Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: February 12 - 16

There were 34 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Oncobiologics Inc w/ Cooley LLP, Sterling Consolidated Corp w/ Legal and Compliance, LLC. 

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.

 

Banner-EZOD-380x380shareholderactivism-1.png

 

Account / Firm Company Name Symbol Form Type Industry Underwriters
Arcus Biosciences, Inc. Arcus Biosciences Inc - S-1 2834 - Pharmaceutical preparations
  • Citigroup Global Markets Inc.
  • Goldman Sachs & Co. LLC
  • Leerink Partners LLC
Atlas Resources Series 33-2013 L.P. Atlas Resources Series 33-2013 L.P. - 10-12G -  
Baker & Hostetler LLP Lightpath Technologies Inc LPTH S-3 3674 - Semiconductors & related devices  
Baker & McKenzie Taiwan Liposome Company Ltd - F-1 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
  • CLSA Limited / H.C. Wainwright & Co., LLC
  • Janney Montgomery Scott LLC / Laidlaw & Company (UK) Ltd.
Barack Ferrazzano Kirschbaum & Nagelberg LLP Bridgewater Bancshares Inc - S-1 6022 - State commercial banks
  • Sandler O'Neill & Partners, L.P.
  • D.A. Davidson & Co.
Clifford Chance US LLP Cnl Strategic Capital Llc - S-1 6770 - Blank check  
Cooley LLP Arcus Biosciences Inc - S-1 2834 - Pharmaceutical preparations
  • Citigroup Global Markets Inc.
  • Goldman Sachs & Co. LLC
  • Leerink Partners LLC
Cooley LLP Oncobiologics Inc ONS S-3 2836 - Biological products, except diagnostic substances  
Cooley LLP Taiwan Liposome Company Ltd - F-1 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
  • CLSA Limited / H.C. Wainwright & Co., LLC
  • Janney Montgomery Scott LLC / Laidlaw & Company (UK) Ltd.
Cooley LLP Zscaler Inc - S-1 7371 - Services - computer programming services
  • Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Barclays Capital Inc. / Deutsche Bank Securities Inc. / Credit Suisse Securities LLC / UBS Securities LLC
  • Robert W. Baird & Co. Inc. / BTIG, LLC / Needham & Company, LLC / Stephens Inc.
Crosscode, Inc. Crosscode Inc - S-1 -  
Davis Polk & Wardwell LLP Taiwan Liposome Company Ltd - F-1 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
  • CLSA Limited / H.C. Wainwright & Co., LLC
  • Janney Montgomery Scott LLC / Laidlaw & Company (UK) Ltd.
Dechert LLP Aip Macro Registered Fund A GMRF A N-2 -  
Dechert LLP Aip Macro Registered Fund P GMRF P N-2 -  
Dechert LLP Aip Multi-Strategy Fund A MSF A N-2 -  
Dechert LLP Aip Multi-Strategy Fund P MSF P N-2 -  
Dechert LLP Alternative Investment Partners Absolute Return Fund ARF N-2 -  
Dechert LLP Alternative Investment Partners Absolute Return Fund Sts ARF STS N-2 -  
DLA Piper LLP Cnl Strategic Capital Llc - S-1 6770 - Blank check  
Dorsey & Whitney LLP Purple Innovation Inc PRPL S-3 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
Ellenoff Grossman & Schole LLP Acro Biomedical Co. Ltd - S-1 7900 - Services - amusement & recreation services  
Fenimore, Kay, Harrison & Ford, LLP Business First Bancshares Inc - S-3 6022 - State commercial banks  
Gallagher & Kennedy P.A. Escondido Innovations Inc - 10-12G 7812 - Services - motion picture & video tape production  
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP Arcus Biosciences Inc - S-1 2834 - Pharmaceutical preparations
  • Citigroup Global Markets Inc.
  • Goldman Sachs & Co. LLC
  • Leerink Partners LLC
Jones Day Cleveland-Cliffs Inc CLF S-4 1000 - Metal mining  
K&L Gates Taiwan Liposome Company Ltd - F-1 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
  • CLSA Limited / H.C. Wainwright & Co., LLC
  • Janney Montgomery Scott LLC / Laidlaw & Company (UK) Ltd.
Latham & Watkins LLP Bioxcel Therapeutics Inc - S-1 2834 - Pharmaceutical preparations
