Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: July 30 - August 3

There were 47 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Legion M Entertainment Inc w/ CrowdCheck Law LLP, Fs Investment Corp Iv w/ Dechert LLP, Synthetic Biologics Inc w/ Gracin & Marlow, 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
Aravive Biologics, Inc. Versartis Inc VSAR S-4 2834 - Pharmaceutical preparations  
Baker Botts L.L.P. Zix Corp ZIXI S-3 7374 - Services - computer processing & data preparation  
Barack Ferrazzano Kirschbaum & Nagelberg LLP First Midwest Bancorp Inc FMBI S-4 6021 - National commercial banks  
Chapman and Cutler LLP First Midwest Bancorp Inc FMBI S-4 6021 - National commercial banks  
Cooley LLP Airxpanders Inc - S-1 5047 - Wholesale - medical, dental & hospital equipment & supplies
  • Canaccord Genuity, Ltd.
Cooley LLP Novus Therapeutics Inc NVUS S-1 2834 - Pharmaceutical preparations
  • Piper Jaffray & Co.
Cooley LLP Versartis Inc VSAR S-4 2834 - Pharmaceutical preparations  
CrowdCheck Law LLP Legion M Entertainment Inc - 1-A 7812 - Services - motion picture & video tape production  
Davis Wright Tremaine LLP Mercer International Inc MERC S-4 2611 - Pulp mills  
Dechert LLP Fs Investment Corp Iv - N-2 -  
Discovery Gold Corp. Discovery Gold Corp DCGD 10-12G 4899 - Communications services, not elsewhere classified  
Dorsey & Whitney LLP Old National Bancorp ONB S-4 6021 - National commercial banks  
Ellenoff Grossman & Schole LLP Tkk Symphony Acquisition Corp - S-1 6770 - Blank check
  • EarlyBirdCapital, Inc.
Foley & Lardner LLP Processa Pharmaceuticals Inc HUWX S-1 3531 - Construction machinery & equipment  
Fox Rothschild LLP Rentalist Inc - 1-A -  
Frontdoor, Inc. Frontdoor Inc - 10-12B 7340 - Services - to dwellings & other buildings  
Garvey Schubert Barer Cohbar Inc CWBR S-3 2834 - Pharmaceutical preparations  
Gibson, Dunn & Crutcher LLP Novus Therapeutics Inc NVUS S-1 2834 - Pharmaceutical preparations
  • Piper Jaffray & Co.
Gibson, Dunn & Crutcher LLP Patterson Uti Energy Inc PTEN S-4 1381 - Drilling oil & gas wells  
Goodwin Procter LLP New Pennymac Financial Services Inc - S-4 -  
Gracin & Marlow, LLP Synthetic Biologics Inc SYN S-3 2834 - Pharmaceutical preparations  
Gracin & Marlow, LLP Versartis Inc VSAR S-4 2834 - Pharmaceutical preparations  
Graubard Miller Tkk Symphony Acquisition Corp - S-1 6770 - Blank check
  • EarlyBirdCapital, Inc.
Hart & Hart, LLC Advantego Corp MYNG S-1 1000 - Metal mining
  • Tangiers Investment Group, LLC
Hart & Hart, LLC Cel Sci Corp CVM S-3 2836 - Biological products, except diagnostic substances  
Holland & Knight LLP Schmitt Industries Inc SMIT S-3 3823 - Industrial instruments for measurement, display, control  
Krieg DeVault LLP Old National Bancorp ONB S-4 6021 - National commercial banks  
Krueger LLP Gpods Inc - S-1 -  
Latham & Watkins LLP Sienna Biopharmaceuticals Inc SNNA S-3 2834 - Pharmaceutical preparations
  • Cowen and Company, LLC
Legal and Compliance, LLC Eurosport Active World Corp - S-1 3585 - Air-conditioning & warm air heating equipment & commercial & industrial refrigerators  
