholesale – groceries, general line
Wachtell, Lipton, Rosen & Katz ALCOA UPSTREAM CORP ~ S-1 Rolling drawing & extruding of nonferrous metals
Weil, Gotshal & Manges LLP QLT INC/BC QLTI S-3 Pharm preparations
Wilson Sonsini Goodrich & Rosati PC AXT INC AXTI S-3 Semiconductors & related devices
Wilson Sonsini Goodrich & Rosati, P.C. AEHR TEST SYSTEMS AEHR S-3 Instruments for measuring & testing of electricity & electric signals

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: Oct 17 – 21 / plus XBRL state-of-the-state whitepaper

There were 32 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Superior Drilling Products Inc. w/ Porter Hedges LLP, Innovative Industrial Properties Inc. w/ DLA Piper LLP and Foley & Lardner LLP, Fifth Street Finance Corp w/ Dechert LLP, Cellectar Biosciences Inc. w/ Foley Hoag LLP and American Finance Trust Inc. w/ Proskauer Rose LLP.

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Law firm / advisor Registant Symbol Form Industry
Adam Freedman, Esq. EMPIRE THE MUSICAL WORLDWIDE LLC ~ 1-A ~
Alston & Bird LLP NORTHSTAR/ TOWNSEND INSTITUTIONAL REAL ESTATE FUND INC ~ N-2 ~
AXA Equitable Life Insurance Company AXA EQUITABLE LIFE INSURANCE CO ~ S-3 Insurance agents, brokers & service
Bryan Cave LLP WISDOMTREE CONTINUOUS COMMODITY INDEX FUND GCC S-3 Commodity contracts brokers & dealers
Bryan Cave LLP NATIONAL COMMERCE CORP NCOM S-4 National commercial banks
Butler Snow LLP HOMETRUST BANCSHARES INC HTBI S-4 Savings institutions
Commercial Bancshares, Inc. FIRST DEFIANCE FINANCIAL CORP FDEF S-4 Savings institutions
Davis Graham & Stubbs LLP TENGASCO INC TGC S-1 Crude petroleum & natural gas
Dechert LLP EDGE THERAPEUTICS INC EDGE S-3 Pharmaceutical preparations
Dechert LLP FIFTH STREET FINANCE CORP FSC N-2 Finance services
DLA Piper LLP INNOVATIVE INDUSTRIAL PROPERTIES INC ~ S-11 Real estate
Dominion Minerals Corp. DOMINION MINERALS CORP DMNME 10-12G Metal mining
Foley & Lardner LLP INNOVATIVE INDUSTRIAL PROPERTIES INC ~ S-11 Real estate
Foley Hoag LLP CELLECTAR BIOSCIENCES INC CLRB S-1 Pharmaceutical preparations
Franklin Ogele, Esq. PHOENIX REALTY INC ~ 1-A N/A
GetGo, Inc. GETGO INC ~ 10-12G ~
Gibson, Dunn & Crutcher LLP RXI PHARMACEUTICALS CORP RXII S-1 Pharmaceutical preparations
Greenberg Traurig, LLP RODIN GLOBAL PROPERTY TRUST INC ~ S-11 Real estate investment trusts
Gross, Kleinhendler, Hodak, Halevy, Greenberg & Co. COLLPLANT HOLDINGS LTD ~ F-1 Orthopedic, prosthetic & surgical appliances & supplies
Haynes and Boone, LLP APPLIED OPTOELECTRONICS INC AAOI S-3 Semiconductors & related devices
John D. Thomas, P.C. CROE INC ~ S-1 ~
K&L Gates LLP INTELLICHECK MOBILISA INC IDN S-3 Prepackaged software
Maynard, Cooper & Gale, P.C. NATIONAL COMMERCE CORP NCOM S-4 National commercial banks
McDermott Will & Emery LLP COLLPLANT HOLDINGS LTD ~ F-1 Orthopedic, prosthetic & surgical appliances & supplies
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. COLLPLANT HOLDINGS LTD ~ F-1 Orthopedic, prosthetic & surgical appliances & supplies
