IPOs and Transactions: May 8 -12 / plus M&A whitepaper

There were 60 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Elite Pharmaceuticals Inc. w/ Silverman Shin & Byrne, Farmers & Merchants Bancshares Inc. w/ Gordon Feinblatt LLC, Phillips Edison Grocery Center REIT III Inc. w/ DLA Piper LLP, Rosetta Genomics LTD w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo PC and Zysman, Aharoni, Gayer and Sullivan & Worcester LLP and WPCS International Inc. w/ K&L Gates LLP.

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

v-banner-billionma

Lae firm / advisor Registrant Symbol Form Industry
Akin Gump Strauss Hauer & Feld LLP STONE ENERGY CORP SGY S-3 Crude petroleum & natural gas
Avalon GloboCare Corp. AVALON GLOBOCARE CORP S-1 Prepackaged software
Baker Botts L.L.P. ENLINK MIDSTREAM PARTNERS LIMITED PARTNERSHIP ENLK S-3 Petroleum & petroleum productS
Ballard Spahr LLP TRANSENTERIX INC TRXC S-3 Blank check
Becker & Poliakoff LLP DLH HOLDINGS CORP DLHC S-3 Help supply services
Clifford Chance US LLP SUTHERLAND ASSET MANAGEMENT CORP ZFC S-3 REITs
Cooley LLP CYMABAY THERAPEUTICS INC CBAY S-3 Pharma. preparations
Critchfield, Critchfield & Johnston, Ltd. FARMERS NATIONAL BANC CORP FMNB S-4 State commercial banks
Davis Polk & Wardwell LLP CONTURA ENERGY INC ~ S-1 ~
Debevoise & Plimpton LLP US LBM HOLDINGS INC ~ S-1 ~
Debevoise & Plimpton LLP GMS INC GMS S-1 Lumber & other construction materials
DLA Piper LLP PHILLIPS EDISON GROCERY CENTER REIT III INC S-11 REITs
DLA Piper LLP CONNECTURE INC CNXR S-3 Prepackaged software
Drone USA, Inc. DRONE USA INC ~ 10-12G ~
Fenwick & West LLP CASCADIAN THERAPEUTICS INC ONTY S-3 In vitro & in vivo diagnostic substances
Fried, Frank, Harris, Shriver & Jacobson LLP GMS INC GMS S-1 Lumber & other construction materials
Gibson, Dunn & Crutcher LLP BIOCRYST PHARMACEUTICALS INC BCRX S-3 Biological products
Gibson, Dunn & Crutcher LLP AECOM ACM S-4 Engineering services
Gordon Feinblatt LLC FARMERS & MERCHANTS BANCSHARES INC S-1 Savings institutions
Greenberg Traurig, P.A. SBA COMMUNICATIONS CORP SBAC S-4 Comms. Services
GreenMo, Inc. GREENMO INC ~ 1-A ~
Griffin Capital Company, LLC PHILLIPS EDISON GROCERY CENTER REIT III INC S-11 REITs
H.C. Wainwright & Co., LLC MATEON THERAPEUTICS INC MATN S-1 Biological products
Homeier Law PC STAAR SURGICAL CO STAA S-3 Ophthalmic goods
Jones Day TRANSDIGM INC BZC;TDG S-4 ~
Jones Walker LLP FREEPORT- MCMORAN INC FCX S-4 Metal mining
K&L Gates LLP WPCS INTERNATIONAL INC WPCS S-3 Comms. Services
King & Spalding LLP BEAZER HOMES USA INC BZH S-4 Operative builders
Kirkland & Ellis LLP VICI PROPERTIES INC ~ 10-12G ~
Kirkland & Ellis LLP OASIS MIDSTREAM PARTNERS LP S-1 Drilling oil & gas wells
Kirkland & Ellis LLP NRG YIELD LLC S-4 Electric services
Latham & Watkins LLP CONTURA ENERGY INC ~ S-1 ~
Latham & Watkins LLP CONTRAFECT CORP CFRX S-3 Pharma. preparations
Latham & Watkins LLP BLACKLINE INC BL S-1 Prepackaged software
Latham & Watkins LLP CYTORI THERAPEUTICS INC CYTX S-3 Surgical & medical instruments & apparatus
Law Offices of Alexander E. Kuhne, P.C. LOYAL SOURCE MARKET SERVICES INC ~ S-1 ~
Law Offices of T. J. Jesky UBI BLOCKCHAIN INTERNET LTD-DE JAEN S-1 Industrial organic chemicals
Ledgewood, PC RAIT FINANCIAL TRUST RAS S-3 REITs
Loeb & Loeb LLP LOTON CORP LTNR S-1 Computer programming, data process, etc.
Matheau J. W. Stout, Esq. AGILITY HEALTH & WELLNESS CORP ~ S-1 ~
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. MATEON THERAPEUTICS INC MATN S-1 Biological products
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 commercial banks
Morgan, Lewis & Bockius LLP ANTARES PHARMA INC ATRS S-3 Surgical & medical instruments & apparatus
Norton Rose Fulbright US LLP RIGNET INC RNET S-3 Comms. Services
Olshan Frome Wolosky LLP ID SYSTEMS INC IDSY S-3 Comms. Equipment
Perkins Coie LLP CAI INTERNATIONAL INC CAI S-3 Equipment rental & leasing, not elsewhere classified
Phillips Edison & Company PHILLIPS EDISON GROCERY CENTER REIT III INC S-11 REITs
Pillsbury Winthrop Shaw Pittman LLP UPLAND SOFTWARE INC UPLD S-3 Prepackaged software
Quick Law Group PC ISSUER DIRECT CORP ISDR S-3 Commercial printing
Shearman & Sterling LLP ADVANCED DISPOSAL SERVICES INC ADSW S-3 Refuse systems
Shumaker, Loop & Kendrick, LLP LEGACY EDUCATION ALLIANCE INC LEAI 10-12G Educational services
Sichenzia Ross Ference Kesner LLP DATARAM CORP DRAM S-3 Computer storage devices
Sidley Austin LLP PROSHARES VIX MID-TERM FUTURES ETF AGQ S-1 Management investment offices, open-end
Sidley Austin LLP PROSHARES VIX MID-TERM FUTURES ETF AGQ S-1 Management investment offices, open-end
Sidley Austin LLP ATHENEX INC S-1 Pharma. preparations
Silverman Shin & Byrne ELITE PHARMACEUTICALS INC ELI S-3 Pharma. preparations
Simpson Thacher & Bartlett LLP ATHENEX INC S-1 Pharma. preparations
Skadden, Arps, Slate, Meagher & Flom LLP US LBM HOLDINGS INC ~ S-1 ~
Skadden, Arps, Slate, Meagher & Flom LLP LOTON CORP LTNR S-1 Computer programming, data process, etc.
Squire Patton Boggs LLP HOME BANCSHARES INC HOMB S-4 State commercial banks
Steven I. Weinberger, P.A. FUSION TELE-COMMUNICATIONS INTERNATIONAL INC FSNN S-1 Telephone communications
Stradley Ronon Stevens & Young, LLP INVESCO HIGH INCOME 2024 TARGET TERM FUND ~ N-2 ~
Tracy Law Firm, Ltd. 1212 DEVELOPMENT CORP ~ 1-A ~
Vinson & Elkins L.L.P. OASIS MIDSTREAM PARTNERS LP S-1 Drilling oil & gas wells
Vinson & Elkins L.L.P. HI-CRUSH PARTNERS LP HCLP S-3 Mining & quarrying nonmetallic minerals, except fuels
Vinson & Elkins L.L.P. CRESTWOOD MIDSTREAM PARTNERS LP CMLP S-4 Natural gas transmission
Vorys, Sater, Seymour and Pease LLP FARMERS NATIONAL BANC CORP FMNB S-4 State commercial banks
Wachtell, Lipton, Rosen & Katz CARS.COM INC S-1 Computer processing & data preparation
Weil, Gotshal & Manges LLP CANNAE HOLDINGS INC ~ S-4 ~
Willkie Farr & Gallagher LLP CREDIT SUISSE HIGH YIELD BOND FUND DHY N-2 Investment advice
Wilson Sonsini Goodrich & Rosati, P.C. BLACKLINE INC BL S-1 Prepackaged software
Wyrick Robbins Yates & Ponton LLP CITIUS PHARMACEUTICALS INC TRLO S-1 Motor vehicle parts & accessories
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP CITIUS PHARMACEUTICALS INC TRLO S-1 Motor vehicle parts & accessories
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP ROSETTA GENOMICS LTD ROSG 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

