Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: October 1 - 5

There were 42 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including First Busey Corp w/ Barack Ferrazzano Kirschbaum & Nagelberg LLP, Ashford Inc w/ Cadwalader, Wickersham & Taft LLP, Ep Income Co Llc w/ Dechert LLP, Cim Commercial Trust Corp w/ Gross, Kleinhendler, Hodak, Halevy, Greenberg, Shenhav & Co., Sb One Bancorp w/ Hogan Lovells US LLP, First Busey Corp w/ Howard & Howard Attorneys PLLC, Esquire Financial Holdings Inc w/ Luse Gorman, PC, Ep Income Co Llc w/ Mayer Brown LLP, Government Properties Income Trust w/ Saul Ewing Arnstein & Lehr LLP, Government Properties Income Trust w/ Skadden, Arps, Slate, Meagher & Flom LLP, Cim Commercial Trust Corp w/ Sullivan & Cromwell LLP, Government Properties Income Trust w/ Sullivan & Worcester LLP, Sb One Bancorp w/ Windels Marx Lane & Mittendorf, 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.

Click here and opt-in to receive this weekly summary via email.

Banner-EZOD-380x380ai Banner-EZOD-380x380corpculture Banner-EZOD-380x380vi

 

Account / Firm Company Name Symbol Form Type Industry Underwriters
Akerman LLP Odyssey Marine Exploration Inc OMEX S-3 4400 - Water transportation  
Axonics Modulation Technologies, Inc. Axonics Modulation Technologies Inc - S-1 3841 - Surgical & medical instruments & apparatus
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Morgan Stanley & Co. LLC
  • Wells Fargo Securities, LLC / SunTrust Robinson Humphrey, Inc.
Baker & Hostetler LLP Mj Holdings Inc SRFC S-1 7389 - Services - business services, not elsewhere classified  
Barack Ferrazzano Kirschbaum & Nagelberg LLP First Busey Corp BUSE S-4 6022 - State commercial banks  
Brunson Chandler & Jones, PLLC Applife Digital Solutions Inc - S-1 -
  • GHS Investments, LLC
Cadwalader, Wickersham & Taft LLP Ashford Inc AINC S-3 8742 - Services - management consulting services  
Christian J. Hoffmann, III 6 Digital Ally, Inc. DGLY S-3 3663 - Radio & television broadcasting & communications equipment  
Cooley LLP Biohaven Pharmaceutical Holding Co Ltd BHVN S-1 2834 - Pharmaceutical preparations  
Davis Polk & Wardwell LLP Dlp Payments Holdings Ltd - F-1 7374 - Services - computer processing & data preparation
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Citigroup Global Markets Inc. / Itau BBA USA Securities, Inc. / Credit Suisse Securities LLC
  • Morgan Stanley & Co. LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Banco BTG Pactual S.A.–Cayman Branch
Davis Polk & Wardwell LLP Enven Energy Corp - S-1 1311 - Crude petroleum & natural gas
  • Citigroup Global Markets Inc.
  • J.P. Morgan Securities LLC
  • Stifel, Nicolaus and Company, Inc. / BMO Capital Markets Corp.
Davis Polk & Wardwell LLP Orchard Rx Ltd - F-1 2836 - Biological products, except diagnostic substances
  • J.P. Morgan Securities LLC
  • Goldman Sachs & Co. LLC
  • Cowen and Company, LLC / Wedbush Securities Inc.
Davis Polk & Wardwell LLP Tencent Music Entertainment Group - F-1 4832 - Radio broadcasting stations
  • Deutsche Bank Securities Inc. / Goldman Sachs L.L.C. / J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Morgan Stanley & Co. LLC / Allen & Company LLC / BOCI Asia Ltd. / China International Capital Corp. Hong Kong Securities Ltd.
  • China Renaissance Securities Ltd. / Credit Suisse Securities LLC / HSBC Securities Inc. / KeyBanc Capital Markets Inc. / Stifel, Nicolaus & Company, Inc.
Dechert LLP Axonic Alternative Income Fund - N-2 -  
Dechert LLP Ep Income Co Llc - N-2 -
  • Keefe, Bruyette & Woods, Inc. / RBC Capital Markets, LLC / Oppenheimer & Co. Inc.
  • BB&T Capital Markets / B. Riley FBR, Inc. / Ladenburg Thalmann & Co. Inc.
  • National Securities Corp. / MUFG Securities Americas Inc. / Wedbush Securities Inc.
Elite Performance Holding Corp. Elite Performance Holding Corp - S-1 -  
