Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: April 9 - 13

There were 45 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, Baycom Corp w/ King, Holmes, Paterno & Soriano, LLP, Baycom Corp w/ Silver, Freedman, Taff & Tiernan 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
Abpro Corp. Abpro Corp - S-1 2834 - Pharmaceutical preparations
  • UBS Securities LLC
  • Wells Fargo Securities, LLC
  • Oppenheimer & Co. Inc. / Nomura Securities International, Inc.
Alston & Bird LLP Avenue Therapeutics Inc ATXI S-3 2834 - Pharmaceutical preparations  
Baja Custom Design, Inc. Baja Custom Design Inc - 10-12B -  
Baker Botts L.L.P. Delek Logistics Finance Corp DKL S-4 4610 - Pipelines, except natural gas  
Ballard Spahr LLP Qumu Corp QUMU S-3 3577 - Computer peripheral equipment, not elsewhere classified  
BlackRock Fund Advisors Ishares Dow Jones-Ubs Roll Select Commodity Index Trust CMDT S-1 6221 - Commodity contracts brokers & dealers  
BlackRock Fund Advisors Ishares S&P Gsci Commodity-Indexed Trust GSG S-3 6799 - Investors, not elsewhere classified  
Carbon Black, Inc. Carbon Black Inc - S-1 7372 - Services - prepackaged software
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • KeyBanc Capital Markets Inc. / William Blair & Company, L.L.C.
  • Raymond James & Associates, Inc. / Cowen and Company, LLC
Carmel, Milazzo & DiChiara Summit Semiconductor Llc - S-1 3674 - Semiconductors & related devices
  • Alexander Capital, L.P.
  • Westpark Capital, Inc.
Chapman and Cutler LLP Nuveen Emerging Markets Debt 2025 Term Fund - N-2 -
  • Nuveen Securities, LLC
Chapman and Cutler LLP Nuveen Impact Bond 2025 Term Fund - N-2 -
  • Nuveen Securities, LLC
Cooley LLP Abpro Corp - S-1 2834 - Pharmaceutical preparations
  • UBS Securities LLC
  • Wells Fargo Securities, LLC
  • Oppenheimer & Co. Inc. / Nomura Securities International, Inc.
Cooley LLP Eloxx Pharmaceuticals Inc SVON S-3 8731 - Services - commercial physical & biological research  
Covington & Burling LLP Origin Bancorp Inc - S-1 6022 - State commercial banks
  • Stephens Inc.
  • Raymond James & Associates, Inc.
Cutler Law Group Wigi Blockchain Technologies Inc - S-1 -  
Davis Polk & Wardwell LLP Abpro Corp - S-1 2834 - Pharmaceutical preparations
  • UBS Securities LLC
  • Wells Fargo Securities, LLC
  • Oppenheimer & Co. Inc. / Nomura Securities International, Inc.
Davis Polk & Wardwell LLP Hrg Group Inc HRG S-4 3690 - Miscellaneous electrical machinery, equipment & supplies  
Dechert LLP Hercules Capital Inc HTGC N-2 6199 - Finance services  
DLA Piper LLP Epsilon Energy Ltd - S-4 1311 - Crude petroleum & natural gas  
Dorsey & Whitney LLP People'S Utah Bancorp PUB S-3 6022 - State commercial banks  
Drinker Biddle & Reath LLP Variant Alternative Income Fund - N-2 -
  • Foreside Fund Services, LLC
EGW Capital, Inc. Egw Capital Inc - 10-12G -  
Ellenoff Grossman & Schole LLP Delcath Systems Inc DCTH S-1 3841 - Surgical & medical instruments & apparatus  
Ellenoff Grossman & Schole LLP Stellar Acquisition Iii Inc STLR S-4 6770 - Blank check  
Ellenoff Grossman & Schole LLP Trinity Merger Corp - S-1 6770 - Blank check
  • B. Riley FBR, Inc.
Fenimore, Kay, Harrison & Ford, LLP Origin Bancorp Inc - S-1 6022 - State commercial banks
  • Stephens Inc.
  • Raymond James & Associates, Inc.
Freshfields Bruckhaus Deringer US LLP Unimin Corp - S-4 1400 - Mining & quarrying nonmetallic minerals, except fuels  
Gallagher & Kennedy Escondido Innovations Inc - 10-12G 7812 - Services - motion picture & video tape production  
Gibson, Dunn & Crutcher LLP Trinity Merger Corp - S-1 6770 - Blank check
  • B. Riley FBR, Inc.
Goodwin Procter LLP Carbon Black Inc - S-1 7372 - Services - prepackaged software
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • KeyBanc Capital Markets Inc. / William Blair & Company, L.L.C.
  • Raymond James & Associates, Inc. / Cowen and Company, LLC
Goodwin Procter LLP Evelo Biosciences Inc - S-1 2834 - Pharmaceutical preparations
  • Morgan Stanley & Co. LLC
  • Cowen and Company, LLC
  • BMO Capital Markets Corp. / JMP Securities LLC
Hart & Hart, LLC Americann Inc NVHS S-1 8742 - Services - management consulting services  
Hogan Lovells US LLP National Cinemedia Inc NCMI S-3 7319 - Services - advertising, not elsewhere classified  
Jones Day Niocorp Developments Ltd - S-3 1000 - Metal mining  
Jones Day Unimin Corp - S-4 1400 - Mining & quarrying nonmetallic minerals, except fuels  
King, Holmes, Paterno & Soriano, LLP Baycom Corp - S-1 6022 - State commercial banks
  • FIG Partners, LLC
  • D.A. Davidson & Co.
