Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: November 26 - 30

There were 23 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Sirius International Insurance Group Ltd w/ Conyers Dill & Pearman Ltd., Sirius International Insurance Group Ltd w/ Sidley Austin LLP, Sirius International Insurance Group Ltd w/ Sirius International Insurance Group, Ltd.

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
Breyer & Associates PC First Interstate Bancsystem Inc FIBK S-4 6022 - State commercial banks  
Conyers Dill & Pearman Ltd. Sirius International Insurance Group Ltd SG S-1 6331 - Fire, marine & casualty insurance  
Cooley LLP Biocept Inc BIOC S-1 8071 - Services - medical laboratories
  • Maxim Group LLC
  • Dawson James Securities, Inc.
Disclosure Law Group Wrap Technologies Inc - S-1 3480 - Ordnance & accessories, except vehicles & guided missiles  
EAD Law Group, LLC Flashapp Inc - S-1 -  
Ellenoff Grossman & Schole LLP Aradigm Corp ARDM S-1 3845 - Electromedical & electrotherapeutic apparatus
  • Ladenburg Thalmann & Co. Inc.
Ellenoff Grossman & Schole LLP Biocept Inc BIOC S-1 8071 - Services - medical laboratories
  • Maxim Group LLC
  • Dawson James Securities, Inc.
Ellenoff Grossman & Schole LLP Priority Technology Holdings Inc PRTH S-4 6770 - Blank check
  • Chardan Capital Markets, LLC
Fenimore, Kay, Harrison & Ford LLP Investar Holding Corp ISTR S-4 6022 - State commercial banks  
Fenwick & West LLP Achieve Life Sciences Inc ACHV S-1 2835 - In vitro & in vivo diagnostic substances  
First Interstate BancSystem, Inc. First Interstate Bancsystem Inc FIBK S-4 6022 - State commercial banks  
First Interstate BancSystem, Inc. First Interstate Bancsystem Inc FIBK S-4 6022 - State commercial banks  
Gibson, Dunn & Crutcher LLP Berkshire Hathaway Energy Company MEC S-4 4900 - Electric, gas & sanitary services  
Haynes and Boone, LLP Commercial Metals Co CMC S-4 3312 - Steel works, blast furnaces (including coke ovens) & rolling mills  
Hogan Lovells US LLP Aradigm Corp ARDM S-1 3845 - Electromedical & electrotherapeutic apparatus
  • Ladenburg Thalmann & Co. Inc.
Hogan Lovells US LLP Eyepoint Pharmaceuticals Inc EYPT S-3 3826 - Laboratory analytical instruments  
Larry E. Temple, Esq. Investar Holding Corp ISTR S-4 6022 - State commercial banks  
Latham & Watkins LLP Contrafect Corp CFRX S-3 2834 - Pharmaceutical preparations  
Latham & Watkins LLP Restoration Robotics Inc HAIR S-3 3841 - Surgical & medical instruments & apparatus  
Law Office of Clifford J. Hunt, P.A. Thunder Energies Corp TNRG S-1 6770 - Blank check
  • GHS Investments, LLC
Law Office of R.J. Newman, PC Bioxytran Inc USMN S-1 5150 - Wholesale - farm product raw materials  
Loeb & Loeb LLP Chardan Healthcare Acquisition Corp - S-1 6770 - Blank check
  • Chardan Capital Markets LLC
Luse Gorman, PC First Interstate Bancsystem Inc FIBK S-4 6022 - State commercial banks  
Luse Gorman, PC First Interstate Bancsystem Inc FIBK S-4 6022 - State commercial banks  
Morgan, Lewis & Bockius LLP Kopin Corp KOPN S-3 3674 - Semiconductors & related devices  
Norton Rose Fulbright LLP C-Bond Systems Inc WETM S-1 6799 - Investors, not elsewhere classified  
Pillsbury Winthrop Shaw Pittman LLP Identiv Inc INVE S-3 3577 - Computer peripheral equipment, not elsewhere classified  
ProShare Capital Management LLC Proshares Ultra Bloomberg Natural Gas AGQ S-1 6221 - Commodity contracts brokers & dealers  
Robinson Brog Leinwand Greene Genovese & Gluck P.C. Nxt-Id Inc NXTD S-3 7381 - Services - detective, guard & armored car services  
Schiff Hardin LLP Chardan Healthcare Acquisition Corp - S-1 6770 - Blank check
  • Chardan Capital Markets LLC
Schulte Roth & Zabel LLP Priority Technology Holdings Inc PRTH S-4 6770 - Blank check
  • Chardan Capital Markets, LLC
Sidley Austin LLP Proshares Ultra Bloomberg Natural Gas AGQ S-1 6221 - Commodity contracts brokers & dealers  
Sidley Austin LLP Sirius International Insurance Group Ltd SG S-1 6331 - Fire, marine & casualty insurance  
Sirius International Insurance Group, Ltd. Sirius International Insurance Group Ltd SG S-1 6331 - Fire, marine & casualty insurance  
Witherspoon Kelley First Interstate Bancsystem Inc FIBK S-4 6022 - State commercial banks  

 

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