Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: April 3 - 7


There were 52 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services including
, SOUTHERN NATIONAL BANCORP OF VIRGINIA INC., w/ Alston & Bird LLP, STERLING BANCORP w/ Astoria Financial Corp., STERLING BANCORP w/ Squire Patton Boggs LLP, SOUTHERN NATIONAL BANCORP OF VIRGINIA INC. w/ Troutman Sanders LLP, STERLING BANCORP w/ Wachtell, Lipton, Rosen & Katz, AMPLIPHI BIOSCIENCES CORP. w/ Cooley LLP, EVINE LIVE INC. w/ Gray, Plant, Mooty, Mooty & Bennett, P.A., OCEAN POWER TECHNOLOGIES INC. w/ Kelley Drye & Warren LLP, INSPIRED ENTERTAINMENT INC. w/ Kramer Levin Naftalis & Frankel LLP, MATINAS BIOPHARMA HOLDINGS INC. w/ Lowenstein Sandler LLP, AMPLIPHI BIOSCIENCES CORP. w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., OCEAN POWER TECHNOLOGIES INC. w/ Porter Hedges 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 more information on Toppan Vite's Acquisition of Vintage, click here.


Account / Firm Company Name Symbol Form Type Industry
Jones Day 1ST FRANKLIN FINANCIAL CORP FFFC S-1 Personal credit institutions
American Electric Power Service Corp. AEP TRANSMISSION COMPANY LLC - S-4 -
Porter, Wright, Morris & Arthur LLP SB FINANCIAL GROUP INC SBFG S-3 State commercial banks
K&L Gates LLP BIOTIME INC BTX S-3 Biological products, except diagnostic substances
Weintraub Tobin Chediak Coleman Grodin Law Corp. RICEBRAN TECHNOLOGIES RIBT S-3 Grain mill products
Stradley Ronon Stevens & Young, LLP USQ CORE REAL ESTATE FUND - N-2 -
USQ Core Real Estate Fund  USQ CORE REAL ESTATE FUND - N-2 -
Sullivan & Cromwell LLP HUGHES SATELLITE SYSTEMS CORP HUGH S-4 Communications services, not elsewhere classified
Clifford Chance US LLP KKR REAL ESTATE FINANCE TRUST INC - S-11 Real estate investment trusts
Cooley LLP VERONA PHARMA PLC - F-1 Pharmaceutical preparations
Cooley LLP BIOHAVEN PHARMACEUTICAL HOLDING CO LTD - S-1 Pharmaceutical preparations
Latham & Watkins LLP VERONA PHARMA PLC - F-1 Pharmaceutical preparations
Ropes & Gray LLP BIOHAVEN PHARMACEUTICAL HOLDING CO LTD - S-1 Pharmaceutical preparations
Simpson Thacher & Bartlett LLP KKR REAL ESTATE FINANCE TRUST INC - S-11 Real estate investment trusts
White & Case LLP VERONA PHARMA PLC - F-1 Pharmaceutical preparations
Barrett McNagny LLP STEEL DYNAMICS INC STLD S-4 Steel works, blast furnaces (including coke ovens) & rolling mills
Cooley LLP SENSEONICS HOLDINGS INC SENS S-3 Industrial instruments for measurement, display, control
Latham & Watkins LLP CORVUS PHARMACEUTICALS INC CRVS S-3 Services - commercial physical & biological research
Locke Lord LLP AXCELIS TECHNOLOGIES INC ACLS S-3 Special industry machinery, not elsewhere classified
Vinson & Elkins L.L.P. NATURAL RESOURCE PARTNERS LP NRP S-3 Bituminous coal & lignite surface mining
Vinson & Elkins L.L.P. NATURAL RESOURCE PARTNERS LP NRP S-4 Bituminous coal & lignite surface mining
Dorsey & Whitney LLP INTELGENX TECHNOLOGIES CORP IGX S-1 Pharmaceutical preparations
Law Office of Russell B. Adler, P.A. FATHER TIME INC - S-1 -
Akin Gump Strauss Hauer & Feld LLP EAGLE BULK SHIPPING INC EGLE S-3 Deep sea foreign transportation of freight
BlackRock Fund Advisors ISHARES DOW JONES-UBS ROLL SELECT COMMODITY INDEX TRUST CMDT S-1 Commodity contracts brokers & dealers
BlackRock Fund Advisors ISHARES S&P GSCI COMMODITY-INDEXED TRUST GSG S-3 Investors, not elsewhere classified
Dentons US LLP WINDTREE THERAPEUTICS INC WINT S-1 Biological products, except diagnostic substances
Sidley Austin LLP CELSION CORP CLSN S-1 Electromedical & electrotherapeutic apparatus
Skadden, Arps, Slate, Meagher & Flom LLP ISHARES DOW JONES-UBS ROLL SELECT COMMODITY INDEX TRUST CMDT S-1 Commodity contracts brokers & dealers
Skadden, Arps, Slate, Meagher & Flom LLP ISHARES S&P GSCI COMMODITY-INDEXED TRUST GSG S-3 Investors, not elsewhere classified
Blake, Cassels & Graydon LLP ZYMEWORKS INC - F-1 Pharmaceutical preparations
Cleary Gottlieb Steen & Hamilton LLP TPG SPECIALTY LENDING INC TSLX N-2 Finance services
Cooley LLP ZYMEWORKS INC - F-1 Pharmaceutical preparations
Cooley LLP SYNDAX PHARMACEUTICALS INC SNDX S-3 Pharmaceutical preparations
Cooley LLP UROGEN PHARMA LTD - F-1 Pharmaceutical preparations
Coupa Software Inc. COUPA SOFTWARE INC COUP S-1 Services - prepackaged software
Covington & Burling LLP UROGEN PHARMA LTD - F-1 Pharmaceutical preparations