Kirkland & Ellis LLP Hrg Group Inc HRG S-4 3690 - Miscellaneous electrical machinery, equipment & supplies  
Kirkland & Ellis LLP Huya Inc - F-1 7370 - Services - computer programming, data process, etc.
  • Credit Suisse Securities LLC
  • Goldman Sachs (Asia) L.L.C.
  • UBS Securities LLC
Latham & Watkins LLP Carbon Black Inc - S-1 7372 - Services - prepackaged software
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • KeyBanc Capital Markets Inc. / William Blair & Company, L.L.C.
  • Raymond James & Associates, Inc. / Cowen and Company, LLC
Latham & Watkins LLP Evelo Biosciences Inc - S-1 2834 - Pharmaceutical preparations
  • Morgan Stanley & Co. LLC
  • Cowen and Company, LLC
  • BMO Capital Markets Corp. / JMP Securities LLC
Latham & Watkins LLP Griffin Industrial Realty Inc GRIF S-3 6500 - Real estate  
Latham & Watkins LLP Host Hotels & Resorts L.P. - S-3 7011 - Hotels & motels  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Corindus Vascular Robotics Inc CVRS S-3 3841 - Surgical & medical instruments & apparatus  
Morgan, Lewis & Bockius LLP Nuveen Nasdaq 100 Dynamic Overwrite Fund QQQX N-2 6282 - Investment advice
  • Nuveen Securities, LLC
Morrison & Foerster LLP Marrone Bio Innovations Inc MBII S-3 2870 - Agricultural chemicals  
Nason, Yeager, Gerson, White & Lioce, P.A. Aspen Group Inc ASPU S-3 8200 - Services - educational services  
Reeder & Simpson, P.C. Stellar Acquisition Iii Inc STLR S-4 6770 - Blank check  
Rhamnolipid, Inc. Rhamnolipid Inc - 1-A -  
Robinson Brog Leinwand Greene Genovese & Gluck P.C. Summit Semiconductor Llc - S-1 3674 - Semiconductors & related devices
  • Alexander Capital, L.P.
  • Westpark Capital, Inc.
Ropes & Gray LLP Calamos Global Total Return Fund CGO N-2 6199 - Finance services  
Savyon Trust Group, Inc. Savyon Trust Group Inc - N-2 -
  • Savyon Asset Management advisory, LLC
Schiff Hardin LLP Moleculin Biotech Inc MBRX S-1 2834 - Pharmaceutical preparations  
Silver, Freedman, Taff & Tiernan LLP Baycom Corp - S-1 6022 - State commercial banks
  • FIG Partners, LLC
  • D.A. Davidson & Co.
Simpson Thacher & Bartlett LLP Canada'S Wonderland Co FUN S-4 7990 - Services - miscellaneous amusement & recreation  
Skadden, Arps, Slate, Meagher & Flom LLP Arbor Realty Trust Inc ABR S-4 6798 - Real estate investment trusts  
Skadden, Arps, Slate, Meagher & Flom LLP Huya Inc - F-1 7370 - Services - computer programming, data process, etc.
  • Credit Suisse Securities LLC
  • Goldman Sachs (Asia) L.L.C.
  • UBS Securities LLC
Skadden, Arps, Slate, Meagher & Flom LLP Ishares Dow Jones-Ubs Roll Select Commodity Index Trust CMDT S-1 6221 - Commodity contracts brokers & dealers  
Skadden, Arps, Slate, Meagher & Flom LLP Ishares S&P Gsci Commodity-Indexed Trust GSG S-3 6799 - Investors, not elsewhere classified  
Spectrum Brands Holdings, Inc. Hrg Group Inc HRG S-4 3690 - Miscellaneous electrical machinery, equipment & supplies  
Stradley Ronon Stevens & Young, LLP Nuveen Emerging Markets Debt 2025 Term Fund - N-2 -
  • Nuveen Securities, LLC
Stradley Ronon Stevens & Young, LLP Nuveen Impact Bond 2025 Term Fund - N-2 -
  • Nuveen Securities, LLC
Summit Semiconductor, Inc. Summit Semiconductor Llc - S-1 3674 - Semiconductors & related devices
  • Alexander Capital, L.P.
  • Westpark Capital, Inc.
The Syme Law Firm Thinking Green - 1-A -  
Unimin Corp. Unimin Corp - S-4 1400 - Mining & quarrying nonmetallic minerals, except fuels  
Ward and Smith, P.A. Parkway Acquisition Corp - S-4 6022 - State commercial banks  
Wexler, Burkhart, Hirschberg & Unger Delcath Systems Inc DCTH S-1 3841 - Surgical & medical instruments & apparatus  
Williams Mullen Parkway Acquisition Corp - S-4 6022 - State commercial banks  
Wilson, Sonsini, Goodrich & Rosati, P.C. Stellar Acquisition Iii Inc STLR S-4 6770 - Blank check  

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