IPO Underwriters of the Week: May 8 – 12 / plus M&A whitepaper

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
CITIUS PHARMACEUTICALS INC S-1 Aegis Capital Corp. Chardan Capital Markets, LLC
GMS INC S-1 Barclays Capital Inc. RBC Capital Markets, LLC Credit Suisse Securities LLC
US LBM HOLDINGS INC S-1 Barclays Capital Inc. RBC Capital Markets, LLC Credit Suisse Securities LLC
GMS INC S-1 Barclays Capital Inc. RBC Capital Markets, LLC Credit Suisse Securities LLC
US LBM HOLDINGS INC S-1 Barclays Capital Inc. RBC Capital Markets, LLC Credit Suisse Securities LLC
LOTON CORP S-1 BMO Capital Markets Corp. ~ ~
CONTURA ENERGY INC S-1 Citigroup Global Markets Inc. ~ ~
ATHENEX INC S-1 Credit Suisse Securities LLC J.P. Morgan Securities LLC Deutsche Bank Securities Inc.
BLACKLINE INC S-1 Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC Pacific Crest Securities / Raymond James & Associates, Inc. William Blair & Company, L.L.C. / JMP Securities LLC
CYMABAY THERAPEUTICS INC S-3 JonesTrading Institutional Services LLC ~ ~
ELITE PHARMACEUTICALS INC S-3 Lincoln Park Capital Fund, LLC ~ ~
OASIS MIDSTREAM PARTNERS LP S-1 Morgan Stanley & Co. LLC / Citigroup Global Markets Inc. / Wells Fargo Securities, LLC / Credit Suisse Securities LLC / Deutsche Bank Securities Inc. / Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC RBC Capital Markets, LLC / BOK Financial Securities, Inc. / BB&T Capital Markets / BBVA Securities Inc. / BTIG, LLC / Capital One Securities, Inc. / CIBC World Markets Corp. / Citizens Capital Markets, Inc. Comerica Securities, Inc. / Heikkinen Energy Securities, LLC / IBERIA Capital Partners L.L.C. / ING Financial Markets LLC / Johnson Rice & Company L.L.C. / Regions Securities LLC / Piper Jaffray & Co. / Tudor, Pickering, Holt & Co. Securities, Inc.
ISSUER DIRECT CORP S-3 Red Oak Partners, LLC ~ ~
HOME BANCSHARES INC S-4 Stonegate Bank ~ ~
ADVANCED DISPOSAL SERVICES INC S-3 UBS Securities LLC / Deutsche Bank Securities Inc. / Morgan Stanley & Co. LLC Macquarie Capital Inc. / Barclays Capital Inc. / Credit Suisse Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Stifel, Nicolaus & Company, Inc. / First Analysis Securities Corp.