Morrison & Foerster LLP ARMADA HOFFLER PROPERTIES INC AHH S-3 Real estate
Paul, Weiss, Rifkind, Wharton & Garrison LLP REVLON CONSUMER PRODUCTS CORP RCPC S-4 Perfumes, cosmetics & other toilet preparations
Porter Hedges LLP SUPERIOR DRILLING PRODUCTS INC SDPI S-1 Oil & gas field machinery & equipment
Proskauer Rose LLP AMERICAN FINANCE TRUST INC AFIN S-4 REITs
Shumaker, Loop & Kendrick, LLP FIRST DEFIANCE FINANCIAL CORP FDEF S-4 Savings institutions
Silver, Freedman, Taff & Tiernan LLP HOMETRUST BANCSHARES INC HTBI S-4 Savings institutions
Skadden, Arps, Slate, Meagher & Flom LLP XAI OCTAGON CREDIT OPPORTUNITIES MASTER TRUST ~ N-2 ~
Sutherland Asbill & Brennan LLP THL CREDIT LAKESHORE INC ~ 10-12G ~
Sutherland Asbill & Brennan LLP SARATOGA INVESTMENT CORP SAR N-2 Finance services
V Financial Group, LLC HWH INTERNATIONAL CORP ~ S-1 ~
Vinson & Elkins L.L.P. W&T OFFSHORE INC WTI S-3 Crude petroleum & natural gas
Vorys, Sater, Seymour and Pease LLP FIRST DEFIANCE FINANCIAL CORP FDEF S-4 Savings institutions
Windels Marx Lane & Mittendorf, LLP UNITY BANCORP INC UNTY S-3 State commercial banks
Winston & Strawn LLP VERSUS CAPITAL REAL ASSETS FUND LLC ~ N-2 ~

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: Oct 10 – 14 / plus M&A worksheet

There were 36 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Accelerated Pharma Inc. w/ Ellenoff Grossman & Schole LLP and Hunter Taubman Fischer & Li LLC, Arno Therapeutics Inc. w/ Fredrikson & Byron, PA, Bioscrip Inc. w/ Dechert LLP, Evine Live Inc. w/ Gray, Plant, Mooty, Mooty & Bennett, PA and Lion Biotechnologies Inc. w/ TroyGould PC.

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Law firms / advisors Registrant Symbol Form Industry
All for One Media Corp. ALL FOR ONE MEDIA CORP EEQU 10-12B ~
ARC287BC Corp. ARC287BC CORP ~ 1-A Transport equipment
Austin Legal Group, APC IMMUNE THERAPEUTICS INC IMUN S-1 Pharma. prep.
Bofat Investment Inc. BOFAT INVESTMENT INC ~ 1-A Investors
Carman Lehnhof Israelsen SECURED REAL ESTATE FUND II LLC ~ 1-A ~
Chapman and Cutler LLP FIRST TRUST SENIOR FLOATING RATE 2022 TARGET TERM FUND ~ N-2 ~
Chapman and Cutler LLP NUVEEN PREFERRED & INCOME 2022 TERM FUND ~ N-2 ~
Cooley LLP LPATH INC LPTN S-4 Biological products
Davis Graham & Stubbs LLP MAGELLAN PETROLEUM CORP MPET S-3 Crude petroleum & natural gas
Dechert LLP BIOSCRIP INC BIOS S-3 Insurance agents
Disclosure Law Group, PC IMAGEWARE SYSTEMS INC IWSY S-3 Prepackaged software
Dorsey & Whitney LLP LUCAS ENERGY INC LEI S-3 Crude petroleum & natural gas
Ellenoff Grossman & Schole LLP EAGLE ACQUISITION CORP ~ S-1 Blank check
Ellenoff Grossman & Schole LLP ACCELERATED PHARMA INC ~ S-1 Pharma. prep.
Ellenoff Grossman & Schole LLP EMPIRE RESORTS INC NYNY S-3 Eating & drinking places
Eric P. Littman, P.A. FORCE PROTECTION VIDEO EQUIPMENT CORP MREY S-1 Retail stores
Fredrikson & Byron, P.A. ARNO THERAPEUTICS INC ARNI S-1 Pharma. prep.
