Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: March 26 - 30

There were 51 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Whiskey Holdco Inc w/ Cravath, Swaine & Moore LLP, Whiskey Holdco Inc w/ KapStone Paper and Packaging Corp., Moneyonmobile Inc w/ Sichenzia Ross Ference Kesner LLP, Whiskey Holdco Inc w/ Sidley Austin LLP, Whiskey Holdco Inc w/ WestRock Company.

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
Adamson Brothers, Corp. Global Bridge Capital Inc - S-1 8742 - Services - management consulting services  
Akerman LLP Lazydays Holdings Inc LAZY S-1 5500 - Retail - auto dealers & gasoline stations  
Arcadia Biosciences, Inc. Arcadia Biosciences Inc RKDA S-3 2879 - Pesticides & agricultural chemicals, not elsewhere classified  
Atossa Genetics Inc. Atossa Genetics Inc ATOS S-1 3841 - Surgical & medical instruments & apparatus  
Baker & McKenzie LLP Radisys Corp RSYS S-3 3577 - Computer peripheral equipment, not elsewhere classified  
Baker Botts L.L.P. Tallgrass Energy Gp Lp TEGP S-4 4922 - Natural gas transmission  
Ballard Spahr LLP Transenterix Inc TRXC S-3 6770 - Blank check  
Bracewell LLP Tallgrass Energy Gp Lp TEGP S-4 4922 - Natural gas transmission  
Business Filings Inc. Minaro Corp - S-1 -  
Ceridian HCM Holding Inc. Ceridian Hcm Holding Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Credit Suisse Securities LLC / Deutsche Bank Securities Inc.
  • Barclays Capital Inc. / Citigroup Global Markets Inc. / Jefferies LLC / CIBC World Markets Corp. / Wells Fargo Securities, LLC
  • Robert W. Baird & Co. Inc. / Canaccord Genuity LLC / Piper Jaffray & Co. / William Blair & Company, L.L.C. / MUFG Securities Americas Inc.
Cleary Gottlieb Steen & Hamilton LLP Tpg Specialty Lending Inc TSLX N-2 6199 - Finance services  
Cooley LLP Aslan Pharmaceuticals Ltd - F-1 2834 - Pharmaceutical preparations
  • Leerink Partners LLC
  • Piper Jaffray & Co. / BTIG, LLC
  • H.C. Wainwright & Co., LLC / CLSA Ltd.
Cooley LLP Docusign Inc - S-1 7372 - Services - prepackaged software
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • Citigroup Global Markets Inc. / Merrill Lynch, Pierce, Fenner & Smith Inc. / Deutsche Bank Securities Inc.
  • JMP Securities LLC / Piper Jaffray & Co. / William Blair & Company, L.L.C.
Cooley LLP Senseonics Holdings Inc SENS S-3 3823 - Industrial instruments for measurement, display, control
  • Cowen and Company, LLC
Cravath, Swaine & Moore LLP Whiskey Holdco Inc - S-4 -  
Davis Polk & Wardwell LLP Aslan Pharmaceuticals Ltd - F-1 2834 - Pharmaceutical preparations
  • Leerink Partners LLC
  • Piper Jaffray & Co. / BTIG, LLC
  • H.C. Wainwright & Co., LLC / CLSA Ltd.
Davis Polk & Wardwell LLP Auris Medical Holding Ag EARS F-1 2834 - Pharmaceutical preparations  
Davis Polk & Wardwell LLP Docusign Inc - S-1 7372 - Services - prepackaged software
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • Citigroup Global Markets Inc. / Merrill Lynch, Pierce, Fenner & Smith Inc. / Deutsche Bank Securities Inc.
  • JMP Securities LLC / Piper Jaffray & Co. / William Blair & Company, L.L.C.
Dechert LLP Guggenheim Credit Income Fund 2019 - N-2 -  
DNP Select Income Fund Inc. Dnp Select Income Fund Inc DNP N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices  
DocuSign, Inc. Docusign Inc - S-1 7372 - Services - prepackaged software
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • Citigroup Global Markets Inc. / Merrill Lynch, Pierce, Fenner & Smith Inc. / Deutsche Bank Securities Inc.