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

May 2017 XBRL webinar series: IFRS requirements

Sign up below for our XBRL for IFRS webinars to learn about the taxonomy update, training tips, SEC deadlines, filing success plans and implementation options.

Featuring: Gordon Ruckdeschel, VP Operations, Toppan Vite / Vintage

May 18, 3:00 PM EST – Create a Success Plan

Featuring: Rob Blake, VP Product Management at Certent, Inc.

May 25, 11:00 AM EST – Implementation

Featuring: Campbell Pryde, CEO at XBRL US, Inc.
*CPE Credit Available on May 25

May 11 Agenda & Discussion:  


WHY IS THE SEC ROLLING OUT XBRL TAGGING REQUIREMENTS FOR IFRS?

IFRS tagging requirements went into effect as part of the 2009 XBRL rule. However, these requirements could not be met until an IFRS taxonomy was offcially released on March 1, 2017.

WHEN DOES THE REQUIREMENT BEGIN?

Foreign private issuers submitting applicable forms with a period end date on or after December 15, 2017 will be required to include XBRL exhibits as part of the filing. This will include IFRS filers with the fiscal year end date of December 31st. Registrants may also voluntarily submit XBRL exhibits prior to this date, but that is not required.

HOW DO I GET MORE INFORMATION?

It’s not too early for foreign private issuers to begin educating themselves. We recommend leveraging our educational webinar series (register above) and building a milestone timeline with our XBRL subject-matter experts to ensure a successful XBRL filing period.

Download our FAQ resource guide to learn more about IFRS education.

SEC update: Required revisions to 10-K, 10-Q and 8-K cover pages

The SEC has adopted new rules that change the cover pages of Securities Act registration statements (Forms S-1, S-3, S-4, S-8, S-11, F-1, F-3 and F-4) and Exchange Act periodic reports (Forms 10-K, 10-Q and 8-K), as well as Forms 10, 20-F and 40-F, to include new check boxes for a company to mark whether, at the time of filing, the company is an EGC and whether it has elected not to use the extended transition period to comply with new or revised accounting standards.

What Should You Do?

All companies, EGCs or otherwise, should immediately contact their financial printing firm to revise their appropriate cover pages. Specialized printing companies employ experts in the ever-evolving rules from the SEC and other regulatory bodies, as well as EDGAR and XBRL, and can ensure a smooth adoption of any new requirements. These changes have come because the SEC has adopted technical amendments from the Jumpstart Our Business Startups Act of 2012 that impact forms filed under the Securities Act of 1933 and the Securities Exchange Act of 1934. According to the new rules, companies must check boxes on the form covers to indicate whether or not they are emerging growth companies (EGCs), and if they are, whether they will comply with the financial accounting standards defined under the JOBS Act or will take advantage of the optional extended transition period before doing so.

Section 107 of the JOBS act allows an EGC to forego any or all of the disclosure exemptions. Any EGC that opts out of the extended transition period must make the SEC aware of this decision when first asked to file a periodic report, registration statement, or any other SEC report that falls under Section 13 of the Exchange Act. The new checkboxes on the listed forms serve as a standardized way to inform the SEC of a company’s status and choice (which, once made, is irrevocable) and can be found with checkboxes regarding a company’s status as accelerated filer. EGCs can be considered accelerated filers, non-accelerated filers, or smaller reporting companies, meaning these boxes should also be appropriately checked.

The final rule can be found here.

Securities Act Forms F-1, F-3, F-4, S-1, S-3, S-4, S-8 and S-11.
Exchange Act Forms 8-K, 20–F and 40-F.

