Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: October 29 - November 2

There were 39 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Orthopediatrics Corp w/ Bingham Greenebaum Doll LLP, First Keystone Corp w/ Bybel Rutledge LLP, Guardion Health Sciences Inc w/ Carmel, Milazzo & DiChiara LLP, Agile Therapeutics Inc w/ Morgan, Lewis & Bockius LLP, Orthopediatrics Corp w/ OrthoPediatrics Corp., Bionik Laboratories Corp w/ Ruskin Moscou Faltischek, P.C., Bionik Laboratories Corp w/ Schiff Hardin LLP, Guardion Health Sciences Inc w/ Sheppard, Mullin, Richter & Hampton LLP, Marker Therapeutics Inc w/ Shumaker, Loop & Kendrick, LLP, Equitrans Midstream Corp w/ Wachtell, Lipton, Rosen & Katz, Equitrans Midstream Corp w/ Wachtell, Lipton, Rosen & Katz.

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
Baker Botts L.L.P. Shell Midstream Partners L.P. SHLX S-3 4619 - Pipelines, not elsewhere classified  
Ballard Spahr LLP Eagle Bancorp Montana Inc EBMT S-4 6035 - Savings institutions, federally chartered  
Bingham Greenebaum Doll LLP Orthopediatrics Corp KIDS S-3 3841 - Surgical & medical instruments & apparatus  
Bybel Rutledge LLP First Keystone Corp FKYS S-3 6022 - State commercial banks  
Carmel, Milazzo & DiChiara LLP Guardion Health Sciences Inc - S-1 2834 - Pharmaceutical preparations
  • WallachBeth Capital, LLC
Cooley LLP Airxpanders Inc - S-1 5047 - Wholesale - medical, dental & hospital equipment & supplies  
EAD Law Group, LLC As Capital Inc RIGI 10-12G 6331 - Fire, marine & casualty insurance  
EAD Law Group, LLC Fortuneswell Corp - S-1 6770 - Blank check  
Frank J. Hariton, Esq. Ndn Bv Inc - 1-A -  
Gross, Kleinhendler, Hodak, Halevy, Greenberg & Co. Collplant Holdings Ltd CLGN F-1 3842 - Orthopedic, prosthetic & surgical appliances & supplies  
Gutiérrez Bergman Boulris, PLLC Sansal Wellness Holdings Inc - S-1 5180 - Wholesale - beer, wine & distilled alcoholic beverages  
Helomics Holding Corp. Precision Therapeutics Inc SKLN S-4 3842 - Orthopedic, prosthetic & surgical appliances & supplies  
Hogan Lovells US LLP Optinose Inc OPTN S-3 2834 - Pharmaceutical preparations  
Husch Blackwell LLP Corenergy Infrastructure Trust Inc CORR S-3 6798 - Real estate investment trusts  
Jackson L. Morris, Esq. 10Sion Holdings Inc - S-1 -  
Jones Walker LLP Tidewater Inc TDW S-1 4400 - Water transportation  
K&L Gates LLP Highland Floating Rate Opportunities Fund HFRO N-2 -
  • Highland Capital Funds Distributor, Inc.
Law Offices of Barnett & Linn Natural Health Farm Holdings Inc - S-1 7374 - Services - computer processing & data preparation
  • GHS Investments LLC
Libertas Law Group, Inc. Barfresh Food Group Inc BRFH S-1 2030 - Canned, frozen & preservd fruit, veg & food spec.  
Loeb & Loeb LLP Chinanet Online Holdings Inc CNET S-3 7311 - Services - advertising agencies  
MagneGas Applied Technology Solutions, Inc. Magnegas Applied Technology Solutions Inc MNGA S-3 3559 - Special industry machinery, not elsewhere classified  
Maslon LLP Precision Therapeutics Inc SKLN S-4 3842 - Orthopedic, prosthetic & surgical appliances & supplies  
McDermott Will & Emery LLP Collplant Holdings Ltd CLGN F-1 3842 - Orthopedic, prosthetic & surgical appliances & supplies  
Morgan, Lewis & Bockius LLP Agile Therapeutics Inc AGRX S-3 2834 - Pharmaceutical preparations  
Morgan, Lewis & Bockius LLP Nuveen Core Equity Alpha Fund JCE N-2 6799 - Investors, not elsewhere classified
  • Nuveen Securities, LLC
Nelson Mullins Riley & Scarborough LLP Park National Corp PRK S-4 6021 - National commercial banks  
Nixon Peabody LLP Eagle Bancorp Montana Inc EBMT S-4 6035 - Savings institutions, federally chartered  
OptiNose, Inc. Optinose Inc OPTN S-3 2834 - Pharmaceutical preparations  
OrthoPediatrics Corp. Orthopediatrics Corp KIDS S-3 3841 - Surgical & medical instruments & apparatus  
Pandora Media, Inc. Sirius Xm Holdings Inc SIRI S-4 4832 - Radio broadcasting stations  
PunchFlix, Inc. Punchflix Inc - 1-A -  
Ropes & Gray LLP Microvision Inc MVIS S-3 3679 - Electronic components, not elsewhere classified  
Ropes & Gray LLP Pimco Energy & Tactical Credit Opportunities Fund - N-2 -  
Ropes & Gray LLP Pimco Flexible Credit Income Fund - N-2 -
  • PIMCO Investments LLC
Ruskin Moscou Faltischek, P.C. Bionik Laboratories Corp DWTP S-1 3842 - Orthopedic, prosthetic & surgical appliances & supplies
  • WestPark Capital, Inc.
Schiff Hardin LLP Bionik Laboratories Corp DWTP S-1 3842 - Orthopedic, prosthetic & surgical appliances & supplies
  • WestPark Capital, Inc.
Schiff Hardin LLP Precision Therapeutics Inc SKLN S-4 3842 - Orthopedic, prosthetic & surgical appliances & supplies  
Sharing Services, Inc. Sharing Services Inc - 10-12G 7374 - Services - computer processing & data preparation  
Sheppard, Mullin, Richter & Hampton LLP Guardion Health Sciences Inc - S-1 2834 - Pharmaceutical preparations
  • WallachBeth Capital, LLC
Shumaker, Loop & Kendrick, LLP Marker Therapeutics Inc MRKR S-3 2834 - Pharmaceutical preparations  
Sichenzia Ross Ference LLP Hash Labs Inc 6MIA S-1 7372 - Services - prepackaged software  
Sidley Austin LLP Sirius Xm Holdings Inc SIRI S-4 4832 - Radio broadcasting stations  
Simpson Thacher & Bartlett LLP Sirius Xm Holdings Inc SIRI S-4 4832 - Radio broadcasting stations  
Squire Patton Boggs LLP Park National Corp PRK S-4 6021 - National commercial banks  
The Doney Law Firm Cleanspark Inc SRTN S-3 6770 - Blank check  
V Financial Group, LLC Wiseman Global Ltd - S-1 -  
Vinson & Elkins L.L.P. Lsb Industries Inc LXU S-3 2810 - Industrial inorganic chemicals  
Wachtell, Lipton, Rosen & Katz Equitrans Midstream Corp ETRN$ S-1 4922 - Natural gas transmission  
Wachtell, Lipton, Rosen & Katz Equitrans Midstream Corp ETRN$ S-1 4922 - Natural gas transmission  
Weil, Gotshal & Manges LLP Tidewater Inc TDW S-1 4400 - Water transportation  
Woods Lonergan PLLC Kinerjapay Corp SFEX S-1 3674 - Semiconductors & related devices  

 

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