Goodwin Procter LLP GLOBAL BLOOD THERAPEUTICS INC GBT S-3 Pharma. prep.
Gray, Plant, Mooty, Mooty & Bennett, P.A. EVINE LIVE INC EVLV S-3 Catalog & mail-order houses
Greenberg Traurig, LLP RMG NETWORKS HOLDING CORP RMGN S-3 Business services
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP LPATH INC LPTN S-4 Biological products
Herrick, Feinstein LLP CARDAX INC CDXI S-1 Pharma. prep.
Hunter Taubman Fischer & Li LLC ACCELERATED PHARMA INC ~ S-1 Pharma. prep.
John E. Lux, Esq. MOVEIX INC ~ S-1 ~
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. BIOPHARMX CORP BPMX S-1 Pharma. prep.
Pillsbury Winthrop Shaw Pittman LLP BIOPHARMX CORP BPMX S-1 Pharma. prep.
Prospect Capital Management L.P. PROSPECT CREDIT CORP ~ 10-12G ~
Puglisi & Associates ELECTRAMECCANICA VEHICLES CORP ~ F-1 ~
Reed Smith LLP FIRST METLIFE INVESTORS INSURANCE CO ~ S-3 ~
Reed Smith LLP FIRST METLIFE INVESTORS INSURANCE CO ~ S-3 ~
Rhoads & Sinon LLP CODORUS VALLEY BANCORP INC CVLY S-3 Savings institutions
Seward & Kissel LLP HUNTER MARITIME ACQUISITION CORP ~ F-1 Blank checks
Sidley Austin LLP DICERNA PHARMACEUTICALS INC DRNA S-3 Pharma. prep.
Skadden, Arps, Slate, Meagher & Flom LLP EAGLE ACQUISITION CORP ~ S-1 Blank check
Skadden, Arps, Slate, Meagher & Flom LLP HUNTER MARITIME ACQUISITION CORP ~ F-1 Blank checks
Stevens & Lee, P.C. ICC HOLDINGS INC ~ S-1 Fire, marine & casualty insurance
Stevens & Lee, P.C. NI HOLDINGS INC ~ S-1 Fire, marine & casualty insurance
Stevens & Lee, P.C. REPUBLIC FIRST BANCORP INC FRBK S-3 State commercial banks
Stradley Ronon Stevens & Young, LLP NUVEEN PREFERRED & INCOME 2022 TERM FUND ~ N-2 ~
TroyGould PC LION BIOTECHNOLOGIES INC LBIO S-3 Biological products
Wilson Sonsini Goodrich & Rosati, PC MIRAMAR LABS INC STXY S-1 Hardware, plumbing, heating equipment & supplies
Winston & Strawn LLP GLOBAL EAGLE ENTERTAINMENT INC ENT S-3 Comms. services
Zartex Inc. ZARTEX 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: Oct 3 – 7 / plus M&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 Naked Brand Group Inc. w/ Duane Morris LLP, Medley LLC w/ Fried, Frank, Harris, Shriver & Jacobson LLP and Winston & Strawn LLP and Mota Group Inc. w/ Loeb & Loeb LLP 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
Baker, Donelson, Bearman, Caldwell & Berkowitz, PC PROVECTUS BIO-PHARMACEUTICALS INC PVCT S-1 Pharma.
Bryan R. Clark, PC CAPWEST INCOME LLC ~ 1-A ~
Chapman and Cutler LLP NUVEEN CREDIT OPPORTUNITIES 2020 TARGET TERM FUND ~ N-2 ~
Chapman and Cutler LLP NUVEEN CREDIT OPPORTUNITIES 2022 TARGET TERM FUND ~ N-2 ~
Chapman and Cutler LLP NUVEEN CREDIT OPPORTUNITIES 2024 TARGET TERM FUND ~ N-2 ~
Cooley LLP KEMPHARM INC KMPH S-3 Pharma.
