Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: November 5 - 9

There were 55 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Willscot Corp w/ Allen & Overy LLP, Enlink Midstream Limited Liability Company w/ Baker Botts L.L.P., Pacwest Bancorp w/ El Dorado Savings Bank, F.S.B., Rimini Street Inc w/ Gibson, Dunn & Crutcher LLP, Rimini Street Inc w/ Gibson, Dunn & Crutcher LLP, Willscot Corp w/ Latham & Watkins LLP, Pacwest Bancorp w/ Manatt, Phelps & Phillips, LLP, Ovascience Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C., Legacy Housing Ltd w/ Olshan Frome Wolosky LLP, Rimini Street Inc w/ Rimini Street, Inc., Rimini Street Inc w/ Rimini Street, Inc., Pacwest Bancorp w/ Sullivan & Cromwell LLP, Antero Midstream Gp Limited Partnership w/ Vinson & Elkins L.L.P., Legacy Housing Ltd w/ Winston & Strawn LLP, Dariohealth Corp w/ Zysman, Aharoni, Gayer and Sullivan & Worcester 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
Acer Therapeutics Inc. Acer Therapeutics Inc ACER S-3 2834 - Pharmaceutical preparations
  • Roth Capital Partners, LLC
Allegaert Berger & Vogel LLP Fc Global Realty Inc FCRE S-4 3845 - Electromedical & electrotherapeutic apparatus  
Allen & Overy LLP Willscot Corp WSC S-4 6770 - Blank check  
Amphastar Pharmaceuticals, Inc. Amphastar Pharmaceuticals Inc AMPH S-3 2834 - Pharmaceutical preparations  
Baker & Hostetler LLP Energy Focus Inc EFOI S-3 3640 - Electric lighting & wiring equipment  
Baker Botts L.L.P. Enlink Midstream Limited Liability Company ENLC S-4 4922 - Natural gas transmission  
Bevilacqua PLLC Fc Global Realty Inc FCRE S-4 3845 - Electromedical & electrotherapeutic apparatus  
Cahill Gordon & Reindel LLP Dyadic International Inc DYAI 10-12G 2869 - Industrial organic chemicals, not elsewhere classified  
Cassidy & Associates Emaginos Inc - S-1 -  
Ceridian HCM Holding Inc. Ceridian Hcm Holding Inc CDAY S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Credit Suisse Securities LLC / Deutsche Bank Securities Inc. / Barclays Capital Inc.
  • Citigroup Global Markets Inc. / Jefferies LLC / Piper Jaffray & Co. / Wells Fargo Securities, LLC / Robert W. Baird & Co. Inc.
  • CIBC World Markets Corp. / William Blair & Company, L.L.C. / Canaccord Genuity LLC / Needham & Company, LLC / MUFG Securities Americas Inc.
Cloudera, Inc. Cloudera Inc CLDR S-4 7372 - Services - prepackaged software  
Cooley LLP Cidara Therapeutics Inc CDTX S-3 2836 - Biological products, except diagnostic substances
  • Cantor Fitzgerald & Co.
Cooley LLP Five Prime Therapeutics Inc FPRX S-3 2834 - Pharmaceutical preparations  
Cooley LLP Kura Oncology Inc KURA S-3 2834 - Pharmaceutical preparations  
Cravath, Swaine & Moore LLP Mylan N.V. MYL S-4 2834 - Pharmaceutical preparations  
CrowdCheck Law LLP Coherix Inc - 1-A -  
Cutler Law Group, P.C. Apotheca Biosciences Inc - S-1 1000 - Metal mining  
CytomX Therapeutics, Inc. Cytomx Therapeutics Inc CTMX S-3 2834 - Pharmaceutical preparations  
Davis Polk & Wardwell LLP Meili Inc - F-1 7389 - Services - business services, not elsewhere classified
  • Morgan Stanley & Co. International PLC
  • Credit Suisse Securities LLC
  • China Renaissance Securities (Hong Kong) Ltd.
Day Pitney LLP Independent Bank Corp INDB S-4 6022 - State commercial banks  
Dermira, Inc. Dermira Inc DERM S-3 2834 - Pharmaceutical preparations
  • Cowen and Company, LLC
Dorsey & Whitney LLP Energy Fuels Inc UUUU S-3 1400 - Mining & quarrying nonmetallic minerals, except fuels  
Durham Jones & Pinegar, P.C. Zagg Inc ZAGG S-3 5900 - Retail - miscellaneous retail  
Dyadic International, Inc. Dyadic International Inc DYAI 10-12G 2869 - Industrial organic chemicals, not elsewhere classified  
El Dorado Savings Bank, F.S.B. Pacwest Bancorp PACW S-4 6021 - National commercial banks  
Ellenoff Grossman & Schole LLP Mtech Acquisition Holdings Inc - S-4 -
  • Early Bird Capital, Inc.
Ellenoff Grossman & Schole, LLP Tenax Therapeutics Inc TENX S-1 8731 - Services - commercial physical & biological research
  • Ladenburg Thalmann & Co. Inc.
