Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: July 2 - 6

There were 38 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Fortress Biotech Inc w/ Alston & Bird LLP, Emclaire Financial Corp w/ Bybel Rutledge LLP, Emclaire Financial 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
Akin Gump Strauss Hauer & Feld LLP Greenlight Capital Re Ltd GLRE S-3 6331 - Fire, marine & casualty insurance  
Alston & Bird LLP Fortress Biotech Inc FBIO S-3 2834 - Pharmaceutical preparations  
AzurRx BioPharma, Inc. Azurrx Biopharma Inc AZRX S-3 2834 - Pharmaceutical preparations  
Bybel Rutledge LLP Emclaire Financial Corp EMCF S-4 6021 - National commercial banks  
CKR Law, LLP Boxlight Corp BOXL S-1 3861 - Photographic equipment & supplies
  • A.G.P. / Alliance Global Partners
  • Maxim Group, LLC
  • The Benchmark Company, LLC
Clifford Chance US LLP Safety Income & Growth Inc SAFE S-3 6519 - Lessors of real property, not elsewhere classified  
Cooley LLP Shotspotter Inc SSTI S-3 7372 - Services - prepackaged software  
Core Lithium Corp. Core Lithium Corp - 10-12G -  
Disclosure Law Group, PC Azurrx Biopharma Inc AZRX S-3 2834 - Pharmaceutical preparations  
Eitan Mehulal & Sadot Safe-T Group Ltd - F-1 7372 - Services - prepackaged software
  • Chardan Capital Markets, LLC
Ellenoff Grossman & Schole LLP Envision Solar International Inc 16N S-1 3674 - Semiconductors & related devices
  • Maxim Group LLC
Ellenoff Grossman & Schole LLP Forum Merger Ii Corp - S-1 6770 - Blank check
  • Jefferies LLC
  • EarlyBirdCapital, Inc.
Ellenoff Grossman & Schole, LLP Safe-T Group Ltd - F-1 7372 - Services - prepackaged software
  • Chardan Capital Markets, LLC
Fenwick & West LLP Sonos Inc - S-1 3651 - Household audio & video equipment
  • Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC
  • Allen & Company LLC / RBC Capital Markets, LLC / Jefferies LLC
  • KKR Capital Markets LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc.
Goodwin Procter LLP Myomo Inc MYO S-3 3842 - Orthopedic, prosthetic & surgical appliances & supplies
  • B. Riley FBR, Inc.
Greenberg Traurig LLP Helios & Matheson Analytics Inc HMNY S-3 7380 - Services - miscellaneous business services  
Greenberg Traurig, LLP Ammo Inc RTRO S-1 2330 - Women's, misses', & juniors outerwear  
Greenlight Capital Re, Ltd. Greenlight Capital Re Ltd GLRE S-3 6331 - Fire, marine & casualty insurance  
Gusrae Kaplan & Nusbaum PLLC Boxlight Corp BOXL S-1 3861 - Photographic equipment & supplies
  • A.G.P. / Alliance Global Partners
  • Maxim Group, LLC
  • The Benchmark Company, LLC
Hunter Taubman Fischer & Li LLC Tottenham Acquisition I Ltd - S-1 6770 - Blank check
  • Chardan Capital Markets, LLC
iCoreConnect Inc. Icoreconnect Inc VMCI 10-12G 7372 - Services - prepackaged software  
John E. Lux, Esq. Soligen Technologies Inc SGTN 1-A 3360 - Nonferrous foundries (castings)  
Latham & Watkins LLP Arlo Technologies Inc - S-1 3651 - Household audio & video equipment
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Deutsche Bank Securities Inc.
  • Guggenheim Securities LLC / Raymond James & Associates, Inc.
  • Cowen and Company, LLC / Imperial Capital, LLC
Latham & Watkins LLP William Lyon Homes Inc WLH S-4 1531 - Operative builders  
Law Office of Clifford J. Hunt, P.A. American Resources Corp AREC S-1 7699 - Services - Repair shops & related services, not elsewhere classified  
Laxague Law, Inc. Rocky Mountain High Brands Inc - S-1 2080 - Beverages
  • GHS Investments, LLC
Loeb & Loeb LLP Boxlight Corp BOXL S-1 3861 - Photographic equipment & supplies
  • A.G.P. / Alliance Global Partners
  • Maxim Group, LLC
