Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: March 5 - 9

There were 33 transactions filed with the SEC last week.

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Account / Firm Company Name Symbol Form Type Industry Underwriters
Aspen Forest Acquisition Corp. Aspen Forest Acquisition Corp - 10-12G 6770 - Blank check  
Bevilacqua PLLC 20/20 Genesystems Inc - 1-A -  
Buchalter, PC Op Bancorp - S-1 6022 - State commercial banks
  • Keefe, Bruyette & Woods, Inc.
  • D.A. Davidson & Co.
Cooley LLP Rigel Pharmaceuticals Inc RIGL S-3 2834 - Pharmaceutical preparations  
Cooley LLP Xoma Corp XOMA S-3 2834 - Pharmaceutical preparations  
Dearborn Capital Management, L.L.C. Grant Park Futures Fund Limited Partnership - S-1 6221 - Commodity contracts brokers & dealers  
Dowling Law Office Ultimate Holdings Corp - 1-A -  
EHCo LLC Ehco Llc - 1-A -  
Ellenoff Grossman & Schole LLP Cellular Biomedicine Group Inc CBMG S-3 2836 - Biological products, except diagnostic substances  
Entrex Market Index, LLC Entrex Market Index Llc - 1-A -  
Eversheds Sutherland LLP Main Street Capital Corp MAIN N-2 6199 - Finance services  
Fried, Frank, Harris, Shriver & Jacobson LLP Emerald Expositions Events Inc EEX S-1 7389 - Services - business services, not elsewhere classified
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc.
  • Goldman Sachs & Co. LLC / Citigroup Global Markets Inc. / Credit Suisse Securities LLC
  • Deutsche Bank Securities Inc. / RBC Capital Markets, LLC / Robert W. Baird & Co. Inc.
Goodwin Procter LLP Anthera Pharmaceuticals Inc ANTH S-3 2834 - Pharmaceutical preparations  
Goodwin Procter LLP G1 Therapeutics Inc GTHX S-1 2834 - Pharmaceutical preparations
  • J.P. Morgan Securities LLC
  • Cowen and Company, LLC / Needham & Company, LLC
  • Wedbush Securities Inc. / BTIG, LLC
Haynes and Boone, LLP Inspiremd Inc NSPR S-3 3841 - Surgical & medical instruments & apparatus  
John E. Lux, Esq. Gd Entertainment & Technology Inc - 1-A -  
Jones Day Nacco Industries Inc NC S-4 3639 - Household appliances, not elsewhere classified  
Kaplan, Voekler Cunningham & Frank, PLC Chosen Llc - 1-A -  
Latham & Watkins LLP Atlas Holdings Inc - S-1 2834 - Pharmaceutical preparations  
Latham & Watkins LLP Emerald Expositions Events Inc EEX S-1 7389 - Services - business services, not elsewhere classified
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc.
  • Goldman Sachs & Co. LLC / Citigroup Global Markets Inc. / Credit Suisse Securities LLC
  • Deutsche Bank Securities Inc. / RBC Capital Markets, LLC / Robert W. Baird & Co. Inc.
Lowenstein Sandler LLP Cytodyn Inc CYDY S-3 2834 - Pharmaceutical preparations  
Main Street Capital Corp. Main Street Capital Corp MAIN N-2 6199 - Finance services  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. G1 Therapeutics Inc GTHX S-1 2834 - Pharmaceutical preparations
  • J.P. Morgan Securities LLC
  • Cowen and Company, LLC / Needham & Company, LLC
  • Wedbush Securities Inc. / BTIG, LLC
Morgan, Lewis & Bockius LLP Nuveen Amt-Free Municipal Value Fund NUV N-2 6722 - Management investment offices, open-end  
Morrison & Foerster LLP Emerald Health Pharmaceuticals Inc - 1-A 2834 - Pharmaceutical preparations  
Northwest Natural Holding Company Northwest Natural Holding Co - S-4 -  
OP Bancorp Op Bancorp - S-1 6022 - State commercial banks
  • Keefe, Bruyette & Woods, Inc.
  • D.A. Davidson & Co.
Paul, Weiss, Rifkind, Wharton & Garrison LLP Cdk Global Inc CDK S-4 7389 - Services - business services, not elsewhere classified  
Proskauer Rose LLP Ares Capital Corp ARCC N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices  
Sheppard, Mullin, Richter & Hampton LLP Op Bancorp - S-1 6022 - State commercial banks
  • Keefe, Bruyette & Woods, Inc.
  • D.A. Davidson & Co.
Simpson Thacher & Bartlett LLP Vrio Corp - S-1 4899 - Communications services, not elsewhere classified
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Citigroup Global Markets Inc. / Morgan Stanley & Co. LLC
Skadden, Arps, Slate, Meagher & Flom LLP Becton Dickinson & Co BDX S-4 3841 - Surgical & medical instruments & apparatus  
Spirit MTA REIT Spirit Mta Reit - 10-12B 6798 - Real estate investment trusts  
Squire Patton Boggs LLP Park National Corp PRK S-4 6021 - National commercial banks  
Sullivan & Cromwell LLP Vrio Corp - S-1 4899 - Communications services, not elsewhere classified
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Citigroup Global Markets Inc. / Morgan Stanley & Co. LLC
The Praetorian Group Praetorian Group Inc - S-1 -  
Vedder Price P.C. Grant Park Futures Fund Limited Partnership - S-1 6221 - Commodity contracts brokers & dealers  
Wilmer Cutler Pickering Hale and Dorr LLP Jounce Therapeutics Inc JNCE S-3 2836 - Biological products, except diagnostic substances  
Wilson Sonsini Goodrich & Rosati, PC Global Indemnity Ltd GBLI S-3 6331 - Fire, marine & casualty insurance  
Wyrick Robbins Yates & Ponton LLP Cormedix Inc CRMD S-3 2834 - Pharmaceutical preparations
  • B. Riley FBR, Inc.
Wyrick Robbins Yates & Ponton LLP Park National Corp PRK S-4 6021 - National commercial banks  

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