  • Barclays Capital Inc.
  • UBS Securities LLC
  • BMO Capital Markets Corp. / Canaccord Genuity Inc.
Legal and Compliance, LLC Sterling Consolidated Corp STCC 1-A 3050 - Gaskets, packing & sealing devices & rubber & plastics hose  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Aytu Bioscience Inc AYTU S-1 2834 - Pharmaceutical preparations
  • Joseph Gunnar & Co., LLC
  • Fordham Financial Management
ProShare Capital Management LLC Proshares Ultra Silver AGQ S-1 6221 - Commodity contracts brokers & dealers  
Pruco Life Insurance Company Pruco Life Of New Jersey Variable Contract Real Property Acc - S-1 6500 - Real estate
  • Pruco Securities, LLC
Pruco Life Insurance Company Pruco Life Variable Contract Real Property Account - S-1 6500 - Real estate
  • Pruco Securities, LLC
Pruco Life Insurance Company Prudential Variable Contract Real Property Account - S-1 6500 - Real estate
  • Pruco Securities, LLC
Reed Smith LLP Uc Asset Lp - 1-A 6500 - Real estate  
Satterlee Stephens LLP Renovacare Inc RCAR S-1 1382 - Oil & gas field exploration services  
Sheppard, Mullin, Richter & Hampton LLP Bioxcel Therapeutics Inc - S-1 2834 - Pharmaceutical preparations
  • Barclays Capital Inc.
  • UBS Securities LLC
  • BMO Capital Markets Corp. / Canaccord Genuity Inc.
Sichenzia Ross Ference Kesner LLP Aytu Bioscience Inc AYTU S-1 2834 - Pharmaceutical preparations
  • Joseph Gunnar & Co., LLC
  • Fordham Financial Management
Sidley Austin LLP Proshares Ultra Silver AGQ S-1 6221 - Commodity contracts brokers & dealers  
Simpson Thacher & Bartlett LLP Oaktree Real Estate Income Trust Inc - S-11 6798 - Real estate investment trusts  
Taurus Financial Partners, LLC Securetech Inc - S-1 -  
TroyGould PC Flitways Technology Inc - S-1 1000 - Metal mining
  • L2 Capital, LLC
Vedder Price P.C. Bridgewater Bancshares Inc - S-1 6022 - State commercial banks
  • Sandler O'Neill & Partners, L.P.
  • D.A. Davidson & Co.
Vinson & Elkins L.L.P. Foresight Energy Limited Partnership FELP S-3 1221 - Bituminous coal & lignite surface mining
  • Murray Energy Corporation
  • Christopher Cline
Wilson Sonsini Goodrich & Rosati, P.C. Zscaler Inc - S-1 7371 - Services - computer programming services
  • Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Barclays Capital Inc. / Deutsche Bank Securities Inc. / Credit Suisse Securities LLC / UBS Securities LLC
  • Robert W. Baird & Co. Inc. / BTIG, LLC / Needham & Company, LLC / Stephens Inc.
Zscaler, Inc. Zscaler Inc - S-1 7371 - Services - computer programming services
  • Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Barclays Capital Inc. / Deutsche Bank Securities Inc. / Credit Suisse Securities LLC / UBS Securities LLC
  • Robert W. Baird & Co. Inc. / BTIG, LLC / Needham & Company, LLC / Stephens Inc.

Toppan Vintage | 747 Third Avenue, New York, NY 10017
You received this email because you are subscribed to Marketing Information from Toppan Vintage.
Unsubscribe

 

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.

toppanvintage.com

Show more posts from author

Subscribe to the Toppan Vite Blog

Most Popular Articles

2018 SEC REPORTING RULES GUIDEBOOKS - PRE-ORDER FREE SET

Order now.  

2018 SEC FILING CALENDAR - DOWNLOAD NOW

Download the 2018 SEC Filing Calendar here.  

2018 MUTUAL FUND & ETF FILING DATES - DOWNLOAD NOW

Download the 2018 Mutual Fund & ETF Filing Dates here.  

2018 ETF HANDBOOK - DOWNLOAD NOW

Download the 2018 ETF Handbook here.

 

UNICORNS: WHAT WILL HAPPEN OVER THE NEXT 12 MONTHS?

Get your free whitepaper here

ANNUAL COMPLIANCE SUBSCRIPTION PACKAGE 

Click here to learn more about which XBRL service option best fits your team's business requirements and work standards.

Latest Blogs