Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: February 19 - 23

There were 30 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Terrapin 4 Acquisition Corp w/ Greenberg Traurig, LLP, Terrapin 4 Acquisition Corp w/ Skadden, Arps, Slate, Meagher & Flom 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
AG Acquisition Group II, Inc. Ag Acquisition Group Ii Inc - 10-12G -  
Baker Botts L.L.P. Chesapeake Energy Corp CHK S-4 1311 - Crude petroleum & natural gas (SIC);1381 - Drilling oil & gas wells (SIC)  
CKR Law LLP Sincerity Applied Materials Holdings Corp SBID S-1 7310 - Services - advertising  
Cooley LLP Dova Pharmaceuticals Inc DOVA S-1 2834 - Pharmaceutical preparations
  • J.P. Morgan Securities LLC
  • Jefferies LLC
  • Evercore Group L.L.C.
Davis Polk & Wardwell LLP Dova Pharmaceuticals Inc DOVA S-1 2834 - Pharmaceutical preparations
  • J.P. Morgan Securities LLC
  • Jefferies LLC
  • Evercore Group L.L.C.
Davis Polk & Wardwell LLP Sunlands Online Education Group - F-1 8200 - Services - educational services
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Credit Suisse Securities LLC / CLSA Limited
Dechert LLP 1889 Bdc Inc - 10-12G -  
Dentons US LLP Mynd Analytics Inc MYND S-3 8090 - Services - miscellaneous health & allied services, not elsewhere classified  
Dentons US LLP Mynd Analytics Inc MYND S-3 8090 - Services - miscellaneous health & allied services, not elsewhere classified  
Dinsmore & Shohl LLP Lcnb Corp LCNB S-4 6021 - National commercial banks  
DLA Piper LLP Cim Commercial Trust Corp CMCT S-11 6798 - Real estate investment trusts
  • Ladenburg Thalmann & Co. Inc.
DLA Piper LLP Ibex Holdings Ltd - F-1 7374 - Services - computer processing & data preparation
  • Robert W. Baird & Co. Inc.
  • Piper Jaffray & Co.
  • William Blair & Company, L.L.C. / SunTrust Robinson Humphrey, Inc.
Dropbox, Inc. Dropbox Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Deutsche Bank Securities Inc. / Allen & Company LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / RBC Capital Markets, LLC / Jefferies LLC / Macquarie Capital Inc.
  • Canaccord Genuity Inc. / JMP Securities LLC / KeyBanc Capital Markets Inc. / Piper Jaffray & Co.
Ellenoff Grossman & Schole LLP Tiberius Acquisition Corp - S-1 6770 - Blank check
  • Cantor Fitzgerald & Co.
  • Dowling & Partners Securities LLC
EPHS Holdings, Inc. Ephs Holdings Inc - 10-12G -  
Gibson, Dunn & Crutcher LLP Williams Partners L.P. WPZ S-3 4922 - Natural gas transmission  
Goodwin Procter LLP Aerpio Pharmaceuticals Inc - S-3 6770 - Blank check
  • Cantor Fitzgerald & Co.
Goodwin Procter LLP Ibex Holdings Ltd - F-1 7374 - Services - computer processing & data preparation
  • Robert W. Baird & Co. Inc.
  • Piper Jaffray & Co.
  • William Blair & Company, L.L.C. / SunTrust Robinson Humphrey, Inc.
Graubard Miller Opes Acquisition Corp - S-1 6770 - Blank check
  • EarlyBirdCapital, Inc.
Graubard Miller Tiberius Acquisition Corp - S-1 6770 - Blank check
  • Cantor Fitzgerald & Co.
  • Dowling & Partners Securities LLC
Greenberg Traurig, LLP Opes Acquisition Corp - S-1 6770 - Blank check
  • EarlyBirdCapital, Inc.
Greenberg Traurig, LLP Terrapin 4 Acquisition Corp - S-1 6770 - Blank check
  • Nomura Securities International, Inc.
  • SunTrust Robinson Humphrey, Inc.
  • Janney Montgomery Scott LLC
Hart & Hart, LLC United Cannabis Corp MYSK S-1 2834 - Pharmaceutical preparations
  • Tangiers Global, LLC
Haynes and Boone, LLP Inspiremd Inc NSPR S-3 3841 - Surgical & medical instruments & apparatus  
Kirkland & Ellis, LLP Bright Scholar Education Holdings Ltd BEDU F-1 8200 - Services - educational services
  • Goldman Sachs & Co. LLC
  • Deutsche Bank Securities Inc.
Kirkland & Ellis, LLP Sunlands Online Education Group - F-1 8200 - Services - educational services
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Credit Suisse Securities LLC / CLSA Limited
Korth Direct Mortgage, LLC Korth Direct Mortgage Llc - S-1 6162 - Mortgage bankers & loan correspondents  
Loeb & Loeb LLP Orient Paper Inc ONP S-3 2670 - Converted paper & paperboard products, except containers & boxes  
Lowenstein Sandler LLP Cytodyn Inc CYDY S-3 2834 - Pharmaceutical preparations  
Morris, Manning & Martin, LLP Flat Rock Opportunity Fund - N-2 -
  • ALPS Distributors, Inc.
Nathaniel M. Reinking, Esq. Buscar Company CGLD 1-A 7948 - Services - racing, including track operation  
Securities Law Information Movie Studio Inc DSTV 1-A 7812 - Services - motion picture & video tape production  
Sidley Austin LLP Prudential Financial Inc PRU S-4 6311 - Life insurance  
Simpson Thacher & Bartlett LLP Bc Partners Lending Corp - 10-12G -  
Simpson Thacher & Bartlett LLP Dropbox Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Deutsche Bank Securities Inc. / Allen & Company LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / RBC Capital Markets, LLC / Jefferies LLC / Macquarie Capital Inc.
  • Canaccord Genuity Inc. / JMP Securities LLC / KeyBanc Capital Markets Inc. / Piper Jaffray & Co.
Skadden, Arps, Slate, Meagher & Flom LLP Ecolab Inc ECL S-4 2840 - Soap, detergents, cleaning preparations; perfumes, cosmetics  
Skadden, Arps, Slate, Meagher & Flom LLP Terrapin 4 Acquisition Corp - S-1 6770 - Blank check
  • Nomura Securities International, Inc.
  • SunTrust Robinson Humphrey, Inc.
  • Janney Montgomery Scott LLC
Sullivan & Cromwell LLP Cim Commercial Trust Corp CMCT S-11 6798 - Real estate investment trusts
  • Ladenburg Thalmann & Co. Inc.
Vorys, Sater, Seymour and Pease LLP Lcnb Corp LCNB S-4 6021 - National commercial banks  
Wilson Sonsini Goodrich & Rosati, P.C. Dropbox Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Deutsche Bank Securities Inc. / Allen & Company LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / RBC Capital Markets, LLC / Jefferies LLC / Macquarie Capital Inc.
  • Canaccord Genuity Inc. / JMP Securities LLC / KeyBanc Capital Markets Inc. / Piper Jaffray & Co.
Wilson Sonsini Goodrich & Rosati, PC Bright Scholar Education Holdings Ltd BEDU F-1 8200 - Services - educational services
  • Goldman Sachs & Co. LLC
  • Deutsche Bank Securities Inc.

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