Resources:

IPOs and Transactions: May 1 – 5 / plus M&A whitepaper

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 Procaccianti Hotel Reit Inc w/ Alston & Bird LLP and Morris, Manning & Martin LLP, Fidelity Southern Corp. w/ Troutman Sanders LLP, Reven Housing Reit Inc. w/ Graubard Miller and Greenberg Traurig, LLP, Sorrento Therapeutics Inc. w/ Paul Hastings LLP and Limoneira Co. w/ Paul Hastings LLP.

v-banner-billionma

Law firm /Advisor Registrant Symbol Form Industry
Aeglea BioTherapeutics, Inc. AEGLEA BIO-THERAPEUTICS INC AGLE S-3 Pharma preparations
AG Acquisition Group, Inc. AG ACQUISITION GROUP INC ~ 10-12G ~
AirXpanders, Inc. AIRXPANDERS INC 10-12G Wholesale – medical, dental & hospital equipment & supplies
Alston & Bird LLP PROCACCIANTI HOTEL REIT INC ~ S-11 ~
Baker Botts L.L.P. JONES ENERGY INC JONE S-3 Crude petroleum & natural gas
Cassidy & Associates ANVIA HOLDINGS CORP S-1 Blank check
Chapman and Cutler LLP FIRST TRUST ENERGY INCOME & GROWTH FUND FEN N-2 Investors
Chapman and Cutler LLP FIRST TRUST MLP & ENERGY INCOME FUND FEI N-2 Unit investment trusts
CKR Law NEURMEDIX INC 1-A Pharma preparations
CKR Law LLP HYPER-DYNAMICS CORP HDY S-1 Crude petroleum & natural gas
Cooley LLP SHOTSPOTTER INC S-1 Prepackaged software
Cravath, Swaine & Moore LLP IBM CREDIT LLC ~ 10-12G ~
Cravath, Swaine & Moore LLP LAZARD GROUP LLC S-3 Investment advice
Davis Polk & Wardwell LLP KINSALE CAPITAL GROUP INC KNSL S-1 Fire, marine & casualty insurance
Duane Morris LLP SOLIGENIX INC SNGX S-3 Pharma preparations
EAD Law Group, LLC GOLD STANDARD MINING CO ~ S-1 ~
Eaton & Van Winkle LLP AIR INDUSTRIES GROUP AIRI S-1 Aircraft parts & auxiliary equipment
Fenwick & West LLP AEGLEA BIO-THERAPEUTICS INC AGLE S-3 Pharma preparations
Foley & Lardner LLP HEALTH INSURANCE INNOVATIONS INC HIIQ S-3 Insurance agents, brokers & service
Graubard Miller REVEN HOUSING REIT INC RVEN S-11 REITs
Greenberg Traurig, LLP CENTURY COMMUNITIES INC CCS S-4 Operative builders
Greenberg Traurig, LLP REVEN HOUSING REIT INC RVEN S-11 REITs
Hogan Lovells US LLP PARK HOTELS & RESORTS INC PK S-11 Hotels & motels
InPoint Commercial Real Estate Income, Inc. INPOINT COMMERCIAL REAL ESTATE INCOME INC ~ 10-12G ~
K&L Gates LLP VANECK MERK GOLD TRUST OUNZ S-3 Commodity contracts brokers & dealers
Kirkland & Ellis LLP NINE ENERGY SERVICE INC S-1 Oil & gas field services
Latham & Watkins LLP ADVANTAGE SOLUTIONS INC ~ S-1 ~
Ledgewood Law RESOURCE CAPITAL CORP RSO S-3 REITs
Lewis Rice LLC TRUSTCO BANK CORP N Y TRST S-3 State commercial banks
Life Partners Position Holder Trust LIFE PARTNERS POSITION HOLDER TRUST ~ 10-12G ~
Lucosky Brookman LLP YANGTZE RIVER DEVELOPMENT LTD YERR S-3 Real estate
Milbank, Tweed, Hadley & McCloy LLP VANTAGE DRILLING INTERNATIONAL VTG S-1 Drilling oil & gas wells
Morgan, Lewis & Bockius LLP MEI PHARMA INC MEIP S-3 Pharma preparations
Morris, Manning & Martin, LLP PROCACCIANTI HOTEL REIT INC ~ S-11 ~
Morris, Manning & Martin, LLP CARTER VALIDUS MISSION CRITICAL REIT II INC S-11 REITs
O’Neal Law Office HIP CUISINE INC S-1 Retail – eating places
Paul Hastings LLP SORRENTO THERAPEUTICS INC SRNE S-3 Commercial physical & biological research
Paul, Weiss, Rifkind, Wharton & Garrison LLP CENTURY COMMUNITIES INC CCS S-4 Operative builders
Paul, Weiss, Rifkind, Wharton & Garrison LLP MAGNACHIP SEMI-CONDUCTOR CORP MX S-3 Semiconductors & related devices
Pillsbury Winthrop Shaw Pittman LLP AIR INDUSTRIES GROUP AIRI S-1 Aircraft parts & auxiliary equipment
PremierCounsel LLP OWENS REALTY MORTGAGE INC ORM S-3 REITs
Robinson Brog Leinwand Greene Genovese & Gluck P.C. SHOTSPOTTER INC S-1 Prepackaged software
Sanders, Ortoli, Vaughn-Flam, Rosenstadt CANTABIO PHARMA-CEUTICALS INC TBD S-1 Management services
Shearman & Sterling LLP ADVANTAGE SOLUTIONS INC ~ S-1 ~
Shearman & Sterling LLP VENATOR MATERIALS PLC ~ S-1 ~
Silverman Shin & Byrne PLLC HEMISPHERX BIOPHARMA INC HEB S-1 Biological products, except diagnostic substances
Simpson Thacher & Bartlett LLP PARK HOTELS & RESORTS INC PK S-11 Hotels & motels
Skadden, Arps, Slate, Meagher & Flom LLP KINSALE CAPITAL GROUP INC KNSL S-1 Fire, marine & casualty insurance
Squire Patton Boggs LLP LIMONEIRA CO LMNR S-3 Agricultural production-crops
Stradling Yocca Carlson & Rauth, P.C. ENDOLOGIX INC ELGX S-3 Surgical & medical instruments & apparatus
Troutman Sanders LLP FIDELITY SOUTHERN CORP LION S-3 State commercial banks
Vinson & Elkins L.L.P. VENATOR MATERIALS PLC ~ S-1 ~
Vinson & Elkins L.L.P. ROSEHILL RESOURCES INC ROSE S-1 Blank check
Vinson & Elkins L.L.P. ROSEHILL RESOURCES INC ROSE S-3 Blank check
Vinson & Elkins L.L.P. GOODRICH PETROLEUM CORP GDP S-3 Crude petroleum & natural gas
Vinson & Elkins L.L.P. NINE ENERGY SERVICE INC S-1 Oil & gas field services
Wilmer Cutler Pickering Hale and Dorr LLP FORTIVE CORP FTV S-4 Manufacturing industries

