Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: February 5 - 9

There were 36 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Xtant Medical Holdings Inc w/ Ballard Spahr 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 Archrock Inc AROC S-4 7359 - Services - equipment rental & leasing, not elsewhere classified  
Ballard Spahr LLP Xtant Medical Holdings Inc XTNT S-1 2836 - Biological products, except diagnostic substances  
Buchalter P. C. Heritage Commerce Corp HTBK S-4 6022 - State commercial banks  
Cooley LLP Polypid Ltd - F-1 3841 - Surgical & medical instruments & apparatus
  • Goldman Sachs & Co. LLC
  • Cowen and Company, LLC / Cantor Fitzgerald & Co.
  • Raymond James & Associates, Inc. / Oppenheimer & Co. Inc.
Cooley LLP S&W Seed Co SANW S-3 0100 - Agricultural production-crops  
Davis Polk & Wardwell LLP Auris Medical Holding Ag EARS F-1 2834 - Pharmaceutical preparations  
Dechert LLP Angel Oak Financial Institutions Trust - N-2 -  
Dechert LLP Diffusion Pharmaceuticals Inc DFFN S-3 2834 - Pharmaceutical preparations  
EAD Law Group, LLC Tipmefast Inc - S-1 -  
Foulston Siefkin LLP Equity Bancshares Inc EQBK S-4 6022 - State commercial banks  
Gemini Fund Services, LLC Predex PRDEX N-2 -
  • Northern Lights Distributors, LLC
Goldfarb Seligman & Co. Wize Pharma Inc OPLI S-1 2834 - Pharmaceutical preparations  
Goodwin Procter LLP Limelight Networks Inc LLNW S-3 7389 - Services - business services, not elsewhere classified  
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP Organovo Holdings Inc ONVO S-3 2836 - Biological products, except diagnostic substances  
Haneberg Hurlbert PLC Wheeler Real Estate Investment Trust Inc WHLR S-3 6798 - Real estate investment trusts  
Hinckley, Allen & Snyder LLP Norfolk Southern Corp NSC S-4 4011 - Railroads, line-haul operating  
K&L Gates LLP American Beacon Sound Point Enhanced Inc - N-2 -
  • Resolute Investment Distributors, Inc.
K&L Gates LLP Two Rivers Water & Farming Co TURV S-1 0100 - Agricultural production-crops  
King & Spalding LLP Transocean Ltd RIG S-4 1381 - Drilling oil & gas wells  
Korth Direct Mortgage, LLC Korth Direct Mortgage Llc - S-1 6162 - Mortgage bankers & loan correspondents  
Latham & Watkins LLP American Superconductor Corp AMSC S-3 3621 - Motors & generators  
Latham & Watkins LLP Archrock Inc AROC S-4 7359 - Services - equipment rental & leasing, not elsewhere classified  
Latham & Watkins LLP Broadcom Ltd - S-4 -  
Latham & Watkins LLP Polypid Ltd - F-1 3841 - Surgical & medical instruments & apparatus
  • Goldman Sachs & Co. LLC
  • Cowen and Company, LLC / Cantor Fitzgerald & Co.
  • Raymond James & Associates, Inc. / Oppenheimer & Co. Inc.
McGeary Law Firm, P.C. Questcorp Global Inc - S-1 -  
MJ Holdings, Inc. Mj Holdings Inc SRFC 10-12G 7389 - Services - business services, not elsewhere classified  
Morrison & Foerster LLP General Cannabis Corp CANN S-3 7381 - Services - detective, guard & armored car services  
Norton Rose Fulbright US LLP Equity Bancshares Inc EQBK S-4 6022 - State commercial banks  
Norton Rose Fulbright US LLP Equity Bancshares Inc EQBK S-4 6022 - State commercial banks  
Organovo Holdings, Inc. Organovo Holdings Inc ONVO S-3 2836 - Biological products, except diagnostic substances  
Pinnacle Entertainment, Inc. Penn National Gaming Inc PENN S-4 7011 - Hotels & motels  
Ropes & Gray LLP Microvision Inc MVIS S-1 3679 - Electronic components, not elsewhere classified  
Schwell Wimpfheimer & Associates LLP Genie Energy Limited GNE S-3 4931 - Electric & other services combined  
SD Mitchell & Associates, PLC Kelvin Medical Inc - S-1 3841 - Surgical & medical instruments & apparatus
  • Phenix Ventures, LLC
Seward & Kissel LLP Gas Ships Ltd - F-1 4412 - Deep sea foreign transportation of freight  
Sheppard, Mullin, Richter & Hampton LLP Heritage Commerce Corp HTBK S-4 6022 - State commercial banks  
Sichenzia Ross Ference Kesner LLP Biotricity Inc - S-1 7373 - Services - computer integrated systems design  
Sichenzia Ross Ference Kesner LLP Wize Pharma Inc OPLI S-1 2834 - Pharmaceutical preparations  
Skadden, Arps, Slate, Meagher & Flom LLP Penn National Gaming Inc PENN S-4 7011 - Hotels & motels  
Stinson Leonard Street LLP Equity Bancshares Inc EQBK S-4 6022 - State commercial banks  
SW Innovative Holdings, Inc. Sw Innovative Holdings Inc SWHI 1-A 4813 - Telephone communications, except radiotelephone  
Thompson Hine LLP Predex PRDEX N-2 -
  • Northern Lights Distributors, LLC
Ultra SC Inc. Ultra Sc Inc - 10-12B -  
Vedder Price P.C. Byline Bancorp Inc BY S-4 6021 - National commercial banks  
Wachtell, Lipton, Rosen & Katz Byline Bancorp Inc BY S-4 6021 - National commercial banks  
Wachtell, Lipton, Rosen & Katz Penn National Gaming Inc PENN S-4 7011 - Hotels & motels  
Willkie Farr & Gallagher LLP Exela Technologies Inc XELA S-3 6770 - Blank check  
Yigal Arnon & Co. Polypid Ltd - F-1 3841 - Surgical & medical instruments & apparatus
  • Goldman Sachs & Co. LLC
  • Cowen and Company, LLC / Cantor Fitzgerald & Co.
  • Raymond James & Associates, Inc. / Oppenheimer & Co. Inc.
Zysman, Aharoni, Gayer & Co. Polypid Ltd - F-1 3841 - Surgical & medical instruments & apparatus
  • Goldman Sachs & Co. LLC
  • Cowen and Company, LLC / Cantor Fitzgerald & Co.
  • Raymond James & Associates, Inc. / Oppenheimer & Co. Inc.

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