Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: June 4 - 8

There were 54 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Brainstorm Cell Therapeutics Inc w/ BRL Law Group LLC, New Frontier Corp w/ Freshfields Bruckhaus Deringer US LLP, Stellar Biotechnologies Inc w/ Greenberg Traurig, LLP, Iconsumer Corp w/ KHLK LLP, New Frontier Corp w/ Maples and Calder, Xpresspa Group Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., A&Q Multi-Strategy Fund w/ Proskauer Rose LLP, Cpg Focused Access Fund Llc w/ Proskauer Rose LLP, New Frontier Corp w/ Winston & Strawn 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
AgeX Therapeutics, Inc. Agex Therapeutics Inc - 10-12B -  
Alston & Bird LLP Centerstate Bank Corp CSFL S-4 6021 - National commercial banks  
Andrew N. Bernstein, P.C. Mesa Laboratories Inc MLAB S-3 3823 - Industrial instruments for measurement, display, control  
Atossa Genetics Inc. Atossa Genetics Inc ATOS S-1 3841 - Surgical & medical instruments & apparatus  
Bass, Berry & Sims PLC Aac Holdings Inc AAC S-3 8093 - Services - specialty outpatient facilities, not elsewhere classified  
Bass, Berry & Sims PLC Gladstone Investment Corp GAIN N-2 6282 - Investment advice  
Bodman PLC Titan International Inc TWI S-4 3312 - Steel works, blast furnaces (including coke ovens) & rolling mills  
BRL Law Group LLC Brainstorm Cell Therapeutics Inc BCLI S-3 2836 - Biological products, except diagnostic substances  
Broad and Cassel LLP Fednat Holding Co FNHC S-3 6331 - Fire, marine & casualty insurance
  • FedNat Underwriters, Inc.
Bryan Cave Leighton Paisner LLP National Commerce Corp NCOM S-4 6021 - National commercial banks  
Charter Financial Corp. Centerstate Bank Corp CSFL S-4 6021 - National commercial banks  
Cooley LLP Optinose Inc OPTN S-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Piper Jaffray & Co. / BMO Capital Markets Corp.
  • RBC Capital Markets, LLC / Cantor Fitzgerald & Co.
Cooley LLP Tricida Inc - S-1 2834 - Pharmaceutical preparations
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Cowen and Company, LLC
Corium International, Inc. Corium International Inc CORI S-3 2834 - Pharmaceutical preparations  
Cravath, Swaine & Moore LLP Genpact Ltd G S-4 8742 - Services - management consulting services  
Davis Graham & Stubbs LLP Golden Minerals Co AUMN S-1 1041 - Gold ores
  • Lincoln Park Capital Fund, LLC
Davis Polk & Wardwell LLP Deciphera Pharmaceuticals Inc DCPH S-1 2834 - Pharmaceutical preparations
  • J.P. Morgan Securities LLC
  • Piper Jaffray & Co.
Davis Polk & Wardwell LLP Essendant Inc ESND S-4 5110 - Wholesale - paper & paper products  
Davis Polk & Wardwell LLP Rise Education Cayman Ltd REDU F-1 8200 - Services - educational services
  • Morgan Stanley & Co. International PLC
Digitaltown, Inc. Digitaltown Inc DGTW S-1 3570 - Computer & office equipment
  • Triton Funds LLC
Doida Law Group LLC Intiva Biopharma Inc KDRH S-1 5621 - Retail - women's clothing stores  
Dykema Gossett PLLC Diversified Restaurant Holdings Inc SAUC S-3 5812 - Retail - eating places  
EastBiz.com Inc. Freecook - S-1 -  
Ellenoff Grossman & Schole LLP Cornerstone Management Inc - F-1 6282 - Investment advice
  • ViewTrade Securities, Inc.
Ellenoff Grossman & Schole LLP Hl Acquisitions Corp - S-1 6770 - Blank check
  • EarlyBirdCapital, Inc.