  • JMP Securities LLC / Piper Jaffray & Co. / William Blair & Company, L.L.C.
Dover Corp. Apergy Corp - 10-12B 3530 - Construct, mining & materials handling machinery & equipment  
Drinker Biddle & Reath LLP Cliffwater Direct Lending Fund - N-2 -
  • Foreside Fund Services, LLC
Ellenoff Grossman & Schole LLP Atossa Genetics Inc ATOS S-1 3841 - Surgical & medical instruments & apparatus  
Ellenoff Grossman & Schole LLP Valeritas Holdings Inc VLRX S-1 3841 - Surgical & medical instruments & apparatus
  • Oppenheimer & Co. Inc.
  • National Securities Corp.
Entrex Market Index Entrex Market Index Llc - 1-A 6199 - Finance services  
Eversheds Sutherland LLP Cm Finance Inc CMFN N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices
  • Stifel Venture Corp.
  • Keefe, Bruyette & Woods, Inc.
Eversheds Sutherland LLP Triplepoint Venture Growth Bdc Corp TPVG N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices  
Fenimore, Kay, Harrison & Ford, LLP Guaranty Bancshares Inc GNTY S-4 6712 - Offices of bank holding companies  
Fenwick & West LLP Smartsheet Inc - S-1 7374 - Services - computer processing & data preparation
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • Jefferies LLC / RBC Capital Markets, LLC
  • Canaccord Genuity LLC / William Blair & Company, L.L.C. / SunTrust Robinson Humphrey, Inc.
Gibson, Dunn & Crutcher LLP Atossa Genetics Inc ATOS S-1 3841 - Surgical & medical instruments & apparatus  
Gibson, Dunn & Crutcher LLP Rxi Pharmaceuticals Corp RXII S-3 2834 - Pharmaceutical preparations  
Gracin & Marlow, LLP Heat Biologics Inc HTBX S-1 2834 - Pharmaceutical preparations
  • A.G.P.
  • CIM Securities, LLC
Hinckley, Allen & Snyder LLP Security Devices International Inc SEF S-1 3990 - Miscellaneous manufacturing industries  
Hunter Taubman Fischer & Li LLC Clps Inc - F-1 7372 - Services - prepackaged software
  • The Benchmark Company, LLC
  • Cuttone & Co., LLC
Hunton & Williams, LLP Guaranty Bancshares Inc GNTY S-4 6712 - Offices of bank holding companies  
KapStone Paper and Packaging Corp. Whiskey Holdco Inc - S-4 -  
Latham & Watkins LLP Ait Therapeutics Inc - S-1 7372 - Services - prepackaged software  
Latham & Watkins LLP Ceridian Hcm Holding Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Credit Suisse Securities LLC / Deutsche Bank Securities Inc.
  • Barclays Capital Inc. / Citigroup Global Markets Inc. / Jefferies LLC / CIBC World Markets Corp. / Wells Fargo Securities, LLC
  • Robert W. Baird & Co. Inc. / Canaccord Genuity LLC / Piper Jaffray & Co. / William Blair & Company, L.L.C. / MUFG Securities Americas Inc.
Ledgewood PC Fintech Acquisition Corp. Ii FNTE S-4 6770 - Blank check
  • Cantor Fitzgerald & Co.
Mayer Brown LLP Dnp Select Income Fund Inc DNP N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices  
McGuireWoods LLP Bank Of America Corp BAC S-4 6021 - National commercial banks  
Mitchell Silberberg & Knupp LLP Inpixon INPX S-3 7371 - Services - computer programming services  
Mitchell, Williams, Selig, Gates & Woodyard, PLLC Pam Transportation Services Inc PTSI S-3 4213 - Trucking, except local  
Morgan, Lewis & Bockius LLP Nuveen S&P 500 Dynamic Overwrite Fund SPXX N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices
  • Nuveen Securities, LLC
Morgan, Lewis & Bockius LLP Valeritas Holdings Inc VLRX S-1 3841 - Surgical & medical instruments & apparatus
  • Oppenheimer & Co. Inc.
  • National Securities Corp.