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

IPO Underwriters of the Week: May 1 – 5 / plus M&A whitepaper

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
ADVANTAGE SOLUTIONS INC S-1 Goldman Sachs & Co. LLC Morgan Stanley & Co. LLC ~
NINE ENERGY SERVICE INC S-1 J.P. Morgan Securities LLC Goldman Sachs & Co. LLC Wells Fargo Securities, LLC
KINSALE CAPITAL GROUP INC S-1 J.P. Morgan Securities LLC / William Blair & Company, L.L.C. RBC Capital Markets, LLC / SunTrust Robinson Humphrey, Inc. Dowling & Partners Securities LLC / Moelis & Company LLC
AEGLEA BIOTHERAPEUTICS INC S-3 JonesTrading Institutional Services LLC ~ ~
AEGLEA BIOTHERAPEUTICS INC S-3 JonesTrading Institutional Services LLC ~ ~
GOLD STANDARD MINING CO S-1 Kim D. Southworth ~ ~
REVEN HOUSING REIT INC S-11 Ladenburg Thalmann & Co., Inc. ~ ~
VENATOR MATERIALS PLC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. ~ ~
AIR INDUSTRIES GROUP S-1 Roth Capital Partners, LLC Taglich Brothers, Inc. ~
SHOTSPOTTER INC S-1 Roth Capital Partners, LLC Northland Capital Markets Imperial Capital, LLC

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

Video: April’s Top Law Firms for SEC transactions

As subject matter experts in transactions i.e. IPOs and M&A, we carefully track the capital markets dealflow… daily, weekly and monthly. If you would like to be emailed the week’s transactions (every Monday afternoon), fill out the quick form on this page.

Congratulations to any and all of our partnering law firms that made this month’s list – and to the firms that worked with our teams on their clients’ transaction:

  • 1-A: Form needed for companies taking advantage of Regulation A+
  • S-1: General form of registration statement for all companies including face-amount certificate companies
  • S-3: Registration statement for specified transactions by certain issuers
  • S-4 Registration of securities issued in business combination transactions
  • N-2: Initial filing of a registration statement on Form N-2 for closed-end investment companies
  • F-1: Registration statement for securities of certain foreign private issuers
  • S-11: Registration statement for securities to be issued by real estate companies
  • 10-12G: Initial general form for registration of a class of securities pursuant to Section 12(g)
  • 10-12B: Initial general form for registration of a class of securities pursuant to Section 12(b)

Have you read our whitepaper on how the S-1 registration paperwork flows back-and-forth between the company and the SEC?  CLICK HERE

 

IPOs and Transactions: April 24 – 28 / plus M&A whitepaper

There were 58 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services including Avenue Therapeutics Inc. w/ Alston & Bird LLP and Mintz, Levin, Cohn, Ferris, Glovsky and Popeo PC, Applied Energetics Inc. w/ Masur Griffitts + Co. LLP, Lilus Energy Inc. w/ K&L Gates LLP Pyxis Tankers, Inc. w/ Ellenoff Grossman & Schole LLP and  Jones Day and Rabble One LLC w/ Morrison & Foerster LLP.