Ellenofff Grossman & Schole LLP Biolargo Inc BLGO S-1 2800 - Chemicals & allied products
  • H.C. Wainwright & Co., LLC
Eversheds Sutherland LLP Priority Income Fund Inc PRIF^A N-2 -  
Faegre Baker Daniels LLP Diamedica Therapeutics Inc - S-1 2834 - Pharmaceutical preparations
  • Craig-Hallum Capital Group LLC
Fenwick & West LLP Cloudera Inc CLDR S-4 7372 - Services - prepackaged software  
Fenwick & West LLP Dermira Inc DERM S-3 2834 - Pharmaceutical preparations
  • Cowen and Company, LLC
Five Prime Therapeutics, Inc. Five Prime Therapeutics Inc FPRX S-3 2834 - Pharmaceutical preparations  
Fox Rothschild LLP Diamedica Therapeutics Inc - S-1 2834 - Pharmaceutical preparations
  • Craig-Hallum Capital Group LLC
Gadsden Growth Properties, Inc. Fc Global Realty Inc FCRE S-4 3845 - Electromedical & electrotherapeutic apparatus  
Gibson, Dunn & Crutcher LLP Matador Resources Co MTDR S-4 1311 - Crude petroleum & natural gas  
Gibson, Dunn & Crutcher LLP Northwest Pipeline Llc - S-4 4922 - Natural gas transmission  
Gibson, Dunn & Crutcher LLP Rimini Street Inc RMNI S-3 6770 - Blank check  
Gibson, Dunn & Crutcher LLP Rimini Street Inc RMNI S-3 6770 - Blank check  
Goodwin Procter LLP Biodelivery Sciences International Inc BDSI S-3 2834 - Pharmaceutical preparations  
Goodwin Procter LLP Moderna Inc - S-1 2836 - Biological products, except diagnostic substances
  • Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. / Piper Jaffray & Co. / Bryan, Garnier & Co Ltd.
  • ODDO BHF SCA / Oppenheimer & Co. Inc. / Needham & Company, LLC / Chardan Capital Markets LLC
Goodwin Procter LLP Zafgen Inc ZFGN S-3 2834 - Pharmaceutical preparations  
Graubard Miller Mtech Acquisition Holdings Inc - S-4 -
  • Early Bird Capital, Inc.
Graubard Miller Parkervision Inc PRKR S-1 3663 - Radio & television broadcasting & communications equipment  
Hortonworks, Inc. Cloudera Inc CLDR S-4 7372 - Services - prepackaged software  
Hunter Taubman Fischer & Li LLC Victory Commercial Management Inc - S-1 6510 - Real estate operators (except developers) & lessors  
InCorp Services, Inc. Unex Holdings Inc - S-1 -  
Jones Day Steris Ltd - S-4 -  
Jones Day Transdigm Group Inc TDG S-4 3490 - Miscellaneous fabricated metal products (SIC);3613 - Switchgear & switchboard apparatus (SIC);3728 - Aircraft parts & auxiliary equipment, not elsewhere classified (SIC)  
Latham & Watkins LLP Ceridian Hcm Holding Inc CDAY S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Credit Suisse Securities LLC / Deutsche Bank Securities Inc. / Barclays Capital Inc.
  • Citigroup Global Markets Inc. / Jefferies LLC / Piper Jaffray & Co. / Wells Fargo Securities, LLC / Robert W. Baird & Co. Inc.
  • CIBC World Markets Corp. / William Blair & Company, L.L.C. / Canaccord Genuity LLC / Needham & Company, LLC / MUFG Securities Americas Inc.
Latham & Watkins LLP Cloudera Inc CLDR S-4 7372 - Services - prepackaged software  
Latham & Watkins LLP Cytomx Therapeutics Inc CTMX S-3 2834 - Pharmaceutical preparations  
Latham & Watkins LLP Willscot Corp WSC S-4 6770 - Blank check  
Lewis Brisbois Bisgaard & Smith LLP Bank Of Commerce Holdings BOCH S-4 6022 - State commercial banks  
Locke Lord LLP Comstock Resources Inc CRK S-3 1311 - Crude petroleum & natural gas  
Lowenstein Sandler LLP Microbot Medical Inc MBOT S-1 2836 - Biological products, except diagnostic substances
  • H.C. Wainwright & Co., LLC
Luse Gorman, PC Independent Bank Corp INDB S-4 6022 - State commercial banks  
Manatt, Phelps & Phillips, LLP Pacwest Bancorp PACW S-4 6021 - National commercial banks  
Matador Resources Company Matador Resources Co MTDR S-4 1311 - Crude petroleum & natural gas  
Miller Nash Graham & Dunn LLP Bank Of Commerce Holdings BOCH S-4 6022 - State commercial banks  
Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C. Ovascience Inc OVAS S-3 2834 - Pharmaceutical preparations  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Microbot Medical Inc MBOT S-1 2836 - Biological products, except diagnostic substances
  • H.C. Wainwright & Co., LLC
MJ Freeway LLC Mtech Acquisition Holdings Inc - S-4 -
  • Early Bird Capital, Inc.
