Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: November 19 - 23

There were 27 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Twilio Inc w/ Cooley LLP, Pepsico Inc w/ Davis Polk & Wardwell LLP, Monocle Acquisition Corp w/ Ellenoff Grossman & Schole LLP, Twilio Inc w/ Goodwin Procter LLP, Chicken Soup For The Soul Entertainment Inc w/ Graubard Miller, Monocle Acquisition Corp w/ Greenberg Traurig, LLP, Immune Pharmaceuticals Inc w/ Lowenstein Sandler LLP, Pepsico Inc w/ PepsiCo, Inc., Twilio Inc w/ SendGrid, Inc., Twilio Inc w/ Twilio Inc.

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
Akerman LLP Rumbleon Inc RMBL S-3 7371 - Services - computer programming services  
BlackRock, Inc. Ishares Gold Trust Micro - S-1 -  
Blank Rome LLP Icad Inc ICAD S-3 3841 - Surgical & medical instruments & apparatus  
Buchanan Ingersoll & Rooney PC Smith Micro Software Inc SMSI S-3 7372 - Services - prepackaged software  
Burns & Levinson LLP Nano Dimension Ltd NNDM F-1 3672 - Printed circuit boards
  • A.G.P. / Alliance Global Partners
Clifford Chance LLP Ishares Gold Trust Micro - S-1 -  
Cooley LLP Twilio Inc TWLO S-4 7372 - Services - prepackaged software  
Davis Polk & Wardwell LLP Pepsico Inc PEP S-4 2080 - Beverages  
DLA Piper LLP Genmark Diagnostics Inc GNMK S-3 3841 - Surgical & medical instruments & apparatus  
Ellenoff Grossman & Schole LLP Andina Acquisition Corp. Iii - S-1 6770 - Blank check
  • Cowen and Company, LLC
  • Craig-Hallum Capital Group LLC
Ellenoff Grossman & Schole LLP Monocle Acquisition Corp - S-1 6770 - Blank check
  • Cowen and Company, LLC
  • Chardan Capital Markets, LLC
Eversheds Sutherland LLP Members Life Insurance Co - S-1 6311 - Life insurance
  • CUNA Brokerage Services, Inc.
Eversheds Sutherland LLP Ofs Credit Company Inc OCCI N-2 -  
GenMark Diagnostics, Inc. Genmark Diagnostics Inc GNMK S-3 3841 - Surgical & medical instruments & apparatus  
Goldfarb Seligman & Co. Wize Pharma Inc OPLI S-1 2834 - Pharmaceutical preparations  
Goodwin Procter LLP Proteostasis Therapeutics Inc PTI S-3 2834 - Pharmaceutical preparations  
Goodwin Procter LLP Twilio Inc TWLO S-4 7372 - Services - prepackaged software  
Graubard Miller Andina Acquisition Corp. Iii - S-1 6770 - Blank check
  • Cowen and Company, LLC
  • Craig-Hallum Capital Group LLC
Graubard Miller Chicken Soup For The Soul Entertainment Inc CSSE S-3 7819 - Services - allied to motion picture production  
Graubard Miller Schultze Special Purpose Acquisition Corp - S-1 6770 - Blank check
  • EarlyBirdCapital, Inc.
  • BTIG, LLC
Greenberg Traurig, LLP Monocle Acquisition Corp - S-1 6770 - Blank check
  • Cowen and Company, LLC
  • Chardan Capital Markets, LLC
Greenberg Traurig, LLP Schultze Special Purpose Acquisition Corp - S-1 6770 - Blank check
  • EarlyBirdCapital, Inc.
  • BTIG, LLC
Hunter Taubman Fischer & Li LLC Hitek Global Inc - F-1 7372 - Services - prepackaged software
  • Boustead Securities, LLC
Hunton Andrews Kurth LLP Altus Midstream Co ALTM S-3 6770 - Blank check  
John E. Lux, Esq. Golden Developing Solutions Inc - 1-A 5900 - Retail - miscellaneous retail  
Latham & Watkins LLP Gateway Casinos & Entertainment Ltd - F-1 7011 - Hotels & motels
  • Morgan Stanley & Co. LLC
Lowenstein Sandler LLP Immune Pharmaceuticals Inc IMNP S-1 2834 - Pharmaceutical preparations  
Maslon LLP Air T Inc AIRT S-1 4513 - Air courier services  
Mei & Mark LLP Puyi Inc - F-1 6282 - Investment advice
  • Network 1 Financial Securities, Inc.
Mintz Levin Cohn Ferris Glovsky and Popeo PC Mabvax Therapeutics Holdings Inc MBVX S-1 2834 - Pharmaceutical preparations
  • Triton Funds LLC
Ortoli Rosenstadt LLP Hitek Global Inc - F-1 7372 - Services - prepackaged software
  • Boustead Securities, LLC
PepsiCo, Inc. Pepsico Inc PEP S-4 2080 - Beverages  
Perdin Inc. Perdin Inc - 1-A -  
Pierce Atwood LLP Immucell Corp ICCC S-3 2835 - In vitro & in vivo diagnostic substances  
Reed Smith LLP Ritter Pharmaceuticals Inc RTTR S-3 2834 - Pharmaceutical preparations  
SendGrid, Inc. Twilio Inc TWLO S-4 7372 - Services - prepackaged software  
Sichenzia Ross Ference LLP Wize Pharma Inc OPLI S-1 2834 - Pharmaceutical preparations  
Sidley Austin LLP Puyi Inc - F-1 6282 - Investment advice
  • Network 1 Financial Securities, Inc.
Twilio Inc. Twilio Inc TWLO S-4 7372 - Services - prepackaged software  
Weil, Gotshal & Manges LLP Gateway Casinos & Entertainment Ltd - F-1 7011 - Hotels & motels
  • Morgan Stanley & Co. LLC
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP Nano Dimension Ltd NNDM F-1 3672 - Printed circuit boards
  • A.G.P. / Alliance Global Partners

 

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