Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: March 12 - 16

There were 50 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Vivaldi Opportunities Fund w/ Drinker Biddle & Reath LLP, Innovate Biopharmaceuticals Inc w/ Wilson Sonsini Goodrich & Rosati, PC.

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 Green Brick Partners Inc GRBK S-3 1531 - Operative builders  
Allen & Overy LLP Willscot Corp WSC S-3 6770 - Blank check  
Andrews Kurth Kenyon LLP Sanchez Midstream Partners Lp SNMP S-3 1311 - Crude petroleum & natural gas  
AXA Equitable Life Insurance Company Axa Equitable Life Insurance Co - S-3 6411 - Insurance agents, brokers & service
  • AXA Advisors, LLC
  • AXA Distributors, LLC
AXA Equitable Life Insurance Company Axa Equitable Life Insurance Co - S-3 6411 - Insurance agents, brokers & service
  • AXA Advisors, LLC
  • AXA Distributors, LLC
AXA Equitable Life Insurance Company Axa Equitable Life Insurance Co - S-3 6411 - Insurance agents, brokers & service
  • AXA Advisors, LLC
  • AXA Distributors, LLC
AXA Equitable Life Insurance Company Axa Equitable Life Insurance Co - S-3 6411 - Insurance agents, brokers & service
  • AXA Advisors, LLC
  • AXA Distributors, LLC
AXA Equitable Life Insurance Company Mony Life Insurance Co Of America - S-1 6311 - Life insurance  
Benaiah Holdings Group, Inc. Benaiah Holdings Group Inc - 10-12G 6500 - Real estate  
Cooley LLP Aquinox Pharmaceuticals Inc AQXP S-3 2834 - Pharmaceutical preparations  
Drinker Biddle & Reath LLP Vivaldi Opportunities Fund - N-2 -
  • Foreside Fund Services, LLC
EastBiz.Com, Inc. Tiburon International Trading Corp - S-1 -  
Eversheds Sutherland LLP Solar Capital Ltd SLRC N-2 6798 - Real estate investment trusts  
Evofem Biosciences, Inc. Evofem Biosciences Inc EVFM S-3 2834 - Pharmaceutical preparations  
Evoqua Water Technologies Corp. Evoqua Water Technologies Corp AQUA S-1 5078 - Wholesale - refrigeration equipment & supplies
  • J.P. Morgan Securities LLC / Credit Suisse Securities LLC / RBC Capital Markets, LLC
  • Citigroup Global Markets Inc. / Goldman Sachs & Co. LLC / Morgan Stanley & Co. LLC / Robert W. Baird & Co. Inc.
  • Cowen and Company, LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc. / Wells Fargo Securities, LLC
Fenwick & West LLP Zuora Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / Morgan Stanley & Co. LLC
  • Allen & Company LLC / Jefferies LLC
  • Canaccord Genuity LLC / Needham & Company, LLC
First Federal of Northern Michigan Bancorp, Inc. Mackinac Financial Corp MFNC S-4 6022 - State commercial banks  
ForeScout Technologies, Inc. Forescout Technologies Inc FSCT S-1 3577 - Computer peripheral equipment, not elsewhere classified
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • Citigroup Global Markets Inc. / UBS Securities LLC
  • KeyBanc Capital Markets Inc. / Stephens Inc.
Frank J. Hariton, Esq. Sauer Energy Inc SENY S-1 1381 - Drilling oil & gas wells
  • GHS Investments, LLC
Fried, Frank, Harris, Shriver & Jacobson LLP Evoqua Water Technologies Corp AQUA S-1 5078 - Wholesale - refrigeration equipment & supplies
  • J.P. Morgan Securities LLC / Credit Suisse Securities LLC / RBC Capital Markets, LLC
  • Citigroup Global Markets Inc. / Goldman Sachs & Co. LLC / Morgan Stanley & Co. LLC / Robert W. Baird & Co. Inc.