v-banner-billionma

Law firm / advisor Registrant Symbol Form Industry
Akin Gump Strauss Hauer & Feld LLP DIAMONDBACK ENERGY INC FANG S-4 Crude petroleum & natural gas
Alston & Bird LLP TERRA SECURED INCOME FUND 5 LLC ~ 10-12G ~
Alston & Bird LLP AVENUE THERAPEUTICS INC S-1 Pharma preparations
Baker Botts L.L.P. GPM PETROLEUM LP S-1 Wholesale – petroleum & petroleum products
Bernstein Shur ABS LONG/SHORT STRATEGIES FUND ~ N-2 ~
Bingham Greenebaum Doll LLP FIRST MERCHANTS CORP FRME S-4 National commercial banks
Broadstone Net Lease, Inc. BROADSTONE NET LEASE INC ~ 10-12G ~
Carmel, Milazzo & DiChiara LLP CO-DIAGNOSTICS INC S-1 Surgical & medical instruments & apparatus
CKR Law NEURMEDIX INC 1-A Pharma preparations
Clifford Chance US LLP TERRA SECURED INCOME FUND 5 LLC ~ 10-12G ~
Cooley LLP ARCA BIOPHARMA INC ABIO S-3 In vitro & in vivo diagnostic substances
Cooley LLP APPIAN CORP S-1 Pre-packaged software
Davis Polk & Wardwell LLP SMART GLOBAL HOLDINGS INC S-1 Semiconductors & related devices
Ellenoff Grossman & Schole LLP KBL MERGER CORP. IV ~ S-1 Blank check
Ellenoff Grossman & Schole LLP PYXIS TANKERS INC PXS F-1 Deep sea foreign transport of freight
Fenimore, Kay, Harrison & Ford, LLP SOUTHERN MISSOURI BANCORP INC SMBC S-4 Savings institutions
Foley & Lardner LLP CARBONITE INC CARB S-3 Computer processing & data preparation
GKL Registered Agents of NV, Inc. TGS INTERNATIONAL LTD ~ S-1 ~
Holland & Knight LLP KBL MERGER CORP. IV ~ S-1 Blank check
Hunter Taubman Fischer & Li, LLC CHINA COMMERCIAL CREDIT INC CCCR S-3 National commercial banks
Jones Day PYXIS TANKERS INC PXS F-1 Deep sea foreign transport of freight
K&L Gates LLP LILIS ENERGY INC LLEX S-1 Crude petroleum & natural gas
Kirkland & Ellis LLP CARDCONNECT CORP CCN S-3 Blank check
Kirkland & Ellis LLP LINN ENERGY INC LINE S-1 Crude petroleum & natural gas
Kirkland & Ellis LLP ULTRA PETROLEUM CORP UPL S-1 Crude petroleum & natural gas
Latham & Watkins LLP ARDELYX INC ARDX S-3 Pharmaceutical preparations
Latham & Watkins LLP SMART GLOBAL HOLDINGS INC S-1 Semiconductors & related devices
Latham & Watkins LLP ALPHATEC HOLDINGS INC ATEC S-3 Surgical & medical instruments & apparatus
Ledgewood Law CARDCONNECT CORP CCN S-3 Blank check
Locke Lord LLP COMSTOCK RESOURCES INC CRK S-3 Crude petroleum & natural gas
Masur Griffitts + Co. LLP APPLIED ENERGETICS INC AERG S-1 Laboratory apparatus & furniture
Matheau J. W. Stout, Esq. YI XI XIN INC ~ S-1 ~
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. AVENUE THERAPEUTICS INC S-1 Pharma preparations
Morrison & Foerster LLP RABBLE ONE LLC 1-A Real estate
Notes Incorporation NOTES INC ~ S-1 ~
O’Melveny & Myers LLP SPHERE 3D CORP ANY F-1 Computer processing & data preparation
Paul Hastings LLP KAYNE ANDERSON MLP INVESTMENT CO KYN N-2 Investors
Paul Hastings LLP CAREDX INC CDNA S-1 Medical laboratories
Reed Smith LLP BRIGHTHOUSE LIFE INSURANCE CO OF NY ~ S-3 ~
Reed Smith LLP ETFS PALLADIUM TRUST PALL S-3 Commodity contracts brokers & dealers
Reed Smith LLP BRIGHTHOUSE LIFE INSURANCE CO S-3 Life insurance
Ropes & Gray LLP PIMCO CORPORATE & INCOME STRATEGY FUND PCN N-2 Unit investment trusts, face-amount certificate offices & closed-end management investment offices
Ropes & Gray LLP PIMCO INCOME OPPORTUNITY FUND PKO N-2 Unit investment trusts, face-amount certificate offices & closed-end management investment offices
Satterlee Stephens LLP RENOVACARE INC RCAR S-3 Oil & gas field exploration services
Shumaker, Loop & Kendrick, LLP FIRST MERCHANTS CORP FRME S-4 National commercial banks
Sichenzia Ross Ference Kesner LLP NEXEON MEDSYSTEMS INC S-1 Surgical & medical instruments & apparatus
Sidley Austin LLP TPG RE FINANCE TRUST INC ~ S-11 ~
Sidley Austin LLP CELSION CORP CLSN S-1 Electro-medical & electro-therapeutic apparatus
Silver, Freedman, Taff & Tiernan LLP SOUTHERN MISSOURI BANCORP INC SMBC S-4 Savings institutions
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P. FOUR OAKS FINCORP INC FOFN S-1 State commercial banks
Stradling Yocca Carlson & Rauth, P.C. LANTRONIX INC LTRX S-3 Computer comms equipment
Thompson Coburn LLP NOBLE ROMANS INC NROM S-1 Retail – eating places
Vedder Price P.C. TORTOISE ESSENTIAL ASSETS INCOME 2024 TERM FUND INC ~ N-2 ~
Vinson & Elkins L.L.P. SELECT ENERGY SERVICES INC WTTR S-1 Oil & gas field services
Vinson & Elkins L.L.P. ORCHID ISLAND CAPITAL INC ORC S-3 REITs
Vinson & Elkins L.L.P. GPM PETROLEUM LP S-1 Wholesale – petroleum & petroleum products
Vinson & Elkins LLP TPG RE FINANCE TRUST INC ~ S-11 ~
Wilson Sonsini Goodrich & Rosati, PC APPIAN CORP S-1 Pre-packaged 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

