Category Archives: IPO week in review

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

There were 28 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including XG Technology Inc. w/ Robinson Brog Leinwand Greene Genovese & Gluck P.C. and XCEL Brands Inc. w/ Blank Rome LLP.

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

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

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

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors. Click here and opt-in to receive this weekly summary via email.

Click here to review the week’s underwriters.

Have a great week

 

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

There were 27 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Pharmathene Inc. w/ Dentons US and Proskauer Rose LLP, Eastside Distilling Inc. w/ Dickinson Wright PLLC and Summit Law Group PLLC and Acura Pharmaceuticals Inc. w/ LeClairRyan.

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

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

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

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors. Click here and opt-in to receive this weekly summary via email.

Click here to review the week’s underwriters.

Have a great week

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

There were 45 transactions filed with the SEC last week.

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

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

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

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

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors. Click here and opt-in to receive this weekly summary via email.

Click here to review the week’s underwriters.

Have a great week

 

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

There were 39 transactions filed with the SEC last week.

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

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

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 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