Cooley LLP NEOPHOTONICS CORP NPTN S-3 Semiconductors & related devices
Davis Graham & Stubbs LLP MAGELLAN PETROLEUM CORP MPET S-4 Crude petroleum & natural gas
Duane Morris LLP SOLIGENIX INC DOA1 S-1 Pharma.
Duane Morris LLP NAKED BRAND GROUP INC NAKD S-3 Men’s & boys’ underwear & nightwear
Fenwick & West LLP GDS HOLDINGS LTD ~ F-1 Computer programming, data process, etc.
Fishman Haygood, L.L.P. SPARK ENERGY INC SPKE S-3 Electric
Fried, Frank, Harris, Shriver & Jacobson LLP MEDLEY LLC ~ S-1 Investment advice
Goodwin Procter LLP FARMLAND PARTNERS INC FPI S-4 REITs
Goodwin Procter LLP TWILIO INC TWLO S-1 Prepackaged software
Gracin & Marlow, LLP SOLIGENIX INC DOA1 S-1 Pharma.
Gray Reed & McGraw, P.C. MAGELLAN PETROLEUM CORP MPET S-4 Crude petroleum & natural gas
Greenberg Traurig, P.A. SBA COMMUNICATIONS REIT CORP ~ S-4 ~
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP HISTOGENICS CORP HSGX S-3 Orthopedic, prosthetic & surgical appliances & supplies
InCorp Services, Inc. TEMIR CORP ~ S-1 ~
Jones & Haley, P.C. BAGGER DAVE’S BURGER TAVERN INC ~ 10-12G ~
Joseph I. Emas YAPPN CORP YPPN S-1 Wholesale – durable goods
Kirkland & Ellis LLP CHARTER COMMUNICATIONS OPERATING LLC NAVI S-4 Telephone comms.
Latham & Watkins LLP CAESARS ACQUISITION CO CACQ S-3 Hotels & motels
Latham & Watkins LLP EMERGE ENERGY SERVICES LP EMES S-1 Oil & gas field services
Latham & Watkins LLP SUMMIT MIDSTREAM PARTNERS LP SMLP S-3 Natural gas transmission
Latham & Watkins LLP TWILIO INC TWLO S-1 Prepackaged software
Ledgewood, P.C. BANCORP INC TBBK S-3 National commercial banks
Loeb & Loeb LLP MOTA GROUP INC ~ S-1 Aircraft
Lowenstein Sandler LLP ROKA BIOSCIENCE INC ROKA S-3 Laboratory analytical instruments
Lowenstein Sandler, LLP PROVECTUS BIO-PHARMACEUTICALS INC PVCT S-1 Pharma.
Morrison & Foerster LLP FARMLAND PARTNERS INC FPI S-4 REITs
Norman Law Firm PLLC JRD4256 ENTERPRISES LLC ~ 1-A Amusement & recreation services
Ober, Kaler, Grimes & Shriver, PC OLD LINE BANCSHARES INC OLBK S-4 State commercial banks
Pepper Hamilton LLP COLLEGIUM PHARMACEUTICAL INC COLL S-3 Pharma.
Reed Smith LLP YORK WATER CO YORW S-3 Water supply
Sherman & Howard L.L.C. NATIONAL CINEMEDIA LLC ~ S-4 Advertising
Simpson Thacher & Bartlett LLP GDS HOLDINGS LTD ~ F-1 Computer programming, data process, etc.
Skadden, Arps, Slate, Meagher & Flom LLP SBA COMMUNICATIONS REIT CORP ~ S-4 ~
Stradley Ronon Stevens & Young, LLP NUVEEN CREDIT OPPORTUNITIES 2020 TARGET TERM FUND ~ N-2 ~
Stradley Ronon Stevens & Young, LLP NUVEEN CREDIT OPPORTUNITIES 2022 TARGET TERM FUND ~ N-2 ~
Stradley Ronon Stevens & Young, LLP NUVEEN CREDIT OPPORTUNITIES 2024 TARGET TERM FUND ~ N-2 ~
Sullivan & Cromwell LLP CLIPPER REALTY INC ~ S-11 REITs
Sullivan & Worcester LLP MOTA GROUP INC ~ S-1 Aircraft
Vinson & Elkins LLP CLIPPER REALTY INC ~ S-11 REITs
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: Sept 26 – 30 / plus Reg A+ Form 1-A Worksheet

There were 31 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including AudioEye Inc. w/ DLA Piper LLP, Kingold Jewelry Inc. w/ Kaufman & Canoles PC, Forceshares Trust w/ Kaye Scholer LLP, Arch Therapeutics Inc. w/ Lowenstein Sandler LLP, XG Technologies Inc. w/ Robinson Brog Leinwand Greene Genovese & Gluck PC and GTY Technology Holdings Inc. w/ Weil, Gotshal & Manges LLP and Winston & Strawn LLP.

