Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: November 12 - 16

There were 45 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Union Bankshares Corp w/ Access National Corp., Platinum Eagle Acquisition Corp w/ Allen & Overy LLP, Union Bankshares Corp w/ Covington & Burling LLP, Rockwell Medical Inc w/ Gibson Dunn & Crutcher, LLP, Plug Power Inc w/ Goodwin Procter LLP, Netlist Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C., Plug Power Inc w/ Plug Power Inc., Eloxx Pharmaceuticals Inc w/ Proskauer Rose LLP, Apollo Medical Holdings Inc w/ Shartsis Friese LLP, Resonant Inc w/ Stubbs Alderton & Markiles, LLP, Union Bankshares Corp w/ Troutman Sanders LLP, Usa Compression Partners Lp w/ Vinson & Elkins LLP, Usa Compression Partners Lp w/ Vinson & Elkins LLP, Rockwell Medical Inc w/ Wilson Young Costello PLC, Platinum Eagle Acquisition Corp w/ Winston & Strawn 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
Access National Corp. Union Bankshares Corp UBSH S-4 6022 - State commercial banks  
Allen & Overy LLP Platinum Eagle Acquisition Corp EAGL S-4 6770 - Blank check  
Alston & Bird LLP Colony Bankcorp Inc CBAN S-3 6022 - State commercial banks  
Baker & McKenzie LLP Apergy Corp APY S-4 5082 - Wholesale - construction & mining (except petroleum) machinery & equipment  
Beyond Meat, Inc. Beyond Meat Inc - S-1 2000 - Food & kindred products
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Credit Suisse Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Jefferies LLC / William Blair & Company, L.L.C.
Brunswick Corp. Life Fitness Holdings Inc - 10-12B -  
Bryan R. Clark P.C. Jacksam Corp CGND S-1 4833 - Television broadcasting stations  
Conyers Dill & Pearman Ltd. Cibus Ltd - S-1 0100 - Agricultural production-crops
  • Morgan Stanley & Co. LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Piper Jaffray & Co.
Cooley LLP Synthorx Inc - S-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Leerink Partners LLC
  • Evercore Group L.L.C. / H.C. Wainwright & Co., LLC
Covington & Burling LLP Union Bankshares Corp UBSH S-4 6022 - State commercial banks  
Cravath, Swaine & Moore LLP Life Fitness Holdings Inc - 10-12B -  
CSI Compressco LP Csi Compressco Limited Partnership CCLP S-3 1389 - Oil & gas field services, not elsewhere classified  
Davis Polk & Wardwell LLP Cibus Ltd - S-1 0100 - Agricultural production-crops
  • Morgan Stanley & Co. LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Piper Jaffray & Co.
Davis Polk & Wardwell LLP Silvergate Capital Corp - S-1 6021 - National commercial banks
  • Barclays Capital Inc.
  • Keefe, Bruyette & Woods, Inc.
Davis Polk & Wardwell LLP Virgin Trains Usa Llc - S-1 4011 - Railroads, line-haul operating
  • Barclays Capital Inc.
  • J.P. Morgan Securities LLC
  • Morgan Stanley & Co. LLC
Debevoise & Plimpton LLP Axa Equitable Holdings EQH S-1 6411 - Insurance agents, brokers & service
  • J.P. Morgan Securities LLC
  • Morgan Stanley & Co. LLC
  • Citigroup Global Markets Inc.
DLA Piper LLP Onespaworld Holdings Ltd - S-4 -  
Ellenoff Grossman & Schole LLP Cf Finance Acquisition Corp - S-1 6770 - Blank check
  • Cantor Fitzgerald & Co.
Fox Rothschild LLP Red Lion Hotels Corp RLH S-3 7011 - Hotels & motels  
Fox Rothschild LLP St Renatus Llc - 1-A -  
Gibson Dunn & Crutcher, LLP Rockwell Medical Inc RMTI S-3 3845 - Electromedical & electrotherapeutic apparatus  
Goodwin Procter LLP Plug Power Inc PLUG S-3 3620 - Electrical industrial apparatus  
Greenberg Traurig, LLP Cadiz Inc CDZI S-3 4941 - Water supply  
Haymaker Acquisition Corp. Onespaworld Holdings Ltd - S-4 -  
Haynes and Boone, LLP Staffing 360 Solutions Inc STAF S-1 7363 - Services - help supply services  
Hogan Lovells LLP Citizens Inc CIA S-3 6311 - Life insurance  
Holland & Knight LLP Silvergate Capital Corp - S-1 6021 - National commercial banks
  • Barclays Capital Inc.
  • Keefe, Bruyette & Woods, Inc.
Hunter Taubman Fischer & Li, LLC Xiaotai International Investment Inc - F-1 -  
Jones & Keller, P.C. Natural Gas Services Group Inc NGS S-3 1389 - Oil & gas field services, not elsewhere classified  
Jones Day Cibus Ltd - S-1 0100 - Agricultural production-crops
  • Morgan Stanley & Co. LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Piper Jaffray & Co.