  • Cowen and Company, LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc. / Wells Fargo Securities, LLC
GAMCO Global Gold, Natural Resources & Income Trust Gabelli Global Utility & Income Trust GLU N-2 6799 - Investors, not elsewhere classified  
Gibson, Dunn & Crutcher LLP Horace Mann Educators Corp HMN S-4 6331 - Fire, marine & casualty insurance  
Gibson, Dunn & Crutcher LLP Moodys Corp MCO S-4 7320 - Services - consumer credit reporting, collecting agencies  
Goodwin Procter LLP Alzheon Inc - S-1 2834 - Pharmaceutical preparations
  • Citigroup Global Markets Inc.
  • Piper Jaffray & Co.
  • Canaccord Genuity Inc. / JMP Securities LLC
Goodwin Procter LLP Forescout Technologies Inc FSCT S-1 3577 - Computer peripheral equipment, not elsewhere classified
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • Citigroup Global Markets Inc. / UBS Securities LLC
  • KeyBanc Capital Markets Inc. / Stephens Inc.
Haynes and Boone, LLP Pulmatrix Inc PULM S-1 2834 - Pharmaceutical preparations
  • Oppenheimer & Co. Inc.
Hogan Lovells US LLP Lightbridge Corp LTBR S-3 8742 - Services - management consulting services  
Honigman Miller Schwartz and Cohn LLP Mackinac Financial Corp MFNC S-4 6022 - State commercial banks  
Hunter Taubman Fischer & Li LLC Sunburst Acquisitions V Inc - S-1 6770 - Blank check  
Hunton & Williams LLP Kansas City Power & Light Co - S-3 4911 - Electric services  
Jones Day Granite Construction Inc GVA S-4 1600 - Heavy construction other than building construction-contractors  
KHLK, LLP Hylete Inc - 1-A 2300 - Apparel & other finished products made from fabrics & similar material  
King & Spalding LLP Exterran Corporation EXTN S-4 7359 - Services - equipment rental & leasing, not elsewhere classified  
Kramer Levin Naftalis & Frankel LLP Pbf Logistics Lp PBFX S-4 4610 - Pipelines, except natural gas  
Latham & Watkins LLP Alzheon Inc - S-1 2834 - Pharmaceutical preparations
  • Citigroup Global Markets Inc.
  • Piper Jaffray & Co.
  • Canaccord Genuity Inc. / JMP Securities LLC
Latham & Watkins LLP Evoqua Water Technologies Corp AQUA S-1 5078 - Wholesale - refrigeration equipment & supplies
  • J.P. Morgan Securities LLC / Credit Suisse Securities LLC / RBC Capital Markets, LLC
  • Citigroup Global Markets Inc. / Goldman Sachs & Co. LLC / Morgan Stanley & Co. LLC / Robert W. Baird & Co. Inc.
  • Cowen and Company, LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc. / Wells Fargo Securities, LLC
Latham & Watkins LLP Granite Construction Inc GVA S-4 1600 - Heavy construction other than building construction-contractors  
Latham & Watkins LLP National Vision Holdings Inc EYE S-1 3851 - Ophthalmic goods
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Citigroup Global Markets Inc. / Goldman Sachs & Co. LLC
  • Jefferies LLC / KKR Capital Markets LLC
Layne Christensen Company Granite Construction Inc GVA S-4 1600 - Heavy construction other than building construction-contractors  
Loeb & Loeb LLP Trident Acquisitions Corp - S-1 6770 - Blank check
  • Chardan Capital Markets, LLC
Mandelbaum Salsburg One Horizon Group Inc OHGI S-3 3661 - Telephone & telegraph apparatus  
McDermott Will & Emery Trident Acquisitions Corp - S-1 6770 - Blank check
  • Chardan Capital Markets, LLC
McGuireWoods LLP Exone Company XONE S-3 3555 - Printing trades machinery & equipment  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Evofem Biosciences Inc EVFM S-3 2834 - Pharmaceutical preparations  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Pulmatrix Inc PULM S-1 2834 - Pharmaceutical preparations
  • Oppenheimer & Co. Inc.
