Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: February 26 - March 2

There were 46 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Juniata Valley Financial Corp w/ Barley Snyder LLP, Community Financial Corp w/ Kilpatrick Townsend & Stockton LLP, Tower International Inc w/ Lowenstein Sandler LLP, Juniata Valley Financial Corp w/ Pillar + Aught, Dreyfus Alcentra Multi-Strategy Global Credit Fund Inc w/ Proskauer Rose LLP, Xspand Products Lab Inc w/ Waller Lansden Dortch & Davis, 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
Akerman LLP Rumbleon Inc RMBL S-3 7371 - Services - computer programming services  
Apricus Biosciences, Inc. Apricus Biosciences Inc APRI S-3 2834 - Pharmaceutical preparations  
Barley Snyder LLP Juniata Valley Financial Corp JUVF S-4 6712 - Offices of bank holding companies  
Blockchain Industries, Inc. Blockchain Industries Inc BVNI 10-12G 7389 - Services - business services, not elsewhere classified  
Brinen & Associates, LLC Sustinere Holdings Inc - S-1 -  
Buchalter PC Heritage Commerce Corp HTBK S-4 6022 - State commercial banks  
Butler Snow LLP Smartfinancial Inc SMBK S-4 6021 - National commercial banks  
Davis Polk & Wardwell LLP Hamilton Lane Inc HLNE S-1 6282 - Investment advice
  • J.P. Morgan Securities LLC / Morgan Stanley & Co. LLC
  • Goldman Sachs & Co. LLC / Keefe, Bruyette & Woods, Inc.
  • Wells Fargo Securities, LLC / Freeman & Co. Securities LLC
Davis Polk & Wardwell LLP Iqiyi Inc - F-1 7841 - Services - video tape rental
  • Goldman Sachs & Co. L.L.C. / Credit Suisse Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / China Renaissance Securities Ltd.
  • Citigroup Global Markets Inc. / UBS Securities LLC
Depomed, Inc. Depomed Inc DEPO S-3 2834 - Pharmaceutical preparations  
DLA Piper LLP Gt Biopharma Inc 0M8T S-3 2834 - Pharmaceutical preparations  
DLA Piper LLP Gt Biopharma Inc 0M8T S-3 2834 - Pharmaceutical preparations  
Drinker Biddle & Reath LLP Hamilton Lane Inc HLNE S-1 6282 - Investment advice
  • J.P. Morgan Securities LLC / Morgan Stanley & Co. LLC
  • Goldman Sachs & Co. LLC / Keefe, Bruyette & Woods, Inc.
  • Wells Fargo Securities, LLC / Freeman & Co. Securities LLC
Electropremium Electropremium - S-1 -  
Eversheds Sutherland LLP Fidus Investment Corp FDUS N-2 6199 - Finance services  
Gibson, Dunn & Crutcher LLP Depomed Inc DEPO S-3 2834 - Pharmaceutical preparations  
Goodwin Procter LLP Concert Pharmaceuticals Inc CNCE S-3 2834 - Pharmaceutical preparations  
Goodwin Procter LLP Unum Therapeutics Inc - S-1 2834 - Pharmaceutical preparations
  • Morgan Stanley & Co. LLC
  • Cowen and Company, LLC
  • Wedbush Securities Inc.
GT Biopharma, Inc. Gt Biopharma Inc 0M8T S-3 2834 - Pharmaceutical preparations  
GT Biopharma, Inc. Gt Biopharma Inc 0M8T S-3 2834 - Pharmaceutical preparations  
Haynes and Boone, LLP Biosig Technologies Inc BSGM S-1 3845 - Electromedical & electrotherapeutic apparatus  
Hogan Lovells US LLP Cbs Corp CBS S-4 4833 - Television broadcasting stations  
Kilpatrick Townsend & Stockton LLP Community Financial Corp TCFC S-3 6022 - State commercial banks  
Kreido Biofuels, Inc. Kreido Biofuels Inc KRBF 10-12G 2860 - Industrial organic chemicals  
Kutak Rock LLP Windstream Holdings Inc WIN S-3 4813 - Telephone communications, except radiotelephone  
Latham & Watkins LLP Apricus Biosciences Inc APRI S-3 2834 - Pharmaceutical preparations  
Latham & Watkins LLP Bilibili Inc - F-1 7374 - Services - computer processing & data preparation
  • Morgan Stanley & Co. International PLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • J.P. Morgan Securities LLC
Latham & Watkins LLP Greentree Hospitality Group Ltd - F-1 7011 - Hotels & motels
  • Morgan Stanley & Co. International PLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • UBS Securities LLC
Latham & Watkins LLP Homology Medicines Inc - S-1 2834 - Pharmaceutical preparations
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Cowen and Company, LLC
  • Evercore Group L.L.C. / BTIG, LLC
Latham & Watkins LLP Nautilus Holdco Inc - S-4 -  
Latham & Watkins LLP Spotify Technology S.A. - F-1 4832 - Radio broadcasting stations  
Law Office of Clifford J. Hunt, P.A. Thunder Energies Corp TNRG S-1 6770 - Blank check
  • Northbridge Financial, Inc.
