Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: May 7 - 11

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 Jrsis Health Care Corp w/ Eilers Law Group, PA, Synthetic Biologics Inc w/ Gracin & Marlow, LLP, Building Bits Properties I Llc w/ KHLK LLP, Abeona Therapeutics Inc w/ Morgan, Lewis & Bockius 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
Altra Industrial Motion Corp. Stevens Holding Company Inc - S-4 -  
Avalara, Inc. Avalara Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / JMP Securities LLC
  • KeyBanc Capital Markets Inc. / Stifel, Nicolaus & Company, Inc.
Ballard Spahr LLP Usa Technologies Inc USAT S-1 3578 - Calculating & accounting machines, except electronic computers
  • William Blair & Company, L.L.C.
Blank Rome LLP Cornerstone Strategic Value Fund Inc CLM N-2 6282 - Investment advice  
Blank Rome LLP Cornerstone Total Return Fund Inc CRF N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices  
Blank Rome LLP Intricon Corp IIN S-3 3670 - Electronic components & accessories  
Breyer & Associates PC First Financial Northwest Inc FFNW S-3 6036 - Savings institutions, not federally chartered  
CirTran Corp. Cirtran Corp CIRC 10-12G 3672 - Printed circuit boards  
Cooley LLP Autolus Therapeutics Ltd - F-1 2836 - Biological products, except diagnostic substances
  • Goldman Sachs & Co. LLC
  • Jefferies LLC
  • Wells Fargo Securities, LLC / William Blair & Company, L.L.C.
Cooley LLP Avalara Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / JMP Securities LLC
  • KeyBanc Capital Markets Inc. / Stifel, Nicolaus & Company, Inc.
Cooley LLP Sellas Life Sciences Group Inc SLS S-3 2834 - Pharmaceutical preparations  
Cooley LLP Tocagen Inc TOCA S-3 2834 - Pharmaceutical preparations  
Cooley LLP Tracon Pharmaceuticals Inc TCON S-3 2836 - Biological products, except diagnostic substances  
Cravath, Swaine & Moore LLP Altra Industrial Motion Corp AIMC S-4 3569 - General industrial machinery & equipment, not elsewhere classified
  • Fortive Corporation
Cravath, Swaine & Moore LLP Stevens Holding Company Inc - S-4 -  
Davis Polk & Wardwell LLP Auris Medical Holding Ag EARS F-1 2834 - Pharmaceutical preparations
  • LPC Capital Fund, LLC
Davis Polk & Wardwell LLP Viewray Inc MRXC S-3 5900 - Retail - miscellaneous retail
  • B. Riley FBR, Inc.
Debevoise & Plimpton LLP The Providence Service Corp PRSC S-1 8300 - Services - social services  
Deep Green Waste & Recycling, Inc. Deep Green Waste & Recycling Inc - 1-A 2320 - Men's & boys' furnishings, work clothing & allied garments  
Eilers Law Group, PA Jrsis Health Care Corp - S-1 8060 - Services - hospitals  
Eilers Law Group, PA Worldflix Inc WRFX 1-A -  
Fenwick & West LLP Achieve Life Sciences Inc ACHV S-1 2835 - In vitro & in vivo diagnostic substances
  • Ladenburg Thalmann & Co. Inc.
Fenwick & West LLP Adesto Technologies Corp IOTS S-3 3674 - Semiconductors & related devices  
Fortive Corporation Altra Industrial Motion Corp AIMC S-4 3569 - General industrial machinery & equipment, not elsewhere classified
  • Fortive Corporation
Gibson, Dunn & Crutcher LLP Rxi Pharmaceuticals Corp RXII S-1 2834 - Pharmaceutical preparations  
Golenbock Eiseman Assor Bell & Peskoe LLP Provention Bio Inc - S-1 2834 - Pharmaceutical preparations
  • MDB Capital Group, LLC
Goodwin Procter LLP Usa Technologies Inc USAT S-1 3578 - Calculating & accounting machines, except electronic computers
  • William Blair & Company, L.L.C.
Gracin & Marlow, LLP Synthetic Biologics Inc SYN S-3 2834 - Pharmaceutical preparations
  • B. Riley FBR, Inc.
Gutiérrez Bergman Boulris, PLLC Health-Right Discoveries Inc - S-1 2834 - Pharmaceutical preparations  
Honigman Miller Schwartz and Cohn LLP Chf Solutions Inc SSH S-3 3845 - Electromedical & electrotherapeutic apparatus  
Honigman Miller Schwartz and Cohn LLP Mackinac Financial Corp MFNC S-3 6022 - State commercial banks  
iCoreConnect Inc. Icoreconnect Inc VMCI 10-12G 7372 - Services - prepackaged software  
John E. Lux, Esq. Las Vegas Railway Express Inc LCPM 1-A 6199 - Finance services  
Kane Kessler, P.C. Leafbuyer Technologies Inc - S-1 4700 - Transportation services
  • YA II PN Ltd.
KHLK LLP Building Bits Properties I Llc - 1-A 6500 - Real estate  
Kilpatrick Townsend & Stockton LLP Civista Bancshares Inc CIVB S-4 6022 - State commercial banks  
Kirkland & Ellis LLP M17 Entertainment Ltd - F-1 7370 - Services - computer programming, data process, etc.
  • Citigroup Global Markets Inc.
  • Deutsche Bank Securities Inc.