Nabriva Therapeutics PLC Nabriva Therapeutics Plc NBRV S-3 2834 - Pharmaceutical preparations  
NantHealth, Inc. Nanthealth Inc NH S-3 7374 - Services - computer processing & data preparation  
Pillsbury Winthrop Shaw Pittman LLP Kansas City Power & Light Co - S-3 4911 - Electric services  
Reed Smith LLP Strongbridge Biopharma Plc SBBP S-3 2834 - Pharmaceutical preparations  
Reed Smith LLP Strongbridge Biopharma Plc SBBP S-3 2834 - Pharmaceutical preparations
  • JMP Securities LLC
Research Frontiers Inc. Research Frontiers Inc REFR S-3 6794 - Patent owners & lessors  
Richards, Layton & Finger, P.A. Nustar Energy L.P. NS S-4 4610 - Pipelines, except natural gas  
Shumaker, Loop & Kendrick, LLP Mackinac Financial Corp MFNC S-4 6022 - State commercial banks  
Sidley Austin LLP Nustar Energy L.P. NS S-4 4610 - Pipelines, except natural gas  
Simpson Thacher & Bartlett LLP National Vision Holdings Inc EYE S-1 3851 - Ophthalmic goods
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Citigroup Global Markets Inc. / Goldman Sachs & Co. LLC
  • Jefferies LLC / KKR Capital Markets LLC
Skadden, Arps, Slate, Meagher & Flom LLP Apollo Investment Corp AINV N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices  
Skadden, Arps, Slate, Meagher & Flom LLP Gabelli Global Utility & Income Trust GLU N-2 6799 - Investors, not elsewhere classified  
Squire Patton Boggs LLP Delhi Bank Corp DWNX 1-A 6021 - National commercial banks  
Squire Patton Boggs LLP Nuverra Environmental Solutions Inc NES S-1 1389 - Oil & gas field services, not elsewhere classified  
Urban One, Inc. Urban One Inc UONE S-3 4832 - Radio broadcasting stations  
V Financial Group, LLC Leader Hill Corp - S-1 -  
Wachtell, Lipton, Rosen & Katz Nustar Energy L.P. NS S-4 4610 - Pipelines, except natural gas  
Western Asset Mortgage Capital Corp. Western Asset Mortgage Capital Corp WMC 10-12B 6798 - Real estate investment trusts  
White and Williams LLP Derma Glisten Inc - S-1 -  
Wilmer Cutler Pickering Hale and Dorr LLP Nabriva Therapeutics Plc NBRV S-3 2834 - Pharmaceutical preparations  
Wilson Sonsini Goodrich & Rosati, P.C. Forescout Technologies Inc FSCT S-1 3577 - Computer peripheral equipment, not elsewhere classified
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • Citigroup Global Markets Inc. / UBS Securities LLC
  • KeyBanc Capital Markets Inc. / Stephens Inc.
Wilson Sonsini Goodrich & Rosati, P.C. Zuora Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / Morgan Stanley & Co. LLC
  • Allen & Company LLC / Jefferies LLC
  • Canaccord Genuity LLC / Needham & Company, LLC
Wilson Sonsini Goodrich & Rosati, PC Innovate Biopharmaceuticals Inc MSDI S-3 3572 - Computer storage devices  
Wilson Sonsini Goodrich & Rosati, PC Nanthealth Inc NH S-3 7374 - Services - computer processing & data preparation  
Winnan Corp. Winnan Corp - S-1 -  
Zuora, Inc. Zuora Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / Morgan Stanley & Co. LLC
  • Allen & Company LLC / Jefferies LLC
  • Canaccord Genuity LLC / Needham & Company, LLC

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