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Law firm / advisor Registrant Symbol Form Industry
Adam S. Tracy, Ltd. AAA HEALTHCARE HOLDING CORP ~ 1-A ~
Baker & Hostetler LLP LIGHTPATH TECHNOLOGIES INC LPTH S-1 Semiconductors & related devices
Baker Botts L.L.P. BLUEKNIGHT ENERGY PARTNERS LIMITED PARTNERSHIP BKEP S-3 Pipelines, except natural gas
Bartlit Beck Herman Palenchar & Scott LLP MRI INTERVENTIONS INC MRIC S-1 Surgical & medical instruments & apparatus
Bass, Berry & Sims PLC GAIA INC GAIA S-3 Motion picture & video tape production
Bryan Cave LLP BERRY PLASTICS GROUP INC BERY S-4 Plastics products
Bryan Cave LLP MANITEX INTERNATIONAL INC MNTX S-3 Special industry machinery
Cooley LLP MYOVANT SCIENCES LTD ~ S-1 Pharma
Davis Polk & Wardwell LLP QUANTENNA COMMUNICATIONS INC ~ S-1 Communications and network technology
Davis Polk & Wardwell LLP ADVANCED ACCELERATOR APPLICATIONS S.A. AAAP F-1 Pharma
Dechert LLP ADVANCED ACCELERATOR APPLICATIONS S.A. AAAP F-1 Pharma
Dinsmore & Shohl LLP CITY HOLDING CO CHCO S-3 National commercial banks
DLA Piper LLP COTTONWOOD MULTIFAMILY REIT II INC ~ 1-A Real estate investment trusts
DLA Piper LLP AUDIOEYE INC AEYE S-1 Real estate investment trusts
DLA Piper LLP ONCOCYTE CORP OCX S-1 In vitro & in vivo diagnostic substances
Dorsey & Whitney LLP EVANS BREWING CO INC ~ S-1 Craft Brewery
Galena Biopharma, Inc. GALENA BIOPHARMA INC GALE S-3 Pharma
Goodwin Procter LLP RA PHARMACEUTICALS INC ~ S-1 Pharma
Goodwin Procter LLP ACACIA COMMUNICATIONS INC ACIA S-1 Semiconductors & related devices
Grady & Associates MIDDLEFIELD BANC CORP MBCN S-4 State commercial banks
Graubard Miller LONG ISLAND ICED TEA CORP LTEA S-3 Malt beverages
Hogan Lovells US LLP PLAYA HOTELS & RESORTS B.V. ~ S-1 Hotels & motels
Honigman Miller Schwartz and Cohn LLP BERRY PLASTICS GROUP INC BERY S-4 Plastics products
Husch Blackwell LLP AMC ENTERTAINMENT HOLDINGS INC AMC S-4 Motion picture theaters
Kaufman & Canoles, P.C. KINGOLD JEWELRY INC KGJI S-3 Jewelry products
Kaye Scholer LLP FORCESHARES TRUST ~ S-1 Investors, not elsewhere classified
King & Spalding LLP AMC ENTERTAINMENT HOLDINGS INC AMC S-4 Motion picture theaters
Kirkland & Ellis LLP ZTO EXPRESS (CAYMAN) INC ~ F-1 Trucking & courier services
Latham & Watkins LLP MYOVANT SCIENCES LTD ~ S-1 Pharma
Latham & Watkins LLP RA PHARMACEUTICALS INC ~ S-1 Pharma
Latham & Watkins LLP BLACKLINE INC ~ S-1 Prepackaged software
Latham & Watkins LLP VIEWRAY INC MRXC S-1 Retail – miscellaneous retail
Latham & Watkins LLP TELADOC INC TDOC S-3 offices & clinics of doctors of medicine