  • The Benchmark Company, LLC
Loeb & Loeb LLP Tottenham Acquisition I Ltd - S-1 6770 - Blank check
  • Chardan Capital Markets, LLC
Manatt, Phelps & Phillips, LLP Superconductor Technologies Inc SCON S-1 3663 - Radio & television broadcasting & communications equipment  
Meitar Liquornik Geva Leshem Tal Safe-T Group Ltd - F-1 7372 - Services - prepackaged software
  • Chardan Capital Markets, LLC
Morgan, Lewis & Bockius LLP Nextera Energy Partners Lp NEP S-3 4911 - Electric services  
Morgan, Lewis & Bockius LLP Nextera Energy Partners Lp NEP S-3 4911 - Electric services  
Morgan, Lewis & Bockius LLP Nuveen S&P 500 Buywrite Income Fund BXMX N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices
  • Nuveen Securities, LLC
NETGEAR, Inc. Arlo Technologies Inc - S-1 3651 - Household audio & video equipment
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Deutsche Bank Securities Inc.
  • Guggenheim Securities LLC / Raymond James & Associates, Inc.
  • Cowen and Company, LLC / Imperial Capital, LLC
Procopio, Cory, Hargreaves & Savitch LLP 12 Retech Corp - S-1 7371 - Services - computer programming services
  • Oasis Capital, LLC
Pubco Advisory Service Data Vision Inc - S-1 -  
Richardson & Associates Envision Solar International Inc 16N S-1 3674 - Semiconductors & related devices
  • Maxim Group LLC
Ropes & Gray LLP Mersana Therapeutics Inc MRSN S-3 2834 - Pharmaceutical preparations
  • Cowen and Company, LLC
Sheppard Mullin Richter & Hampton LLP Astrotech Corp ASTC S-3 3760 - Guided missiles & space vehicles & parts  
ShotSpotter, Inc. Shotspotter Inc SSTI S-3 7372 - Services - prepackaged software  
Silver, Freedman, Taff & Tiernan LLP Emclaire Financial Corp EMCF S-4 6021 - National commercial banks  
Silverman Shin & Byrne PLLC Hemispherx Biopharma Inc HEB S-1 2836 - Biological products, except diagnostic substances  
Silverman Shin & Byrne PLLC Hemispherx Biopharma Inc HEB S-3 2836 - Biological products, except diagnostic substances  
Simpson Thacher & Bartlett LLP Sonos Inc - S-1 3651 - Household audio & video equipment
  • Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC
  • Allen & Company LLC / RBC Capital Markets, LLC / Jefferies LLC
  • KKR Capital Markets LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc.
Sonos, Inc. Sonos Inc - S-1 3651 - Household audio & video equipment
  • Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC
  • Allen & Company LLC / RBC Capital Markets, LLC / Jefferies LLC
  • KKR Capital Markets LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc.
Trowbridge Sidoti LLP Cardone Equity Fund V Llc - 1-A -  
Trowbridge Sidoti LLP Sprizzi Bev-Co. Inc - 1-A -  
Vedder Price Brighthouse Life Insurance Co - S-3 6311 - Life insurance
  • Brighthouse Securities, LLC
Vedder Price Brighthouse Life Insurance Co Of Ny - S-3 6311 - Life insurance
  • Brighthouse Securities, LLC
Vedder Price Graniteshares Gold Minibar Trust - S-1 -  
Wachtell, Lipton, Rosen & Katz Arlo Technologies Inc - S-1 3651 - Household audio & video equipment
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Deutsche Bank Securities Inc.
  • Guggenheim Securities LLC / Raymond James & Associates, Inc.
  • Cowen and Company, LLC / Imperial Capital, LLC
Winston & Strawn LLP Forum Merger Ii Corp - S-1 6770 - Blank check
  • Jefferies LLC
  • EarlyBirdCapital, Inc.
Winston & Strawn LLP Plymouth Industrial Reit Inc PLYM S-3 6798 - Real estate investment trusts  
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP Safe-T Group Ltd - F-1 7372 - Services - prepackaged software
  • Chardan Capital Markets, LLC

 

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