Financial Transactions and Regulatory Compliance Review

Covering the latest in capital markets transactions, funds, annuities, financial reporting and SEC filings

IPOs and Transactions: April 2- 6

There were 59 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Ameris Bancorp w/ Alston & Bird LLP, Nicolet Bankshares Inc w/ Bryan Cave Leighton Paisner LLP, Teligent Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo P.C., Ameris Bancorp w/ Rogers & Hardin LLP, Rasna Therapeutics Inc w/ Sheppard, Mullin, Richter & Hampton LLP.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

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Account / Firm Company Name Symbol Form Type Industry Underwriters
Akin Gump Strauss Hauer & Feld LLP Construction Partners Inc - S-1 1600 - Heavy construction other than building construction-contractors
  • Robert W. Baird & Co. Inc.
  • Raymond James & Associates, Inc. / Stephens Inc.
  • Imperial Capital, LLC / D.A. Davidson & Co.
Allstate Life Insurance Company of New York Allstate Life Insurance Co Of New York - S-1 6311 - Life insurance
  • Allstate Distributors, L.L.C.
  • ALFS, Inc.
Alston & Bird LLP Ameris Bancorp ABCB S-4 6020 - Commercial banks  
AquaBounty Technologies, Inc. Aquabounty Technologies Inc AQB S-3 2836 - Biological products, except diagnostic substances  
Baker & McKenzie LLP Oncor Electric Delivery Co Llc - S-4 4911 - Electric services  
Bernstein, Shur, Sawyer & Nelson, P. A . Abs Long/Short Strategies Fund - N-2 -
  • Foreside Fund Services, LLC
Bracewell LLP Spirit Of Texas Bancshares Inc - S-1 6022 - State commercial banks
  • Stephens Inc.
  • Keefe, Bruyette & Woods, Inc.
  • Piper Jaffray & Co. / Sandler O'Neill & Partners, L.P.
Bryan Cave Leighton Paisner LLP Nicolet Bankshares Inc NCBS S-3 6021 - National commercial banks  
Buchanan Ingersoll & Rooney PC Smith Micro Software Inc SMSI S-3 7372 - Services - prepackaged software  
Clark Wilson LLP Icox Innovations Inc RDLA S-1 7389 - Services - business services, not elsewhere classified  
Cooley LLP Biohaven Pharmaceutical Holding Co Ltd BHVN S-1 2834 - Pharmaceutical preparations  
Cooley LLP Enphase Energy Inc ENPH S-3 3674 - Semiconductors & related devices  
Cooley LLP Evofem Biosciences Inc EVFM S-1 2834 - Pharmaceutical preparations
  • RBC Capital Markets, LLC
  • Cantor Fitzgerald & Co.
  • Oppenheimer & Co. Inc. / Roth Capital Partners, LLC
Cooley LLP Sendgrid Inc SEND S-1 7372 - Services - prepackaged software
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • William Blair & Company, L.L.C. / KeyBanc Capital Markets Inc.
  • Piper Jaffray & Co. / Stifel, Nicolaus & Company, Inc. / Canaccord Genuity LLC
Cravath, Swaine & Moore LLP Pacific Gas & Electric Co PCG S-4 4931 - Electric & other services combined  
Davis Polk & Wardwell LLP Goosehead Insurance Inc - S-1 6411 - Insurance agents, brokers & service
  • J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Keefe, Bruyette & Woods, Inc. / William Blair & Company, L.L.C.
Davis Polk & Wardwell LLP Sendgrid Inc SEND S-1 7372 - Services - prepackaged software
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • William Blair & Company, L.L.C. / KeyBanc Capital Markets Inc.
  • Piper Jaffray & Co. / Stifel, Nicolaus & Company, Inc. / Canaccord Genuity LLC
Davis Polk & Wardwell LLP Unity Biotechnology Inc - S-1 2834 - Pharmaceutical preparations
  • Goldman Sachs & Co. LLC
  • Morgan Stanley & Co. LLC
  • Citigroup Global Markets Inc. / Mizuho Securities USA LLC
Doida Law Group LLC American-Swiss Capital Inc - S-1 6770 - Blank check  
Durham Jones & Pinegar, P.C. Medizone International Inc NCK S-1 5122 - Wholesale - drugs, drug proprietaries & druggists' sundries
  • L2 Capital, LLC
  • SBI Investments LLC
Evofem Biosciences, Inc. Evofem Biosciences Inc EVFM S-1 2834 - Pharmaceutical preparations
  • RBC Capital Markets, LLC
  • Cantor Fitzgerald & Co.
  • Oppenheimer & Co. Inc. / Roth Capital Partners, LLC
Fischer Behar Chen Well Orion & Co. Check-Cap Ltd CHEK F-1 3844 - X-ray apparatus & tubes & related irradiation apparatus  
Foley & Lardner LLP Cesca Therapeutics Inc KOOL S-1 3821 - Laboratory apparatus & furniture  