Eversheds Sutherland LLP Oxford Lane Capital Corp OXLC N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices  
Fenwick & West LLP Corium International Inc CORI S-3 2834 - Pharmaceutical preparations  
First Interstate BancSystem, Inc. First Interstate Bancsystem Inc FIBK S-4 6022 - State commercial banks  
Foley & Lardner LLP Invesco Currencyshares Swedish Krona Trust FXS S-1 6221 - Commodity contracts brokers & dealers  
Freshfields Bruckhaus Deringer US LLP New Frontier Corp - S-1 6770 - Blank check
  • Credit Suisse Securities LLC
  • UBS Securities LLC
Genuine Parts Company Essendant Inc ESND S-4 5110 - Wholesale - paper & paper products  
Gibson, Dunn & Crutcher LLP Atossa Genetics Inc ATOS S-1 3841 - Surgical & medical instruments & apparatus  
Goodwin Procter LLP Altair Engineering Inc ALTR S-1 7372 - Services - prepackaged software
  • J.P. Morgan Securities LLC / RBC Capital Markets, LLC
  • Deutsche Bank Securities Inc. / Canaccord Genuity LLC
  • William Blair & Company, L.L.C. / Needham & Company, LLC / Berenberg Capital Markets LLC
Goodwin Procter LLP Capstone Turbine Corp CPST S-3 3510 - Engines & turbines  
Goodwin Procter LLP Deciphera Pharmaceuticals Inc DCPH S-1 2834 - Pharmaceutical preparations
  • J.P. Morgan Securities LLC
  • Piper Jaffray & Co.
Goodwin Procter LLP Prologis Inc PLD S-4 6798 - Real estate investment trusts  
Graubard Miller Hl Acquisitions Corp - S-1 6770 - Blank check
  • EarlyBirdCapital, Inc.
Greenberg Traurig, LLP Stellar Biotechnologies Inc SBOT S-1 2834 - Pharmaceutical preparations  
Hateley & Hampton Traqiq Inc - 1-A 7812 - Services - motion picture & video tape production  
Hogan Lovells US LLP Optinose Inc OPTN S-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Piper Jaffray & Co. / BMO Capital Markets Corp.
  • RBC Capital Markets, LLC / Cantor Fitzgerald & Co.
ILG, Inc. Marriott Vacations Worldwide Corp VAC S-4 6531 - Real estate agents & managers (for others)  
John E. Lux, Esq. Signature Devices Inc SDVI 1-A 7372 - Services - prepackaged software  
K&L Gates LLP Profire Energy Inc PFIE S-3 3533 - Oil & gas field machinery & equipment
  • Roth Capital Partners, LLC
  • Chardan Capital Markets LLC
  • Lake Street Capital Markets, LLC / Maxim Group LLC
Kaplan Voekler Cunningham & Frank, PLC Red Oak Capital Fund Ii Llc - 1-A -
  • Crescent Securities Group, Inc.
Keating Muething & Klekamp PLL Knowbella Helix Inc - 1-A -  
KHLK LLP Iconsumer Corp - 1-A 7200 - Services - personal services  
Kirkland & Ellis LLP Marriott Vacations Worldwide Corp VAC S-4 6531 - Real estate agents & managers (for others)  
Kirkland & Ellis LLP Rise Education Cayman Ltd REDU F-1 8200 - Services - educational services
  • Morgan Stanley & Co. International PLC
Lowenstein Sandler LLP Altair Engineering Inc ALTR S-1 7372 - Services - prepackaged software
  • J.P. Morgan Securities LLC / RBC Capital Markets, LLC
  • Deutsche Bank Securities Inc. / Canaccord Genuity LLC
  • William Blair & Company, L.L.C. / Needham & Company, LLC / Berenberg Capital Markets LLC
Lowenstein Sandler LLP Catabasis Pharmaceuticals Inc CATB S-1 2834 - Pharmaceutical preparations
  • Oppenheimer & Co. Inc.
