Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: August 14 - 18

There were 34 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Southside Bancshares Inc. w/ Alston & Bird, LLP & Fenimore, Kay, Harrison & Ford, LLP, Biostage Inc. w/ Burns & Levinson LLP, Union Bankshares Corp. w/ Hunton & Williams LLP & Troutman Sanders LLP, To The Stars Academy Of Arts & Science Inc. w/ KHLK, 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.

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Account / Firm Company Name Symbol Form Type Industry Underwriter  Underwriter  Underwriter  
Hart & Hart CEL SCI CORP CVM S-1 2836 - Biological products, except diagnostic substances - - -
Drinker Biddle & Reath LLP ORINDA PREFERRED YIELD PLUS FUND - N-2 - Foreside Fund Services, LLC - -
V Financial Group, LLC ACASYS CAPITAL INC - S-1 - Hatadi Shapiro Supaat / President - -
Wilmer Cutler Pickering Hale and Dorr LLP ARGOS THERAPEUTICS INC ARGS S-3 2834 - Pharmaceutical preparations - - -
Greenberg Traurig, LLP HINES GLOBAL REIT II INC - S-11 6798 - Real estate investment trusts - - -
Sichenzia Ross Ference Kesner LLP BIOPHARMX CORP BPMX S-3 2834 - Pharmaceutical preparations - - -
Andrews Kurth Kenyon LLP CHENIERE ENERGY PARTNERS LIMITED PARTNERSHIP CQP S-3 4924 - Natural gas distribution - - -
Barnes & Thornburg LLP HORIZON BANCORP HBNC S-4 6021 - National commercial banks - - -
Cravath, Swaine & Moore LLP CINCINNATI BELL INC CBB S-4 4813 - Telephone communications, except radiotelephone - - -
Davis Polk & Wardwell LLP ZAI LAB LTD - F-1 2834 - Pharmaceutical preparations J.P. Morgan Securities LLC Citigroup Global Markets Inc. Leerink Partners LLC
Fate Therapeutics, Inc. FATE THERAPEUTICS INC FATE S-3 2836 - Biological products, except diagnostic substances - - -
Gibson, Dunn & Crutcher LLP CINCINNATI BELL INC CBB S-4 4813 - Telephone communications, except radiotelephone - - -
Gibson, Dunn & Crutcher LLP RXI PHARMACEUTICALS CORP RXII S-1 2834 - Pharmaceutical preparations Lincoln Park Capital Fund, LLC - -
Goodwin Procter LLP FATE THERAPEUTICS INC FATE S-3 2836 - Biological products, except diagnostic substances - - -
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP DESPEGAR.COM CORP - F-1 4700 - Transportation services Morgan Stanley & Co. LLC / Citigroup Global Markets Inc. Itau BBA USA Securities, Inc. / UBS Securities LLC Cowen and Company, LLC / KeyBanc Capital Markets Inc.
Hartzog Conger Cason & Neville EQUITY BANCSHARES INC EQBK S-4 6022 - State commercial banks - - -
Hawaiian Telcom Holdco, Inc. CINCINNATI BELL INC CBB S-4 4813 - Telephone communications, except radiotelephone - - -
Invitae Corporation INVITAE CORP NVTA S-3 8071 - Services - medical laboratories - - -
Invitae Corporation INVITAE CORP NVTA S-3 8071 - Services - medical laboratories - - -
Latham & Watkins LLP CYTORI THERAPEUTICS INC CYTX S-1 3841 - Surgical & medical instruments & apparatus - - -
Latham & Watkins LLP CONATUS PHARMACEUTICALS INC CNAT S-3 2834 - Pharmaceutical preparations - - -
Latham & Watkins LLP WEATHERFORD INTERNATIONAL LTD WFT S-4 3533 - Oil & gas field machinery & equipment - - -
Luse Gorman, PC HORIZON BANCORP HBNC S-4 6021 - National commercial banks - - -