Nationwide Life Insurance Company Nationwide Life Insurance Co - S-1 6311 - Life insurance  
Norton Rose Fulbright LLP Eclipse Resources Corp ECR S-3 1311 - Crude petroleum & natural gas  
Olshan Frome Wolosky LLP Gamco Investors Inc. Et Al GBL S-3 6211 - Security brokers, dealers & flotation companies
  • G.distributors, LLC
O'Melveny & Myers LLP Nlight Inc - S-1 3674 - Semiconductors & related devices
  • Stifel, Nicolaus & Company, Inc.
  • Raymond James & Associates / Needham & Company
  • Canaccord Genuity LLC / D.A. Davidson & Co.
Parsons/Burnett/Bjordahl/Hume, LLP Best Gofer Inc - S-1 -  
Schiff Hardin LLP Clps Inc - F-1 7372 - Services - prepackaged software
  • The Benchmark Company, LLC
  • Cuttone & Co., LLC
Sheppard, Mullin, Richter & Hampton LLP Aditx Therapeutics Inc - 1-A -  
Sichenzia Ross Ference Kesner LLP Moneyonmobile Inc CLPI S-1 7389 - Services - business services, not elsewhere classified  
Sidley Austin LLP Whiskey Holdco Inc - S-4 -  
Simpson Thacher & Bartlett LLP Apergy Corp - 10-12B 3530 - Construct, mining & materials handling machinery & equipment  
Smartsheet Inc. Smartsheet Inc - S-1 7374 - Services - computer processing & data preparation
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • Jefferies LLC / RBC Capital Markets, LLC
  • Canaccord Genuity LLC / William Blair & Company, L.L.C. / SunTrust Robinson Humphrey, Inc.
Snell & Wilmer L.L.P. Meritage Homes Corp MTH S-4 1531 - Operative builders  
The Doney Law Firm Vilacto Bio Inc ZFLO S-1 7372 - Services - prepackaged software  
Vedder Price P.C. Teucrium Commodity Trust CORN S-1 6221 - Commodity contracts brokers & dealers  
Vedder Price P.C. Teucrium Commodity Trust CORN S-1 6221 - Commodity contracts brokers & dealers  
Vedder Price P.C. Teucrium Commodity Trust CORN S-1 6221 - Commodity contracts brokers & dealers  
Verizon Communications Inc. Verizon Communications Inc VZA S-4 4813 - Telephone communications, except radiotelephone  
Vinson & Elkins L.L.P. Alliance Resource Partners Lp ARLP S-4 1221 - Bituminous coal & lignite surface mining  
Waller Lansden Dortch & Davis, LLP American Premium Water Corp HIPHD 1-A 2834 - Pharmaceutical preparations  
Weil, Gotshal & Manges LLP Ceridian Hcm Holding Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Credit Suisse Securities LLC / Deutsche Bank Securities Inc.
  • Barclays Capital Inc. / Citigroup Global Markets Inc. / Jefferies LLC / CIBC World Markets Corp. / Wells Fargo Securities, LLC
  • Robert W. Baird & Co. Inc. / Canaccord Genuity LLC / Piper Jaffray & Co. / William Blair & Company, L.L.C. / MUFG Securities Americas Inc.
Weintraub Tobin Chediak Coleman Grodin Law Corp. Arcadia Biosciences Inc RKDA S-3 2879 - Pesticides & agricultural chemicals, not elsewhere classified  
WestRock Company Whiskey Holdco Inc - S-4 -  
White Smile Global, Inc. Williamsville Sears Management Inc WSML 10-12G 2452 - Prefabricated wood buildings & components  
Wilson Sonsini Goodrich & Rosati PC Nlight Inc - S-1 3674 - Semiconductors & related devices
  • Stifel, Nicolaus & Company, Inc.
  • Raymond James & Associates / Needham & Company
  • Canaccord Genuity LLC / D.A. Davidson & Co.
Wilson Sonsini Goodrich & Rosati, PC Smartsheet Inc - S-1 7374 - Services - computer processing & data preparation
  • Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC
  • Jefferies LLC / RBC Capital Markets, LLC
  • Canaccord Genuity LLC / William Blair & Company, L.L.C. / SunTrust Robinson Humphrey, Inc.
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP Heat Biologics Inc HTBX S-1 2834 - Pharmaceutical preparations
  • A.G.P.
  • CIM Securities, LLC

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