Luse Gorman, PC First Interstate Bancsystem Inc FIBK S-4 6022 - State commercial banks  
Maples and Calder Hl Acquisitions Corp - S-1 6770 - Blank check
  • EarlyBirdCapital, Inc.
Maples and Calder New Frontier Corp - S-1 6770 - Blank check
  • Credit Suisse Securities LLC
  • UBS Securities LLC
Mayer Brown LLP Caesars Entertainment Corp CZR S-4 7990 - Services - miscellaneous amusement & recreation  
Mayer Brown LLP Prologis Inc PLD S-4 6798 - Real estate investment trusts  
Maynard, Cooper & Gale, P.C. National Commerce Corp NCOM S-4 6021 - National commercial banks  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Xpresspa Group Inc XSPA S-3 4899 - Communications services, not elsewhere classified  
Morgan E. Petitti, Esq. Cw Petroleum Corp - 1-A -
  • Growth Fountain
Morgan, Lewis & Bockius LLP Mei Pharma Inc MEIP S-3 2834 - Pharmaceutical preparations  
Morgan, Lewis & Bockius, LLP Nuveen California Amt-Free Quality Municipal Income Fund NKX N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices
  • Nuveen Securities, LLC
Nelson Mullins Riley & Scarborough LLP Centerstate Bank Corp CSFL S-4 6021 - National commercial banks  
Norton Rose Fulbright US LLP Equity Bancshares Inc EQBK S-3 6022 - State commercial banks  
Olshan Frome Wolosky LLP Remark Holdings Inc MARK S-3 4899 - Communications services, not elsewhere classified  
OptiNose, Inc. Optinose Inc OPTN S-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Piper Jaffray & Co. / BMO Capital Markets Corp.
  • RBC Capital Markets, LLC / Cantor Fitzgerald & Co.
Paul, Weiss, Rifkind, Wharton & Garrison LLP Marriott Vacations Worldwide Corp VAC S-4 6531 - Real estate agents & managers (for others)  
Proskauer Rose LLP A&Q Multi-Strategy Fund - N-2 -
  • A&Q Multi-Strategy Fund
Proskauer Rose LLP Cpg Focused Access Fund Llc - N-2 -  
Retail Value Inc. Retail Value Inc - 10-12B 6500 - Real estate  
Rhino SpinCo, Inc. Rhino Spinco Inc - 10-12G -  
Sidley Austin LLP Cornerstone Management Inc - F-1 6282 - Investment advice
  • ViewTrade Securities, Inc.
Sidley Austin LLP Tricida Inc - S-1 2834 - Pharmaceutical preparations
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Cowen and Company, LLC
Skadden, Arps, Slate, Meagher & Flom LLP Cushing Mlp & Infrastructure Total Return Fund SRV N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices  
Skadden, Arps, Slate, Meagher & Flom LLP Essendant Inc ESND S-4 5110 - Wholesale - paper & paper products  
Stoel Rives LLP Profire Energy Inc PFIE S-3 3533 - Oil & gas field machinery & equipment
  • Roth Capital Partners, LLC
  • Chardan Capital Markets LLC
  • Lake Street Capital Markets, LLC / Maxim Group LLC
Trowbridge Sidoti Insitu Biologics Inc - 1-A 2834 - Pharmaceutical preparations  
Vedder Price P.C. Graniteshares Gold Trust - S-1 6799 - Investors, not elsewhere classified  
WilmerHale Catabasis Pharmaceuticals Inc CATB S-1 2834 - Pharmaceutical preparations
  • Oppenheimer & Co. Inc.
Winston & Strawn LLP New Frontier Corp - S-1 6770 - Blank check
  • Credit Suisse Securities LLC
  • UBS Securities LLC
Witherspoon Kelley First Interstate Bancsystem Inc FIBK S-4 6022 - State commercial banks  

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