Kirkland & Ellis LLP Onespaworld Holdings Ltd - S-4 -  
Lantronix, Inc. Lantronix Inc LTRX S-3 3576 - Computer communications equipment  
Latham & Watkins LLP Beyond Meat Inc - S-1 2000 - Food & kindred products
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Credit Suisse Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Jefferies LLC / William Blair & Company, L.L.C.
Latham & Watkins LLP Perspecta Inc PRSP S-1 7374 - Services - computer processing & data preparation  
Latham & Watkins LLP Synthorx Inc - S-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Leerink Partners LLC
  • Evercore Group L.L.C. / H.C. Wainwright & Co., LLC
Mandelbaum Salsburg, P.C. One Horizon Group Inc OHGI S-3 3661 - Telephone & telegraph apparatus  
Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C. Netlist Inc NLST S-3 3674 - Semiconductors & related devices  
Morgan, Lewis & Bockius LLP Invesco Db Multi-Sector Commodity Trust DBB S-1 6221 - Commodity contracts brokers & dealers  
Morgan, Lewis & Bockius LLP Optimizerx Corp OPRX S-3 7389 - Services - business services, not elsewhere classified  
Morgan, Lewis & Bockius LLP Standard Diversified Inc SDI S-3 2100 - Tobacco products  
Olshan Frome Wolosky LLP Ameri Holdings Inc AMRH S-1 3674 - Semiconductors & related devices  
Olshan Frome Wolosky LLP Globalscape Inc GSB S-1 7372 - Services - prepackaged software  
Orrick, Herrington & Sutcliffe LLP Beyond Meat Inc - S-1 2000 - Food & kindred products
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Credit Suisse Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Jefferies LLC / William Blair & Company, L.L.C.
Ortoli Rosenstadt LLP Dragon Jade International Ltd - F-1 7389 - Services - business services, not elsewhere classified  
Plug Power Inc. Plug Power Inc PLUG S-3 3620 - Electrical industrial apparatus  
Proskauer Rose LLP Eloxx Pharmaceuticals Inc ELOX S-3 8731 - Services - commercial physical & biological research  
Scudder Law Firm, P.C., L.L.O. Covenant Transportation Group Inc CVTI S-3 4213 - Trucking, except local  
Shartsis Friese LLP Apollo Medical Holdings Inc AMEH S-3 8090 - Services - miscellaneous health & allied services, not elsewhere classified  
Skadden, Arps, Slate, Meagher & Flom LLP Cf Finance Acquisition Corp - S-1 6770 - Blank check
  • Cantor Fitzgerald & Co.
Skadden, Arps, Slate, Meagher & Flom LLP Virgin Trains Usa Llc - S-1 4011 - Railroads, line-haul operating
  • Barclays Capital Inc.
  • J.P. Morgan Securities LLC
  • Morgan Stanley & Co. LLC
Stradling Yocca Carlson & Rauth, P.C. Lantronix Inc LTRX S-3 3576 - Computer communications equipment  
Stubbs Alderton & Markiles, LLP Resonant Inc RESN S-3 3674 - Semiconductors & related devices  
Sullivan & Cromwell LLP Axa Equitable Holdings EQH S-1 6411 - Insurance agents, brokers & service
  • J.P. Morgan Securities LLC
  • Morgan Stanley & Co. LLC
  • Citigroup Global Markets Inc.
Synthorx, Inc. Synthorx Inc - S-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Leerink Partners LLC
  • Evercore Group L.L.C. / H.C. Wainwright & Co., LLC
The Doney Law Firm Optimizerx Corp OPRX S-3 7389 - Services - business services, not elsewhere classified  
Thompson Hine LLP Ellington Income Opportunities Fund - N-2 -
  • Foreside Funds Services, LLC
Troutman Sanders LLP Union Bankshares Corp UBSH S-4 6022 - State commercial banks  
Vinson & Elkins L.L.P. Csi Compressco Limited Partnership CCLP S-3 1389 - Oil & gas field services, not elsewhere classified  
Vinson & Elkins LLP Hi-Crush Partners Lp HCLP S-3 1400 - Mining & quarrying nonmetallic minerals, except fuels  
Vinson & Elkins LLP Usa Compression Partners Lp USAC S-3 4922 - Natural gas transmission  
Vinson & Elkins LLP Usa Compression Partners Lp USAC S-4 4922 - Natural gas transmission  
Williams Mullen First National Corp FXNC S-3 6022 - State commercial banks  
Wilson Bradshaw & Cao, LLP Nami Corp PKKC S-1 3420 - Cutlery, handtools & general hardware  
Wilson Young Costello PLC Rockwell Medical Inc RMTI S-3 3845 - Electromedical & electrotherapeutic apparatus  
Winston & Strawn LLP Platinum Eagle Acquisition Corp EAGL S-4 6770 - Blank check  
Winston & Strawn LLP Sentinel Energy Services Inc STNL S-4 6770 - Blank check  

 

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