McAfee & Taft, PC EQUITY BANCSHARES INC EQBK S-4 6022 - State commercial banks - - -
Norton Rose Fulbright LLP EQUITY BANCSHARES INC EQBK S-4 6022 - State commercial banks - - -
Norton Rose Fulbright LLP EQUITY BANCSHARES INC EQBK S-4 6022 - State commercial banks - - -
Pillsbury Winthrop Shaw Pittman LLP TECHPOINT INC - S-1 3674 - Semiconductors & related devices Mizuho Securities Co., Ltd. - -
Pillsbury Winthrop Shaw Pittman LLP INVITAE CORP NVTA S-3 8071 - Services - medical laboratories - - -
Pillsbury Winthrop Shaw Pittman LLP INVITAE CORP NVTA S-3 8071 - Services - medical laboratories - - -
Ropes & Gray LLP NEXPOINT CREDIT STRATEGIES FUND NHF N-2 6199 - Finance services - - -
Ropes & Gray LLP ZAI LAB LTD - F-1 2834 - Pharmaceutical preparations J.P. Morgan Securities LLC Citigroup Global Markets Inc. Leerink Partners LLC
Simpson Thacher & Bartlett LLP DESPEGAR.COM CORP - F-1 4700 - Transportation services Morgan Stanley & Co. LLC / Citigroup Global Markets Inc. Itau BBA USA Securities, Inc. / UBS Securities LLC Cowen and Company, LLC / KeyBanc Capital Markets Inc.
Stevens & Lee, P.C. MID PENN BANCORP INC MPB S-4 6022 - State commercial banks - - -
Tucker Arensberg, P.C. MID PENN BANCORP INC MPB S-4 6022 - State commercial banks - - -
Zai Lab Ltd. ZAI LAB LTD - F-1 2834 - Pharmaceutical preparations J.P. Morgan Securities LLC Citigroup Global Markets Inc. Leerink Partners LLC
Cooley LLP BIOCEPT INC BIOC S-3 8071 - Services - medical laboratories - - -
Lowenstein Sandler LLP MALVERN BANCORP INC MLVF S-3 6712 - Offices of bank holding companies - - -
Globex Transfer, LLC GUSHEN INC - 10-12G 7363 - Services - help supply services - - -
Shearman & Sterling LLP MILLER/HOWARD HIGH INCOME EQUITY FUND HIE N-2 6199 - Finance services - - -
Wilson Sonsini Goodrich & Rosati, PC SOCKET MOBILE INC SCKT S-3 3571 - Electronic computers - - -
Ropes & Gray LLP TIPTREE INC TIPT S-1 6798 - Real estate investment trusts - - -
Alston & Bird, LLP SOUTHSIDE BANCSHARES INC SBSI S-4 6022 - State commercial banks - - -
Fenimore, Kay, Harrison & Ford, LLP SOUTHSIDE BANCSHARES INC SBSI S-4 6022 - State commercial banks - - -
Burns & Levinson LLP BIOSTAGE INC BSTG S-1 2836 - Biological products, except diagnostic substances - - -
Hunton & Williams LLP UNION BANKSHARES CORP UBSH S-4 6022 - State commercial banks - - -
KHLK, LLP TO THE STARS ACADEMY OF ARTS & SCIENCE INC - 1-A 7819 - Services - allied to motion picture production - - -
Troutman Sanders LLP UNION BANKSHARES CORP UBSH S-4 6022 - State commercial banks - - -
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. YIELD10 BIOSCIENCE INC YTEN S-1 3080 - Miscellaneous plastics products - - -

 

We’re pleased to share some exciting news with you: Toppan Vite announced a strategic rebrand to 'Toppan Vintage,’ reflecting its recent acquisition of Vintage and its plans for future international growth and expansion to solidify our status as one of the world’s top financial printing, communications and technology companies. Visit our website to learn more: Toppan Vintage

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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.

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