Lowenstein Sandler LLP ARCH THERAPEUTICS INC ARTH S-3 Retail – auto & home supply stores
Lowenstein Sandler LLP CYTODYN INC CYDY S-3 Pharma
Lucosky Brookman LLP POSITIVEID CORP PSID S-1 Comms. equipment
Meitar Liquornik Geva Leshem Tal LEAP THERAPEUTICS INC ~ S-4 ~
Morgan, Lewis & Bockius LLP LEAP THERAPEUTICS INC ~ S-4 ~
Nelson Mullins Riley & Scarborough LLP STATE BANK FINANCIAL CORP STBZ S-4 State commercial banks
Paesano Akkashian Apkarian, P.C. ATI MODULAR TECHNOLOGY CORP ~ 10-12G ~
Perkins Coie LLP NEVADA POWER CO NVE S-3 Electric services
Robinson Brog Leinwand Greene Genovese & Gluck P.C. NXT-ID INC NXTD S-3 Detective, guard & armored car services
Robinson Brog Leinwand Greene Genovese & Gluck P.C. XG TECHNOLOGY INC XGTI S-3 Communications
Sichenzia Ross Friedman Ference LLP LEO MOTORS INC LEOM S-1 Motor vehicles & passenger car bodies
Sidley Austin LLP PLAYA HOTELS & RESORTS B.V. ~ S-1 Hotels & motels
Sidley Austin LLP PROSHARES ULTRASHORT BLOOMBERG NATURAL GAS AGQ S-3 Commodity contracts brokers & dealers
Simpson Thacher & Bartlett LLP SUMMIT MATERIALS LLC ~ S-4 General building contractors -nonresidential buildings
Skadden, Arps, Slate, Meagher & Flom LLP ZTO EXPRESS (CAYMAN) INC ~ F-1 Trucking & courier services
Skadden, Arps, Slate, Meagher & Flom LLP LEAP THERAPEUTICS INC ~ S-4 ~
Skadden, Arps, Slate, Meagher & Flom LLP BERRY PLASTICS GROUP INC BERY S-4 Plastics products
Skadden, Arps, Slate, Meagher & Flom LLP GDL FUND GDL N-2 Management investment offices, open-end
Stepp Law Corporation BMC CAPITAL INC ~ S-1 Wholesale – jewelry, watches, precious stones & metals
TGI Solar Power Group, Inc. TGI SOLAR POWER GROUP INC TSPG 10-12G Patent owners & lessors
Tucker Ellis LLP MIDDLEFIELD BANC CORP MBCN S-4 State commercial banks
Vinson & Elkins L.L.P. ARCHROCK PARTNERS LIMITED PARTNERSHIP APLP S-3 Natural gas transmission
Weil, Gotshal & Manges LLP GTY TECHNOLOGY HOLDINGS INC ~ S-1 Blank checks
Willkie Farr & Gallagher LLP LEVEL 3 FINANCING INC LVLT S-4 Telephone commS
Wilmer Cutler Pickering Hale and Dorr LLP ACACIA COMMUNICATIONS INC ACIA S-1 Semiconductors & related devices
Wilson Sonsini Goodrich & Rosati, P.C. QUANTENNA COMMUNICATIONS INC ~ S-1 Communications and network technology
Wilson Sonsini Goodrich & Rosati, P.C. BLACKLINE INC ~ S-1 Prepackaged software
Winston & Strawn LLP GTY TECHNOLOGY HOLDINGS INC ~ S-1 Blank checks
Womble Carlyle Sandridge & Rice LLP STATE BANK FINANCIAL CORP STBZ S-4 State commercial banks
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP LIGHTPATH TECHNOLOGIES INC LPTH S-1 Semiconductors & related devices

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