Goodwin Procter LLP Proteostasis Therapeutics Inc PTI S-3 2834 - Pharmaceutical preparations  
Gordon Rees Scully Mansukhani, LLP Dlp Positive Fixed Returns Fund Llc - 1-A -  
Herzog Fox & Neeman Foamix Pharmaceuticals Ltd FOMX S-3 2833 - Medicinal chemicals & botanical products  
Holland & Knight LLP Pacific Premier Bancorp Inc PPBI S-4 6035 - Savings institutions, federally chartered  
Infinity Property and Casualty Corp. Kemper Corp KMPA S-4 6331 - Fire, marine & casualty insurance  
Jackson Walker L.L.P Spirit Of Texas Bancshares Inc - S-1 6022 - State commercial banks
  • Stephens Inc.
  • Keefe, Bruyette & Woods, Inc.
  • Piper Jaffray & Co. / Sandler O'Neill & Partners, L.P.
Keating Muething & Klekamp PLL Kemper Corp KMPA S-4 6331 - Fire, marine & casualty insurance  
Kirkland & Ellis LLP Legacy Reserves Inc - S-4 -  
Kirkland & Ellis LLP Teva Pharmaceutical Industries Ltd TEVA S-4 2834 - Pharmaceutical preparations  
Latham & Watkins LLP Construction Partners Inc - S-1 1600 - Heavy construction other than building construction-contractors
  • Robert W. Baird & Co. Inc.
  • Raymond James & Associates, Inc. / Stephens Inc.
  • Imperial Capital, LLC / D.A. Davidson & Co.
Latham & Watkins LLP Headhunter Group Plc - F-1 7363 - Services - help supply services
  • Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC
  • Credit Suisse Securities LLC / VTB Capital PLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / SIB (Cyprus) Ltd.
Latham & Watkins LLP Inspire Medical Systems Inc - S-1 3841 - Surgical & medical instruments & apparatus
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Goldman Sachs & Co. LLC / Guggenheim Securities, LLC
  • Stifel, Nicolaus & Company, Inc. / Wells Fargo Securities, LLC
Latham & Watkins LLP Permrock Royalty Trust - S-1 1311 - Crude petroleum & natural gas
  • Wells Fargo Securities, LLC
  • Goldman Sachs & Co. LLC
  • UBS Securities LLC
Latham & Watkins LLP Technipfmc Plc FTI S-4 1382 - Oil & gas field exploration services  
Latham & Watkins LLP Unity Biotechnology Inc - S-1 2834 - Pharmaceutical preparations
  • Goldman Sachs & Co. LLC
  • Morgan Stanley & Co. LLC
  • Citigroup Global Markets Inc. / Mizuho Securities USA LLC
Law Offices of Thomas E. Puzzo, PLLC Alpha Network Alliance Ventures Inc ANAV S-1 6770 - Blank check  
Lincoln Benefit Life Company Lincoln Benefit Life Co - S-1 6311 - Life insurance
  • Allstate Distributors, L.L.C.
Lincoln Benefit Life Company Lincoln Benefit Life Co - S-1 6311 - Life insurance
  • Allstate Distributors, L.L.C.
Lincoln Benefit Life Company Lincoln Benefit Life Co - S-1 6311 - Life insurance
  • Allstate Distributors, L.L.C.
  • ALFS, Inc.
Lincoln Benefit Life Company Lincoln Benefit Life Co - S-1 6311 - Life insurance
  • Allstate Distributors, L.L.C.
  • ALFS, Inc.
Lincoln Benefit Life Company Lincoln Benefit Life Co - S-1 6311 - Life insurance
  • Allstate Distributors, L.L.C.
  • ALFS, Inc.
Loeb & Loeb LLP Check-Cap Ltd CHEK F-1 3844 - X-ray apparatus & tubes & related irradiation apparatus  
Loeb & Loeb LLP Ifresh Inc IFMK S-3 5411 - Retail - grocery stores  
Loeb & Loeb LLP Ifresh Inc IFMK S-3 5411 - Retail - grocery stores  
Loren P. Hansen, APC First Choice Bancorp - S-4 6021 - National commercial banks  
Manatt, Phelps & Phillips, LLP Superconductor Technologies Inc SCON S-1 3663 - Radio & television broadcasting & communications equipment  
Messerli & Kramer P.A. Asure Software Inc ASUR S-3 7373 - Services - computer integrated systems design  
Messerli & Kramer P.A. Asure Software Inc ASUR S-3 7373 - Services - computer integrated systems design  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo P.C. Teligent Inc TLGT S-3 2836 - Biological products, except diagnostic substances  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Evofem Biosciences Inc EVFM S-1 2834 - Pharmaceutical preparations
  • RBC Capital Markets, LLC
  • Cantor Fitzgerald & Co.
  • Oppenheimer & Co. Inc. / Roth Capital Partners, LLC
MuleSoft, Inc. Salesforce.Com Inc CRM S-4 7372 - Services - prepackaged software  