IPO Underwriters of the Week: April 24 – 28 / plus M&A whitepaper

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
SMART GLOBAL HOLDINGS INC S-1 Barclays Capital Inc. / Deutsche Bank Securities, Inc. Jefferies LLC / Stifel, Nicolaus & Company, Inc. Needham & Company, LLC / Roth Capital Partners, LLC
BRIGHTHOUSE LIFE INSURANCE CO S-3 Brighthouse Securities, LLC ~ ~
BRIGHTHOUSE LIFE INSURANCE CO OF NY S-3 Brighthouse Securities, LLC ~ ~
CARDCONNECT CORP S-3 Cantor Fitzgerald & Co. ~ ~
ABS LONG/SHORT STRATEGIES FUND N-2 Foreside Fund Services, LLC ~ ~
ARCA BIOPHARMA INC S-3 Jones Trading Institutional Services LLC ~ ~
KBL MERGER CORP. IV S-1 Ladenburg Thalmann & Co. Inc. B. Riley & Co., LLC FBR Capital Markets & Co.
PYXIS TANKERS INC F-1 Maxim Group LLC ~ ~
TPG RE FINANCE TRUST INC S-11 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. Goldman, Sachs & Co. / Wells Fargo Securities, LLC
APPIAN CORP S-1 Morgan Stanley & Co. LLC / Goldman, Sachs & Co. Barclays Capital Inc. / Pacific Crest Securities Canaccord Genuity Inc. / Cowen and Company, LLC
CO-DIAGNOSTICS INC S-1 Network 1 Securities, Inc. ~ ~
GPM PETROLEUM LP S-1 Raymond James & Associates, Inc. Wells Fargo Securities, LLC RBC Capital Markets, LLC
AVENUE THERAPEUTICS INC S-1 Raymond James & Associates, Inc. National Securities Corp. ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

IPOs and Transactions: April 17 – 21 / plus M&A whitepaper

There were 41 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services including Eyegate Pharmaceuticals Inc. w/ Burns & Levinson LLP and Lowenstein Sandler LLP, Global Medical REIT Inc. w/ Vinson & Elkins LLP, HCBF Holding Company Inc. w/ Gunster, Yoakley & Stewart PA and Igler and Pearlman PA and Petroquest Energy Inc. w/ Porter Hedges LLP.

