Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: July 3 - July 7

There were 34 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services.  

A selection of these deals include, Magnegas Corp., w/ Goodwin Procter LLP and Capricor Therapeutics Inc., w/ Paul Hastings 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.

Account / Firm Company Name Symbol Form Type Industry
Burr & Forman LLP SMARTFINANCIAL INC SMBK S-4 6021 - National commercial banks
Butler Snow LLP SMARTFINANCIAL INC SMBK S-4 6021 - National commercial banks
Capax Inc. CAPAX INC - S-1 -
Calla Grove Acquisition Corporation CALLA GROVE ACQUISITION CORP - 10-12G 6770 - Blank check
Iris Grove Acquisition Corporation IRIS GROVE ACQUISITION CORP - 10-12G 6770 - Blank check
Lily Grove Acquisition Corporation LILY GROVE ACQUISITION CORP - 10-12G 6770 - Blank check
Orchid Grove Acquisition Corporation ORCHARD GROVE ACQUISITION CORP - 10-12G 6770 - Blank check
Peony Grove Acquisition Corporation PEONY GROVE ACQUISITION CORP - 10-12G 6770 - Blank check
Rose Grove Acquisition Corporation ROSE GROVE ACQUISITION CORP - 10-12G 6770 - Blank check
Shamrock Grove Acquisition Corporation SHAMROCK GROVE ACQUISITION CORP - 10-12G 6770 - Blank check
Tulip Grove Acquisition Corporation TULIP GROVE ACQUISITION CORP - 10-12G 6770 - Blank check
Davis Polk & Wardwell LLP CAPITOL INVESTMENT CORP. IV - S-1 -
Graubard Miller CAPITOL INVESTMENT CORP. IV - S-1 -
Ballard Spahr LLP USA TECHNOLOGIES INC USAT S-1 3578 - Calculating & accounting machines, except electronic computers
Goodwin Procter LLP USA TECHNOLOGIES INC USAT S-1 3578 - Calculating & accounting machines, except electronic computers
Lurio & Associates, P.C. USA TECHNOLOGIES INC USAT S-1 3578 - Calculating & accounting machines, except electronic computers
Shutts & Bowen LLP RENNOVA HEALTH INC RNVA S-1 8734 - Services - testing laboratories
Silvestre Law Group, P.C. NEURALSTEM INC CUR S-3 2836 - Biological products, except diagnostic substances
Morgan, Lewis & Bockius LLP HOSTESS BRANDS INC TWNK S-3 6770 - Blank check
Barack Ferrazzano Kirschbaum & Nagelberg LLP FIRST BUSEY CORP BUSE S-4 6022 - State commercial banks
Cooley LLP ZEALAND PHARMA - F-1 2834 - Pharmaceutical preparations
Debevoise & Plimpton LLP SINCLAIR BROADCAST GROUP INC SBGI S-4 4833 - Television broadcasting stations
Dechert LLP ZEALAND PHARMA - F-1 2834 - Pharmaceutical preparations
Fried, Frank, Harris, Shriver & Jacobson LLP SINCLAIR BROADCAST GROUP INC SBGI S-4 4833 - Television broadcasting stations
Howard & Howard Attorneys PLLC FIRST BUSEY CORP BUSE S-4 6022 - State commercial banks
Kirkland & Ellis LLP QUINPARIO ACQUISITION CORP QPAC S-3 6770 - Blank check
Pillsbury Winthrop Shaw Pittman LLP SINCLAIR BROADCAST GROUP INC SBGI S-4 4833 - Television broadcasting stations
Sidley Austin LLP TREMONT MORTGAGE TRUST - S-11 6798 - Real estate investment trusts
Skadden, Arps, Slate, Meagher & Flom LLP TREMONT MORTGAGE TRUST - S-11 6798 - Real estate investment trusts
Tribune Media Company SINCLAIR BROADCAST GROUP INC SBGI S-4 4833 - Television broadcasting stations
Brunson Chandler & Jones, PLLC EMPEROR PAPER INDUSTRIES LTD - S-1 -
Akin Gump Strauss Hauer & Feld LLP GULFPORT ENERGY CORP GPOR S-4 1311 - Crude petroleum & natural gas
Cooley LLP CLEARSIDE BIOMEDICAL INC CLSD S-3 2834 - Pharmaceutical preparations
Cooley LLP MANNKIND CORP MNKD S-1 2834 - Pharmaceutical preparations
Davis Polk & Wardwell LLP SIENNA BIOPHARMACEUTICALS INC - S-1 2834 - Pharmaceutical preparations
Kirkland & Ellis LLP VINCE HOLDING CORP VNCE S-3 5600 - Retail - apparel & accessory stores
Latham & Watkins LLP SIENNA BIOPHARMACEUTICALS INC - S-1 2834 - Pharmaceutical preparations
MannKind Corporation MANNKIND CORP MNKD S-1 2834 - Pharmaceutical preparations
Ropes & Gray LLP PIMCO CALIFORNIA MUNICIPAL INCOME FUND PCQ N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices
Sienna Biopharmaceuticals, Inc. SIENNA BIOPHARMACEUTICALS INC - S-1 2834 - Pharmaceutical preparations
Stearns Weaver Miller Weissler Alhadeff & Sitterson, P.A. BBX CAPITAL CORP BFCF S-3 6798 - Real estate investment trusts
Graubard Miller PENSARE ACQUISITION CORP - S-1 6770 - Blank check
Greenberg Traurig, LLP PENSARE ACQUISITION CORP - S-1 6770 - Blank check
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. RITTER PHARMACEUTICALS INC RTTR S-1 2834 - Pharmaceutical preparations
Reed Smith LLP RITTER PHARMACEUTICALS INC RTTR S-1 2834 - Pharmaceutical preparations
Sichenzia Ross Ference Kesner LLP POLARITYTE INC COOL S-3 7372 - Services - prepackaged software
Goodwin Procter LLP MAGNEGAS CORP MNGA S-3 3559 - Special industry machinery, not elsewhere classified
Paul Hastings LLP CAPRICOR THERAPEUTICS INC CAPR S-3 2834 - Pharmaceutical preparations (SIC)
EastBiz.com, Inc. VIVIC CORP - S-1 -

 

We’re pleased to share some exciting news with you: Toppan Vite announced a strategic rebrand to 'Toppan Vintage,’ reflecting its recent acquisition of Vintage and its plans for future international growth and expansion to solidify our status as one of the world’s top financial printing, communications and technology companies. Visit our website to learn more: Toppan Vintage

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Toppan Vintage is a leading international financial printing, communications and technology company dedicated to delivering a hassle-free experience with the highest quality accuracy, reliability and value for your organization’s financial printing and communications needs.

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