Olshan Frome Wolosky LLP India Globalization Capital Inc IGC S-3 5065 - Wholesale - electronic parts & equipment, not elsewhere classified  
Richards Layton & Finger, P.A. Legacy Reserves Inc - S-4 -  
Rite Aid Corp. Albertsons Companies Inc - S-4 5411 - Retail - grocery stores  
Rogers & Hardin LLP Ameris Bancorp ABCB S-4 6020 - Commercial banks  
Schulte Roth & Zabel LLP Albertsons Companies Inc - S-4 5411 - Retail - grocery stores  
SendGrid, Inc. Sendgrid Inc SEND S-1 7372 - Services - prepackaged software
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • William Blair & Company, L.L.C. / KeyBanc Capital Markets Inc.
  • Piper Jaffray & Co. / Stifel, Nicolaus & Company, Inc. / Canaccord Genuity LLC
Shearman & Sterling LLP Inspire Medical Systems Inc - S-1 3841 - Surgical & medical instruments & apparatus
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Goldman Sachs & Co. LLC / Guggenheim Securities, LLC
  • Stifel, Nicolaus & Company, Inc. / Wells Fargo Securities, LLC
Sheppard, Mullin, Richter & Hampton LLP Cesca Therapeutics Inc KOOL S-1 3821 - Laboratory apparatus & furniture  
Sheppard, Mullin, Richter & Hampton LLP Rasna Therapeutics Inc ATVM S-3 7374 - Services - computer processing & data preparation  
Sidley Austin LLP Kemper Corp KMPA S-4 6331 - Fire, marine & casualty insurance  
Simpson Thacher & Bartlett LLP Goosehead Insurance Inc - S-1 6411 - Insurance agents, brokers & service
  • J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Keefe, Bruyette & Woods, Inc. / William Blair & Company, L.L.C.
Skadden, Arps, Slate, Meagher & Flom LLP Albertsons Companies Inc - S-4 5411 - Retail - grocery stores  
Skadden, Arps, Slate, Meagher & Flom LLP Foamix Pharmaceuticals Ltd FOMX S-3 2833 - Medicinal chemicals & botanical products  
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, LLP Carolina Trust Bancshares Inc CART S-1 6022 - State commercial banks
  • Sandler O'Neill & Partners, L.P.
Stuart | Moore | Staub First Choice Bancorp - S-4 6021 - National commercial banks  
Sullivan & Cromwell LLP Pacific Premier Bancorp Inc PPBI S-4 6035 - Savings institutions, federally chartered  
The Bunker Law Group, PLLC Axelerex Corp - S-1 -  
The Doney Law Firm Starpower On Systems Inc - 1-A 3711 - Motor vehicles & passenger car bodies  
Unity Biotechnology, Inc. Unity Biotechnology Inc - S-1 2834 - Pharmaceutical preparations
  • Goldman Sachs & Co. LLC
  • Morgan Stanley & Co. LLC
  • Citigroup Global Markets Inc. / Mizuho Securities USA LLC
Vinson & Elkins L.L.P. Continental Resources Inc CLR S-4 1311 - Crude petroleum & natural gas  
Vinson & Elkins L.L.P. Permrock Royalty Trust - S-1 1311 - Crude petroleum & natural gas
  • Wells Fargo Securities, LLC
  • Goldman Sachs & Co. LLC
  • UBS Securities LLC
Voya Retirement Insurance and Annuity Co. Voya Retirement Insurance & Annuity Co - S-3 6311 - Life insurance
  • Directed Services LLC
Voya Retirement Insurance and Annuity Co. Voya Retirement Insurance & Annuity Co - S-3 6311 - Life insurance
  • Directed Services LLC
Voya Retirement Insurance and Annuity Co. Voya Retirement Insurance & Annuity Co - S-3 6311 - Life insurance
  • Voya Financial Partners, LLC
Voya Retirement Insurance and Annuity Co. Voya Retirement Insurance & Annuity Co - S-3 6311 - Life insurance  
Voya Retirement Insurance and Annuity Co. Voya Retirement Insurance & Annuity Co - S-3 6311 - Life insurance
  • Voya Financial Partners, LLC
Voya Retirement Insurance and Annuity Co. Voya Retirement Insurance & Annuity Co - S-3 6311 - Life insurance  
Wachtell, Lipton, Rosen & Katz Salesforce.Com Inc CRM S-4 7372 - Services - prepackaged software  
White & Case LLP Headhunter Group Plc - F-1 7363 - Services - help supply services
  • Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC
  • Credit Suisse Securities LLC / VTB Capital PLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / SIB (Cyprus) Ltd.
Wilson Sonsini Goodrich & Rosati, P.C. Salesforce.Com Inc CRM S-4 7372 - Services - prepackaged software  
Wyrick Robbins Yates & Ponton LLP Carolina Trust Bancshares Inc CART S-1 6022 - State commercial banks
  • Sandler O'Neill & Partners, L.P.

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