  • Daiwa Capital Markets America Inc. / Mizuho Securities USA LLC
Kramer Levin Naftalis & Frankel LLP Vici Properties Inc VICI S-11 6798 - Real estate investment trusts  
Latham & Watkins LLP Amneal Pharmaceuticals Inc - S-1 2834 - Pharmaceutical preparations  
Lowenstein Sandler LLP Provention Bio Inc - S-1 2834 - Pharmaceutical preparations
  • MDB Capital Group, LLC
Lurio & Associates, P.C. Usa Technologies Inc USAT S-1 3578 - Calculating & accounting machines, except electronic computers
  • William Blair & Company, L.L.C.
Maynard, Cooper & Gale, P.C. National Commerce Corp NCOM S-4 6021 - National commercial banks  
Milbank, Tweed, Hadley & McCloy LLP Vantage Drilling International VTG S-1 1381 - Drilling oil & gas wells  
Morgan, Lewis & Bockius LLP Abeona Therapeutics Inc ABEO S-3 2834 - Pharmaceutical preparations  
Paul, Weiss, Rifkind, Wharton & Garrison LLP Playags Inc AGS S-3 3990 - Miscellaneous manufacturing industries
  • Credit Suisse Securities LLC / Deutsche Bank Securities Inc. / Jefferies LLC / Macquarie Capital Inc.
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Stifel, Nicolaus & Company, Inc. / SunTrust Robinson Humphrey, Inc.
  • Nomura Securities International, Inc. / Roth Capital Partners, LLC / Union Gaming Securities LLC / The Williams Capital Group, L.P. / Apollo Global Securities, LLC
Perkins Coie LLP Avalara Inc - S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / JMP Securities LLC
  • KeyBanc Capital Markets Inc. / Stifel, Nicolaus & Company, Inc.
Perkins Coie LLP Tronc Inc TRNC S-3 2711 - Newspapers: publishing or publishing & printing  
Pulse Biosciences, Inc. Pulse Biosciences Inc PLSE S-3 3841 - Surgical & medical instruments & apparatus  
Ropes & Gray LLP Amg Pantheon Fund Llc - N-2 -  
Ropes & Gray LLP Autolus Therapeutics Ltd - F-1 2836 - Biological products, except diagnostic substances
  • Goldman Sachs & Co. LLC
  • Jefferies LLC
  • Wells Fargo Securities, LLC / William Blair & Company, L.L.C.
Schiff Hardin LLP Nisource Inc NI S-1 4931 - Electric & other services combined  
Scudder Law Firm, P.C., L.L.O. Us Xpress Enterprises Inc XPRSA S-1 4213 - Trucking, except local
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Morgan Stanley & Co. LLC
  • J.P. Morgan Securities LLC / Wells Fargo Securities, LLC
  • Stephens Inc. / Stifel, Nicolaus & Company, Inc. / WR Securities, LLC
Seward & Kissel LLP Eurodry Ltd - F-1 4400 - Water transportation  
Sheppard, Mullin, Richter & Hampton LLP Trovagene Inc TROV S-1 2836 - Biological products, except diagnostic substances
  • ThinkEquity
Sichenzia Ross Ference Kesner LLP Nexeon Medsystems Inc - S-1 3841 - Surgical & medical instruments & apparatus  
Sichenzia Ross Ference Kesner LLP Trovagene Inc TROV S-1 2836 - Biological products, except diagnostic substances
  • ThinkEquity
Simpson Thacher & Bartlett LLP Itc Holdings Corp ITC S-4 4911 - Electric services  
Simpson Thacher & Bartlett LLP M17 Entertainment Ltd - F-1 7370 - Services - computer programming, data process, etc.
  • Citigroup Global Markets Inc.
  • Deutsche Bank Securities Inc.
  • Daiwa Capital Markets America Inc. / Mizuho Securities USA LLC
Simpson Thacher & Bartlett LLP Us Xpress Enterprises Inc XPRSA S-1 4213 - Trucking, except local
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Morgan Stanley & Co. LLC
  • J.P. Morgan Securities LLC / Wells Fargo Securities, LLC
  • Stephens Inc. / Stifel, Nicolaus & Company, Inc. / WR Securities, LLC
Skadden, Arps, Slate, Meagher & Flom LLP Altra Industrial Motion Corp AIMC S-4 3569 - General industrial machinery & equipment, not elsewhere classified
  • Fortive Corporation
Skadden, Arps, Slate, Meagher & Flom LLP Stevens Holding Company Inc - S-4 -  
Smith Mackinnon, PA National Commerce Corp NCOM S-4 6021 - National commercial banks  
Thomas J. Craft, Jr., Esq. Kinerjapay Corp SFEX S-1 3674 - Semiconductors & related devices
  • Tangiers Global, LLC
TRACON Pharmaceuticals, Inc. Tracon Pharmaceuticals Inc TCON S-3 2836 - Biological products, except diagnostic substances  
Tucker Ellis LLP Civista Bancshares Inc CIVB S-4 6022 - State commercial banks  
Vantage Drilling International Vantage Drilling International VTG S-1 1381 - Drilling oil & gas wells  
ViewRay, Inc. Viewray Inc MRXC S-3 5900 - Retail - miscellaneous retail
  • B. Riley FBR, Inc.
Weil, Gotshal & Manges LLP Ncs Multistage Holdings Inc NCSM S-3 1389 - Oil & gas field services, not elsewhere classified  
Weintraub Tobin Chediak Coleman Grodin, Law Corp. Arcadia Biosciences Inc RKDA S-3 2879 - Pesticides & agricultural chemicals, not elsewhere classified  
Wilson Sonsini Goodrich & Rosati, P.C. Pulse Biosciences Inc PLSE S-3 3841 - Surgical & medical instruments & apparatus  

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