Goodwin Procter LLP Akebia Therapeutics Inc AKBA S-4 2834 - Pharmaceutical preparations  
Goodwin Procter LLP Deciphera Pharmaceuticals Inc DCPH S-3 2834 - Pharmaceutical preparations  
Goodwin Procter LLP Orchard Rx Ltd - F-1 2836 - Biological products, except diagnostic substances
  • J.P. Morgan Securities LLC
  • Goldman Sachs & Co. LLC
  • Cowen and Company, LLC / Wedbush Securities Inc.
Graubard Miller Pavmed Inc PAVM S-3 3841 - Surgical & medical instruments & apparatus  
Gross, Kleinhendler, Hodak, Halevy, Greenberg, Shenhav & Co. Cim Commercial Trust Corp CMCT S-4 6798 - Real estate investment trusts  
Hogan Lovells US LLP Sb One Bancorp SBBX S-4 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices  
Howard & Howard Attorneys PLLC First Busey Corp BUSE S-4 6022 - State commercial banks  
J.P. Galda & Co. Uranium Trading Corp - S-1 6799 - Investors, not elsewhere classified
  • B. Riley FBR, Inc.
K&L Gates LLP Akoustis Technologies Inc AKTS S-3 3661 - Telephone & telegraph apparatus  
K&L Gates LLP Axonics Modulation Technologies Inc - S-1 3841 - Surgical & medical instruments & apparatus
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Morgan Stanley & Co. LLC
  • Wells Fargo Securities, LLC / SunTrust Robinson Humphrey, Inc.
Keryx Biopharmaceuticals, Inc. Akebia Therapeutics Inc AKBA S-4 2834 - Pharmaceutical preparations  
Lakeland Bancorp, Inc. Lakeland Bancorp Inc LBAI S-4 6022 - State commercial banks  
Latham & Watkins LLP Akebia Therapeutics Inc AKBA S-4 2834 - Pharmaceutical preparations  
Latham & Watkins LLP Twist Bioscience Corp - S-1 2836 - Biological products, except diagnostic substances
  • J.P. Morgan Securities LLC
  • Cowen and Company, LLC
  • Allen & Company LLC / Robert W. Baird & Co. Inc.
Law Office of Clifford J. Hunt, P.A. Growflow Corp - S-1 -  
LeClairRyan PLLC Uranium Trading Corp - S-1 6799 - Investors, not elsewhere classified
  • B. Riley FBR, Inc.
Loeb & Loeb LLP Alberton Acquisition Corp - S-1 6770 - Blank check
  • Chardan Capital Markets LLC
Lowenstein Sandler LLP Lakeland Bancorp Inc LBAI S-4 6022 - State commercial banks  
Luse Gorman, PC Esquire Financial Holdings Inc ESQ S-3 6029 - Commercial banks, not elsewhere classified  
Mayer Brown LLP Ep Income Co Llc - N-2 -
  • Keefe, Bruyette & Woods, Inc. / RBC Capital Markets, LLC / Oppenheimer & Co. Inc.
  • BB&T Capital Markets / B. Riley FBR, Inc. / Ladenburg Thalmann & Co. Inc.
  • National Securities Corp. / MUFG Securities Americas Inc. / Wedbush Securities Inc.
Morgan, Lewis & Bockius LLP Standard Diversified Inc SDI S-3 2100 - Tobacco products  
Morrison & Foerster LLP Krystal Biotech Inc KRYS S-3 2836 - Biological products, except diagnostic substances  
Orrick, Herrington & Sutcliffe LLP Twist Bioscience Corp - S-1 2836 - Biological products, except diagnostic substances
  • J.P. Morgan Securities LLC
  • Cowen and Company, LLC
  • Allen & Company LLC / Robert W. Baird & Co. Inc.
Pepper Hamilton LLP Interpace Diagnostics Group Inc IDXG S-3 3841 - Surgical & medical instruments & apparatus  
Procopio, Cory, Hargreaves & Savitch LLP Tyg Solutions Corp - S-1 7372 - Services - prepackaged software  
Robinson Brog Leinwand Greene Genovese & Gluck P.C. 6 Digital Ally, Inc. DGLY S-3 3663 - Radio & television broadcasting & communications equipment  
Saul Ewing Arnstein & Lehr LLP Government Properties Income Trust GOV S-4 6500 - Real estate  
Shearman & Sterling LLP Axonics Modulation Technologies Inc - S-1 3841 - Surgical & medical instruments & apparatus
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Morgan Stanley & Co. LLC
  • Wells Fargo Securities, LLC / SunTrust Robinson Humphrey, Inc.
Sheppard, Mullin, Richter & Hampton LLP Lunatrust Llc - 1-A 7374 - Services - computer processing & data preparation  
Sichenzia Ross Ference LLP Ait Therapeutics Inc - S-1 7372 - Services - prepackaged software
  • Lincoln Park Capital Fund, LLC