Moderna, Inc. Moderna Inc - S-1 2836 - Biological products, except diagnostic substances
  • Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. / Piper Jaffray & Co. / Bryan, Garnier & Co Ltd.
  • ODDO BHF SCA / Oppenheimer & Co. Inc. / Needham & Company, LLC / Chardan Capital Markets LLC
Morrison & Foerster LLP Arca U.S. Treasury Fund - N-2 -
  • Northern Lights Distributors, LLC
Mylan Inc. Mylan N.V. MYL S-4 2834 - Pharmaceutical preparations  
Nexeo Solutions, Inc. Univar Inc UNVR S-4 5169 - Wholesale - Chemicals & allied products, not elsewhere classified  
Olshan Frome Wolosky LLP Legacy Housing Ltd - S-1 2451 - Mobile homes
  • B. Riley FBR, Inc.
  • Oak Ridge Financial
Paul Hastings LLP Inseego Corp INSG S-3 3669 - Communications equipment, not elsewhere classified  
Paul, Weiss, Rifkind, Wharton & Garrison LLP Mosaic Acquisition Corp MOSC S-4 6770 - Blank check  
Pillsbury Winthrop Shaw Pittman LLP Acer Therapeutics Inc ACER S-3 2834 - Pharmaceutical preparations
  • Roth Capital Partners, LLC
Pushor Mitchell LLP Diamedica Therapeutics Inc - S-1 2834 - Pharmaceutical preparations
  • Craig-Hallum Capital Group LLC
Rimini Street, Inc. Rimini Street Inc RMNI S-3 6770 - Blank check  
Rimini Street, Inc. Rimini Street Inc RMNI S-3 6770 - Blank check  
Ropes & Gray LLP Agenus Inc AGEN S-3 2836 - Biological products, except diagnostic substances  
Ropes & Gray LLP Moderna Inc - S-1 2836 - Biological products, except diagnostic substances
  • Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. / Piper Jaffray & Co. / Bryan, Garnier & Co Ltd.
  • ODDO BHF SCA / Oppenheimer & Co. Inc. / Needham & Company, LLC / Chardan Capital Markets LLC
Ruskin Moscou Faltischek PC Microbot Medical Inc MBOT S-1 2836 - Biological products, except diagnostic substances
  • H.C. Wainwright & Co., LLC
Skadden, Arps, Slate, Meagher & Flom LLP Meili Inc - F-1 7389 - Services - business services, not elsewhere classified
  • Morgan Stanley & Co. International PLC
  • Credit Suisse Securities LLC
  • China Renaissance Securities (Hong Kong) Ltd.
Skadden, Arps, Slate, Meagher & Flom LLP Nfe Financial Holdings Llc - S-1 4924 - Natural gas distribution
  • Morgan Stanley & Co. LLC
  • Barclays Capital Inc.
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P. Tenax Therapeutics Inc TENX S-1 8731 - Services - commercial physical & biological research
  • Ladenburg Thalmann & Co. Inc.
Stahl Cowen Crowley Addis LLC Iroquois Valley Farmland Reit Pbc - 1-A -  
STERIS plc Steris Ltd - S-4 -  
Stevens & Lee, P.C. Republic First Bancorp Inc FRBK S-3 6022 - State commercial banks  
Sullivan & Cromwell LLP Pacwest Bancorp PACW S-4 6021 - National commercial banks  
Vinson & Elkins L.L.P. Antero Midstream Gp Limited Partnership AMGP S-4 4922 - Natural gas transmission  
Vinson & Elkins L.L.P. Nfe Financial Holdings Llc - S-1 4924 - Natural gas distribution
  • Morgan Stanley & Co. LLC
  • Barclays Capital Inc.
Wachtell, Lipton, Rosen & Katz Univar Inc UNVR S-4 5169 - Wholesale - Chemicals & allied products, not elsewhere classified  
Weil, Gotshal & Manges LLP Ceridian Hcm Holding Inc CDAY S-1 7372 - Services - prepackaged software
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Credit Suisse Securities LLC / Deutsche Bank Securities Inc. / Barclays Capital Inc.
  • Citigroup Global Markets Inc. / Jefferies LLC / Piper Jaffray & Co. / Wells Fargo Securities, LLC / Robert W. Baird & Co. Inc.
  • CIBC World Markets Corp. / William Blair & Company, L.L.C. / Canaccord Genuity LLC / Needham & Company, LLC / MUFG Securities Americas Inc.
Weil, Gotshal & Manges LLP Univar Inc UNVR S-4 5169 - Wholesale - Chemicals & allied products, not elsewhere classified  
Wilson Bradshaw & Cao, LLP Biolargo Inc BLGO S-1 2800 - Chemicals & allied products
  • H.C. Wainwright & Co., LLC
Wilson Sonsini Goodrich & Rosati, P.C. Amphastar Pharmaceuticals Inc AMPH S-3 2834 - Pharmaceutical preparations  
Winston & Strawn LLP Legacy Housing Ltd - S-1 2451 - Mobile homes
  • B. Riley FBR, Inc.
  • Oak Ridge Financial
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP Dariohealth Corp DRIO S-3 3841 - Surgical & medical instruments & apparatus  

 

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