Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: March 27 - 31


 

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 CHECKPOINT THERAPEUTICS INC w/ Alston & Bird LLP, LAKELAND INDUSTRIES INC w/ Moomjian, Waite & Coleman, LLP, ICAHN ENTERPRISES FINANCE CORP w/ Proskauer Rose 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 more information on Toppan Vite's Acquisition of Vintage, click here.

 
   
     
 
Account / Firm Company Name Symbol Form Industry
Nossiff Law Firm LLP NORTHSIGHT CAPITAL INC NCAP S-1 Beverages
InCorp Services, Inc. ARION GROUP CORP - S-1 -
Baker, Donelson, Bearman, Caldwell & Berkowitz, PC OLD LINE BANCSHARES INC OLBK S-4 State commercial banks
DCB Bancshares, Inc. OLD LINE BANCSHARES INC OLBK S-4 State commercial banks
Gordon Feinblatt LLC OLD LINE BANCSHARES INC OLBK S-4 State commercial banks
Business Filings Inc. CHEE CORP - S-1 -
Trowbridge Sidoti BRIDGEWELL PREFERRED INCOME FUND LP - 1-A -
Ellenoff Grossman & Schole LLP FORUM MERGER CORP - S-1 Blank check
Graubard Miller FORUM MERGER CORP - S-1 Blank check
Matthew McMurdo, Esq. BLUEHIVE INC - S-1 -
Mitchell Silberberg & Knupp, LLP MAX-1 ACQUISITION CORP - 10-12G -
Cooley LLP ENPHASE ENERGY INC ENPH S-3 Semiconductors & related devices
Haynes and Boone, LLP ENERGY RESOURCES 12 L.P - S-1 Crude petroleum & natural gas
Schiff Hardin LLP FIRST MID ILLINOIS BANCSHARES INC FMBH S-3 State commercial banks
Nevada Discount Registered Agent, Inc. FOLKUP DEVELOPMENT INC - S-1 -
V Financial Group., LLC AUSTRALIAN FORMULATED CORP - S-1 -
SRK Kronengold Law Offices CANNABICS PHARMACEUTICALS INC AMCM S-3 Metal mining
Dorsey & Whitney LLP HEARTLAND FINANCIAL USA INC HTLF S-4 State commercial banks
Shapiro Bieging Barber Otteson LLP HEARTLAND FINANCIAL USA INC HTLF S-4 State commercial banks
Davis Polk & Wardwell LLP WIDEOPENWEST INC - S-1 -
Ellenoff Grossman & Schole LLP SUNSHINE HEART INC SSH S-1 Electromedical & electrotherapeutic apparatus
Honigman Miller Schwartz and Cohn LLP SUNSHINE HEART INC SSH S-1 Electromedical & electrotherapeutic apparatus
Kirkland & Ellis LLP WIDEOPENWEST INC - S-1 -
Vinson & Elkins L.L.P. DASEKE INC HCAC S-3 Blank check
Latham & Watkins LLP T2 BIOSYSTEMS INC TTOO S-3 Surgical & medical instruments & apparatus
Morris, Manning & Martin, LLP FLAT ROCK CAPITAL CORP - 10-12G -
T2 Biosystems, Inc. T2 BIOSYSTEMS INC TTOO S-3 Surgical & medical instruments & apparatus
Faegre Baker Daniels LLP NORTHERN OIL & GAS INC NOG S-4 Crude petroleum & natural gas
Eversheds Sutherland LLP UNITED STATES 12 MONTH OIL FUND LP USL S-3 Commodity contracts brokers & dealers
Eversheds Sutherland LLP UNITED STATES BRENT OIL FUND LIMITED PARTNERSHIP BNO S-3 Management investment offices, open-end
Eversheds Sutherland LLP UNITED STATES COMMODITY INDEX FUNDS TRUST USCI S-1 Commodity contracts brokers & dealers
Eversheds Sutherland LLP UNITED STATES COMMODITY INDEX FUNDS TRUST USCI S-1 Commodity contracts brokers & dealers
Eversheds Sutherland LLP UNITED STATES GASOLINE FUND LP UGA S-1 Commodity contracts brokers & dealers
Davis, Graham & Stubbs LLP ROYAL HAWAIIAN ORCHARDS LIMITED PARTNERSHIP NNUTU S-1 Agricultural production-crops
Miller Nash Graham & Dunn LLP BANK OF COMMERCE HOLDINGS BOCH S-3 State commercial banks
BlackRock Capital Investment Corp. BLACKROCK CAPITAL INVESTMENT CORP BKCC N-2 Investment offices
Bryan Cave LLP A.S.V. LLC - S-1 Construction machinery & equipment
Cahill Gordon & Reindel LLP DONNELLEY FINANCIAL SOLUTIONS INC DFIN S-1 Services - miscellaneous business services
Clifford Chance US LLP AETOS CAPITAL DISTRESSED INVESTMENT STRATEGIES FUND LLC - N-2 -
Clifford Chance US LLP AETOS CAPITAL LONG/SHORT STRATEGIES FUND LLC - N-2 -
Clifford Chance US LLP AETOS CAPITAL MULTI-STRATEGY ARBITRAGE FUND LLC - N-2 -
Cooley LLP EVERBRIDGE INC EVBG S-1 Services - prepackaged software
Dechert LLP PENNANTPARK INVESTMENT CORP PNNT N-2 Investors, not elsewhere classified
Dorsey & Whitney LLP A.S.V. LLC - S-1 Construction machinery & equipment
Everbridge, Inc. EVERBRIDGE INC EVBG S-1 Services - prepackaged software
Goodwin Procter LLP EVERBRIDGE INC EVBG S-1 Services - prepackaged software
Ropes & Gray LLP ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND - N-2 -
Ropes & Gray LLP STONE RIDGE TRUST V - N-2 -
Skadden, Arps, Slate, Meagher & Flom LLP BLACKROCK CAPITAL INVESTMENT CORP BKCC N-2 Investment offices
Sullivan & Cromwell LLP DONNELLEY FINANCIAL SOLUTIONS INC DFIN S-1 Services - miscellaneous business services
Vorys, Sater, Seymour and Pease LLP CENTRAL FEDERAL CORP CFBK S-3 Savings institutions, federally chartered
Manatt, Phelps & Phillips, LLP CNOTE GROUP INC - 1-A Loan brokers
Legal & Compliance, LLC ONLY NATURAL WELLNESS CORP - S-1 -
Latham & Watkins LLP SPIRIT REALTY CAPITAL INC SRC S-4 Operators of nonresidential buildings
Holland & Knight LLP STEWARDSHIP FINANCIAL CORP SSFN S-1 State commercial banks
McCarter & English, LLP STEWARDSHIP FINANCIAL CORP SSFN S-1 State commercial banks
Alston & Bird LLP CHECKPOINT THERAPEUTICS INC - S-1 Pharmaceutical preparations
Moomjian, Waite & Coleman, LLP LAKELAND INDUSTRIES INC LAKE S-3 Orthopedic, prosthetic & surgical appliances & supplies
Proskauer Rose LLP ICAHN ENTERPRISES FINANCE CORP IEP S-4 Motor vehicle parts & accessories
Dechert LLP TIAA REAL ESTATE ACCOUNT 15557Z S-1 Real estate
 
     
  For information on all of our capital markets, compliance and investor relations solutions, please contact us here or at 212-596-7747

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Toppan Vintage

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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