Sidley Austin LLP Legacy Reserves Inc LGCY S-3 1311 - Crude petroleum & natural gas  
Simpson Thacher & Bartlett LLP Enven Energy Corp - S-1 1311 - Crude petroleum & natural gas
  • Citigroup Global Markets Inc.
  • J.P. Morgan Securities LLC
  • Stifel, Nicolaus and Company, Inc. / BMO Capital Markets Corp.
Skadden, Arps, Slate, Meagher & Flom LLP Government Properties Income Trust GOV S-4 6500 - Real estate  
Skadden, Arps, Slate, Meagher & Flom LLP Tencent Music Entertainment Group - F-1 4832 - Radio broadcasting stations
  • Deutsche Bank Securities Inc. / Goldman Sachs L.L.C. / J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Morgan Stanley & Co. LLC / Allen & Company LLC / BOCI Asia Ltd. / China International Capital Corp. Hong Kong Securities Ltd.
  • China Renaissance Securities Ltd. / Credit Suisse Securities LLC / HSBC Securities Inc. / KeyBanc Capital Markets Inc. / Stifel, Nicolaus & Company, Inc.
Skadden, Arps, Slate, Meagher & Flom LLP Xai Octagon Floating Rate & Alternative Income Term Trust XFLT N-2 6722 - Management investment offices, open-end  
Stradling Yocca Carlson & Rauth, P.C. Volitionrx Ltd VNRX S-3 2835 - In vitro & in vivo diagnostic substances  
Sullivan & Cromwell LLP Cim Commercial Trust Corp CMCT S-4 6798 - Real estate investment trusts  
Sullivan & Worcester LLP Government Properties Income Trust GOV S-4 6500 - Real estate  
Transportation Systems Holdings Inc. Transporation Systems Holdings Inc - 10-12G -  
Twist Bioscience Corp. Twist Bioscience Corp - S-1 2836 - Biological products, except diagnostic substances
  • J.P. Morgan Securities LLC
  • Cowen and Company, LLC
  • Allen & Company LLC / Robert W. Baird & Co. Inc.
Vinson & Elkins L.L.P. Oasis Midstream Partners Lp OMP S-3 1381 - Drilling oil & gas wells  
Walkers Alberton Acquisition Corp - S-1 6770 - Blank check
  • Chardan Capital Markets LLC
White & Case LLP Dlp Payments Holdings Ltd - F-1 7374 - Services - computer processing & data preparation
  • Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
  • Citigroup Global Markets Inc. / Itau BBA USA Securities, Inc. / Credit Suisse Securities LLC
  • Morgan Stanley & Co. LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Banco BTG Pactual S.A.–Cayman Branch
White and Williams LLP Alberton Acquisition Corp - S-1 6770 - Blank check
  • Chardan Capital Markets LLC
Williams Securities Law Firm, P.A. Shiftpixy Inc PIXY S-3 7361 - Services - employment agencies  
Wilson Sonsini Goodrich & Rosati PC Avinger Inc AVGR S-1 3841 - Surgical & medical instruments & apparatus
  • Ladenburg Thalmann & Co. Inc.
Windels Marx Lane & Mittendorf LLP Lakeland Bancorp Inc LBAI S-4 6022 - State commercial banks  
Windels Marx Lane & Mittendorf, LLP Sb One Bancorp SBBX S-4 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices  
Wyrick Robbins Yates & Ponton LLP Arcimoto Inc FUV S-3 3751 - Motorcycles, bicycles & parts  

 

Toppan Vintage

Toppan Vintage is a leading international financial printing, communications and technology company dedicated to delivering a hassle-free experience with the highest quality accuracy, reliability and value for your organization’s financial printing and communications needs.

toppanvintage.com

Show more posts from author

Subscribe to the Toppan Vite Blog

Most Popular Articles

2018 SEC REPORTING RULES GUIDEBOOKS - PRE-ORDER FREE SET

Order now.  

2018 SEC FILING CALENDAR - DOWNLOAD NOW

Download the 2018 SEC Filing Calendar here.  

2018 MUTUAL FUND & ETF FILING DATES - DOWNLOAD NOW

Download the 2018 Mutual Fund & ETF Filing Dates here.  

2018 ETF HANDBOOK - DOWNLOAD NOW

Download the 2018 ETF Handbook here.

 

UNICORNS: WHAT WILL HAPPEN OVER THE NEXT 12 MONTHS?

Get your free whitepaper here

ANNUAL COMPLIANCE SUBSCRIPTION PACKAGE 

Click here to learn more about which XBRL service option best fits your team's business requirements and work standards.

Latest Blogs