Legal and Compliance, LLC Masterworks 001 Llc - 1-A 5990 - Retail - retail stores, not elsewhere classified  
Lowenstein Sandler LLP Altimmune Inc ALT S-1 2834 - Pharmaceutical preparations
  • Roth Capital Partners, LLC
Mayer Brown LLP Kimbell Royalty Partners Lp KRP S-3 1311 - Crude petroleum & natural gas  
Morgan, Lewis & Bockius LLP Bgc Partners Inc BGCA S-4 6200 - Security & commodity brokers, dealers, exchanges & services  
Morrison & Foerster LLP Durect Corp DRRX S-3 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
Morrison & Foerster LLP T-Mobile Us Inc TMUS S-4 4812 - Radiotelephone communications  
Northern States Financial Corp. First Midwest Bancorp Inc FMBI S-4 6021 - National commercial banks  
Oaktree Strategic Income II, Inc. Oaktree Strategic Income Ii Inc - 10-12G -  
Ophthotech Corporation Ophthotech Corp OPHT S-3 2834 - Pharmaceutical preparations
  • Cowen and Company, LLC
Proskauer Rose LLP Altimmune Inc ALT S-1 2834 - Pharmaceutical preparations
  • Roth Capital Partners, LLC
Quick Law Group PC Issuer Direct Corp ISDR S-3 2750 - Commercial printing  
Reed Smith LLP Etfs Platinum Trust PPLT S-3 6722 - Management investment offices, open-end  
Reed Smith LLP Jaguar Health Inc JAGX S-3 2834 - Pharmaceutical preparations  
Ropes & Gray LLP Elanco Animal Health Inc - S-1 2834 - Pharmaceutical preparations
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Morgan Stanley & Co. LLC
Sangra Moller LLP Mercer International Inc MERC S-4 2611 - Pulp mills  
Shentang International, Inc. Shentang International Inc SHNL 10-12G 1040 - Gold & silver ores  
Sichenzia Ross Ference Kesner LLP Solis Tek Inc CINJ S-1 7380 - Services - miscellaneous business services  
Sienna Biopharmaceuticals, Inc. Sienna Biopharmaceuticals Inc SNNA S-3 2834 - Pharmaceutical preparations
  • Cowen and Company, LLC
Simpson Thacher & Bartlett LLP Blackstone / Gso Secured Lending Fund - 10-12G -  
Sprint Corporation T-Mobile Us Inc TMUS S-4 4812 - Radiotelephone communications  
Sullivan & Cromwell LLP Oaktree Strategic Income Ii Inc - 10-12G -  
Thompson Hine LLP Usca All Terrain Fund - N-2 -  
Trowbridge Sidoti LLP Elegance Spirits Inc - 1-A 2082 - Malt beverages  
Trutankless, Inc. Trutankless Inc BOLC S-1 3639 - Household appliances, not elsewhere classified  
U.S. Bancorp Fund Services, LLC Usca All Terrain Fund - N-2 -  
V Financial Group, LLC Gm Capital Inc - S-1 -  
Vortex Brands Co. Vortex Brands Co ZLUE 1-A 1311 - Crude petroleum & natural gas  
Vorys, Sater, Seymour and Pease LLP Peoples Bancorp Inc PEBO S-3 6021 - National commercial banks  
Wachtell, Lipton, Rosen & Katz T-Mobile Us Inc TMUS S-4 4812 - Radiotelephone communications  
Weil, Gotshal & Manges LLP Elanco Animal Health Inc - S-1 2834 - Pharmaceutical preparations
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Morgan Stanley & Co. LLC
Wilmer Cutler Pickering Hale and Dorr LLP Ophthotech Corp OPHT S-3 2834 - Pharmaceutical preparations
  • Cowen and Company, LLC
Wilson Sonsini Goodrich & Rosati PC Virnetx Holding Corp VHC S-3 6794 - Patent owners & lessors  
Winston & Strawn LLP Plymouth Industrial Reit Inc PLYM S-3 6798 - Real estate investment trusts  

 

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