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

v-banner-billionma

Law firm / advisor Registrant Symbol Form Industry
American Retail Group, Inc. AMERICAN RETAIL GROUP INC ARGB 10-12G Miscellaneous chemical products
Baker, Donelson, Bearman, Caldwell & Berkowitz, P.C. MECHANICAL TECHNOLOGY INC MKTY S-1 Measuring & controlling devices
Bass, Berry & Sims PLC ENGILITY CORP DR2;EGL S-4 Engineering services
Bioptix, Inc. BIOPTIX INC BIOP S-3 In vitro & in vivo diagnostic substances
Burns & Levinson LLP EYEGATE PHARMA-CEUTICALS INC EYEG S-1 Pharma. preparations
Chron Organization, Inc. SOUTH AMERICAN PROPERTIES INC SAMP 10-12G Non-operating establishments
Cleary Gottlieb Steen & Hamilton LLP TPI COMPOSITES INC TPIC S-1 Steam, gas & hydraulic turbines & turbine generator set units
Cooley LLP ARGENX N.V. ~ F-1 Biological products
Debevoise & Plimpton LLP SITEONE LANDSCAPE SUPPLY INC SITE S-1 Landscape counseling & planning
Disclosure Law Group, PC WRAP TECHNOLOGIES INC ~ S-1 ~
DLA Piper LLP COLUMBUS MCKINNON CORP CMCO S-3 Construction machinery & equipment
Dorsey & Whitney LLP COGENTIX MEDICAL INC CGNT S-3 Electromedical & electrotherapeutic apparatus
Drinker Biddle & Reath LLP INFINITY CORE ALTERNATIVE FUND ZVAMIX N-2 ~
Ellenoff Grossman & Schole LLP JAKROO INC ~ S-1 Sporting & athletic goods
Frank J. Hariton, Attorney-at-Law SUPERSTAR VAPE INC ~ S-1 ~
Freshfields Bruckhaus Deringer US LLP TPG PACE ENERGY HOLDINGS CORP ~ S-1 Blank check
Goodwin Procter LLP ARGENX N.V. ~ F-1 Biological products
Goodwin Procter LLP TPI COMPOSITES INC TPIC S-1 Steam, gas & hydraulic turbines & turbine generator set units
Gunster, Yoakley & Stewart, P.A. HCBF HOLDING COMPANY INC ~ S-4 Offices of bank holding companies
Haneberg Hurlbert PLC NEWATER TECHNOLOGY INC ~ F-1 Sanitary services
Igler and Pearlman, P.A. HCBF HOLDING COMPANY INC ~ S-4 Offices of bank holding companies
John D. Thomas, P.C. CICLET HOLDINGS INC ~ S-1 ~
K&L Gates LLP LIGHTWAVE LOGIC INC LWLG S-1 Miscellaneous plastics products
K&L Gates LLP NEWATER TECHNOLOGY INC ~ F-1 Sanitary services
Kirkland& Ellis International LLP BRIGHT SCHOLAR EDUCATION HOLDINGS LTD ~ F-1 Educational services
Latham & Watkins LLP MILACRON HOLDINGS CORP MCRN S-1 Special industry machinery
Latham & Watkins LLP VIEWRAY INC MRXC S-3 Retail – misc. retail
Lowenstein Sandler LLP EYEGATE PHARMA-CEUTICALS INC EYEG S-1 Pharma. preparations
Lowenstein Sandler LLP ZOMEDICA PHARMA-CEUTICALS CORP ~ S-1 Pharma. preparations
Lucosky Brookman LLP AKERS BIOSCIENCES INC AKER S-3 Industrial inorganic chemicals
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. CORINDUS VASCULAR ROBOTICS INC CVRS S-3 Surgical & medical instruments & apparatus
NautaDutilh N.V. ARGENX N.V. ~ F-1 Biological products
O’Melveny & Myers LLP WILLDAN GROUP INC WLDN S-3 Engineering services
Orrick, Herrington & Sutcliffe LLP JMP GROUP LLC JMP S-3 Security brokers, dealers & flotation companies
Orrick, Herrington & Sutcliffe LLP LEVI STRAUSS & CO ~ S-4 Apparel & other finished products made from fabrics & similar material
Ortoli Rosenstadt LLP CHINA INTERNET NATIONWIDE FINANCIAL SERVICES INC ~ F-1 Management consulting services
Pillsbury Winthrop Shaw Pittman LLP IDENTIV INC INVE S-3 Computer peripheral equipment
Porter Hedges LLP PETROQUEST ENERGY INC PQ S-4 Crude petroleum & natural gas
Reed Smith LLP JAGUAR ANIMAL HEALTH INC JAGX S-4 Pharma. preparations
Ropes & Gray LLP MILACRON HOLDINGS CORP MCRN S-1 Special industry machinery
Shutts & Bowen LLP RENNOVA HEALTH INC RNVA S-1 Testing laboratories
Sichenzia Ross Ference Kesner LLP CHINA INTERNET NATIONWIDE FINANCIAL SERVICES INC ~ F-1 Management consulting services
Sichenzia Ross Ference Kesner LLP MEDOVEX CORP MDVX S-3 Surgical & medical instruments & apparatus
Simpson Thacher & Bartlett LLP SITEONE LANDSCAPE SUPPLY INC SITE S-1 Landscape counseling & planning
Superb Acquisition, Inc. SUPERB ACQUISITION INC ~ 10-12G ~
Tingle Merrett LLP ZOMEDICA PHARMA-CEUTICALS CORP ~ S-1 Pharma. preparations
Vinson & Elkins L.L.P. GLOBAL MEDICAL REIT INC GMRE S-3 REIT
Vinson & Elkins L.L.P. USA COMPRESSION PARTNERS LP USAC S-3 Natural gas transmission
Weil, Gotshal & Manges LLP AMC ENTERTAINMENT HOLDINGS INC AMC S-4 Motion picture theaters
Weil, Gotshal & Manges LLP TPG PACE ENERGY HOLDINGS CORP ~ S-1 Blank check
Weintraub Tobin Chediak Coleman Grodin, Law Corp. ADAMIS PHARMA-CEUTICALS CORP ADMP S-3 Pharma. preparations
Wilson Sonsini Goodrich & Rosati PC BRIGHT SCHOLAR EDUCATION HOLDINGS LTD ~ F-1 Educational services
Wilson Sonsini Goodrich & Rosati, PC CAPNIA INC CAPN S-1 Electromedical & electrotherapeutic 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