Lowenstein Sandler LLP Tower International Inc TOWR S-3 3714 - Motor vehicle parts & accessories  
Lucosky Brookman LLP Scs Insurance Opportunities Fund - N-2 -  
Morgan, Lewis & Bockius LLP Leap Therapeutics Inc LPTX S-3 2834 - Pharmaceutical preparations  
Paul, Weiss, Rifkind, Wharton & Garrison LLP Vtv Therapeutics Inc VTVT S-3 2834 - Pharmaceutical preparations  
Pillar + Aught Juniata Valley Financial Corp JUVF S-4 6712 - Offices of bank holding companies  
Proskauer Rose LLP Dreyfus Alcentra Multi-Strategy Global Credit Fund Inc - N-2 -
  • MBSC Securities Corporation
Red Violet, Inc. Red Violet Inc - 10-12B 7372 - Services - prepackaged software  
Robinson Brog Leinwand Greene Genovese & Gluck, P.C. Scs Insurance Opportunities Fund - N-2 -  
Ropes & Gray LLP Stone Ridge Trust Ii SRRIX N-2 -
  • ALPS Distributors, Inc.
Ropes & Gray LLP Stone Ridge Trust Iii - N-2 -
  • ALPS Distributors, Inc.
Ropes & Gray LLP Stone Ridge Trust V - N-2 -
  • ALPS Distributors, Inc.
Ropes & Gray LLP Unum Therapeutics Inc - S-1 2834 - Pharmaceutical preparations
  • Morgan Stanley & Co. LLC
  • Cowen and Company, LLC
  • Wedbush Securities Inc.
Shearman & Sterling LLP Homology Medicines Inc - S-1 2834 - Pharmaceutical preparations
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Cowen and Company, LLC
  • Evercore Group L.L.C. / BTIG, LLC
Sheppard, Mullin, Richter & Hampton LLP Heritage Commerce Corp HTBK S-4 6022 - State commercial banks  
Simpson Thacher & Bartlett LLP Greentree Hospitality Group Ltd - F-1 7011 - Hotels & motels
  • Morgan Stanley & Co. International PLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • UBS Securities LLC
Simpson Thacher & Bartlett LLP Nu Skin Enterprises Inc NUS S-3 5122 - Wholesale - drugs, drug proprietaries & druggists' sundries  
Simpson Thacher & Bartlett LLP Onesmart International Education Group Ltd - F-1 8200 - Services - educational services
  • Morgan Stanley & Co. International PLC
  • Deutsche Bank Securities Inc.
  • UBS Securities LLC
Skadden, Arps, Slate, Meagher & Flom LLP Bilibili Inc - F-1 7374 - Services - computer processing & data preparation
  • Morgan Stanley & Co. International PLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • J.P. Morgan Securities LLC
Skadden, Arps, Slate, Meagher & Flom LLP Iqiyi Inc - F-1 7841 - Services - video tape rental
  • Goldman Sachs & Co. L.L.C. / Credit Suisse Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / China Renaissance Securities Ltd.
  • Citigroup Global Markets Inc. / UBS Securities LLC
Skadden, Arps, Slate, Meagher & Flom LLP Nautilus Holdco Inc - S-4 -  
Skadden, Arps, Slate, Meagher & Flom LLP Onesmart International Education Group Ltd - F-1 8200 - Services - educational services
  • Morgan Stanley & Co. International PLC
  • Deutsche Bank Securities Inc.
  • UBS Securities LLC
Skadden, Arps, Slate, Meagher & Flom LLP Travelcenters Of America Llc TA S-3 5500 - Retail - auto dealers & gasoline stations  
The Crone Law Group Solbright Group Inc AKDS S-1 7389 - Services - business services, not elsewhere classified  
Trowbridge Sidoti, LLP Oi2Go Media Technologies Inc - 1-A -  
Turner Valley Oil & Gas, Inc. Turner Valley Oil & Gas Inc TVOG 10-12B 1311 - Crude petroleum & natural gas  
Unum Therapeutics Inc. Unum Therapeutics Inc - S-1 2834 - Pharmaceutical preparations
  • Morgan Stanley & Co. LLC
  • Cowen and Company, LLC
  • Wedbush Securities Inc.
Vinson & Elkins L.L.P. Dominion Energy Midstream Partners Lp DM S-3 1389 - Oil & gas field services, not elsewhere classified  
Vinson & Elkins L.L.P. New York Mortgage Trust Inc NYMT S-3 6798 - Real estate investment trusts  
Wachtell, Lipton, Rosen & Katz Triumph Bancorp Inc TBK S-3 6022 - State commercial banks  
Waller Lansden Dortch & Davis, LLP Smartfinancial Inc SMBK S-4 6021 - National commercial banks  
Waller Lansden Dortch & Davis, LLP Xspand Products Lab Inc - 1-A 3944 - Games, toys & children's vehicles, except dolls & bicycles  

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