Davis Polk & Wardwell LLP COUPA SOFTWARE INC COUP S-1 Services - prepackaged software
Davis Polk & Wardwell LLP FOGO DE CHAO INC FOGO S-3 Retail - eating places
Eversheds Sutherland LLP THL CREDIT INC TCRD N-2 Investors, not elsewhere classified
Fenimore, Kay, Harrison & Ford, LLP GUARANTY BANCSHARES INC - S-1 State commercial banks
Fenwick & West LLP ADESTO TECHNOLOGIES CORP IOTS S-3 Semiconductors & related devices
Gornitzky & Co. UROGEN PHARMA LTD - F-1 Pharmaceutical preparations
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP COUPA SOFTWARE INC COUP S-1 Services - prepackaged software
Hamburger Evron & Co. UROGEN PHARMA LTD - F-1 Pharmaceutical preparations
Haynes and Boone, LLP KMG CHEMICALS INC KMG S-3 Chemicals & allied products
Hogan Lovells US LLP PLAYA HOTELS & RESORTS N.V. PLYA S-1 Hotels & motels
Hunton & Williams LLP GUARANTY BANCSHARES INC - S-1 State commercial banks
McCarthy Tétrault LLP ZYMEWORKS INC - F-1 Pharmaceutical preparations
Playa Hotels & Resorts N.V. PLAYA HOTELS & RESORTS N.V. PLYA S-1 Hotels & motels
Proskauer Rose LLP FIVE POINT HOLDINGS LLC NWDHU S-11 Real estate
Shearman & Sterling LLP ADVANCEPIERRE FOODS HOLDINGS INC APFH S-1 Food preparations, not elsewhere classified
Skadden, Arps, Slate, Meagher & Flom LLP ZYMEWORKS INC - F-1 Pharmaceutical preparations
Skadden, Arps, Slate, Meagher & Flom LLP ADVANCEPIERRE FOODS HOLDINGS INC APFH S-1 Food preparations, not elsewhere classified
Skadden, Arps, Slate, Meagher & Flom LLP FIVE POINT HOLDINGS LLC NWDHU S-11 Real estate
Syndax Pharmaceuticals, Inc. SYNDAX PHARMACEUTICALS INC SNDX S-3 Pharmaceutical preparations
The Gabelli Healthcare & WellnessRx Trust GABELLI HEALTHCARE & WELLNESSRX TRUST GRX N-2 Unit investment trusts, face-amount certificate offices & closed-end management investment offices
Vinson & Elkins L.L.P. GASTAR EXPLORATION INC GST S-3 Crude petroleum & natural gas
Willkie Farr & Gallagher LLP GABELLI HEALTHCARE & WELLNESSRX TRUST GRX N-2 Unit investment trusts, face-amount certificate offices & closed-end management investment offices
TroyGould PC CYTRX CORP CYTR S-3 Biological products, except diagnostic substances
Dieterich & Associates PHI GROUP INC PHIL S-1 Services - management services
Digital Ally, Inc. DIGITAL ALLY INC DGLY S-3 Radio & television broadcasting & communications equipment
Dorsey & Whitney LLP CACHET FINANCIAL SOLUTIONS INC CAFN S-3 Blank check
Skadden, Arps, Slate, Meagher & Flom LLP XAI OCTAGON FLOATING RATE INCOME & CREDIT ALTERNATIVE TRUST - N-2 -
Brunson Chandler, & Jones, PLLC APPIPHANY TECHNOLOGIES HOLDINGS CORP APHD S-1 Services - computer programming services
Alston & Bird LLP SOUTHERN NATIONAL BANCORP OF VIRGINIA INC SONA S-4 State commercial banks
Astoria Financial Corp. STERLING BANCORP STL S-4 National commercial banks
Squire Patton Boggs LLP STERLING BANCORP STL S-4 National commercial banks
Troutman Sanders LLP SOUTHERN NATIONAL BANCORP OF VIRGINIA INC SONA S-4 State commercial banks
Wachtell, Lipton, Rosen & Katz STERLING BANCORP STL S-4 National commercial banks
Eversheds Sutherland LLP TRIANGLE CAPITAL CORP TCAP N-2 Finance services
Cooley LLP AMPLIPHI BIOSCIENCES CORP APHB S-1 Biological products, except diagnostic substances
Gray, Plant, Mooty, Mooty & Bennett, P.A. EVINE LIVE INC EVLV S-3 Retail - catalog & mail-order houses
Kelley Drye & Warren LLP OCEAN POWER TECHNOLOGIES INC OPTT S-1 Electrical machinery, equipment & supplies, not elsewhere classified
Kramer Levin Naftalis & Frankel LLP INSPIRED ENTERTAINMENT INC INSE S-3 Blank checks
Lowenstein Sandler LLP MATINAS BIOPHARMA HOLDINGS INC MTNB S-3 Pharmaceutical preparations
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. AMPLIPHI BIOSCIENCES CORP APHB S-1 Biological products, except diagnostic substances
Porter Hedges LLP OCEAN POWER TECHNOLOGIES INC OPTT S-1 Electrical machinery, equipment & supplies, not elsewhere classified

 

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or at 212-596-7747.

 

 

Toppan Vintage

Toppan Vintage is a leading international financial printing, communications and technology company dedicated to delivering a hassle-free experience with the highest quality accuracy, reliability and value for your organization’s financial printing and communications needs.

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