Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: August 21 - 25

There were 51 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Celcuity LLC w/ Faegre Baker Daniels LLP, Celcuity LLC w/ Fredrikson & Byron, P.A., Red Mountain Ventures Limited Partnership w/ Alliance Legal Partners, Cottonwood Multifamily Development Reit I Inc w/ Goodwin Procter LLP, Social Capital Hedosophia Holdings Corp. w/ Shearman & Sterling LLP, Social Capital Hedosophia Holdings Corp. w/ Skadden, Arps, Slate, Meagher & Flom 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 1
Brooks, Pierce, McLendon, Humphrey& Leonard, L.L.P. ENTEGRA FINANCIAL CORP ENFC S-4 6036 - Savings institutions, not federally chartered -
Nelson Mullins Riley & Scarborough, LLP ENTEGRA FINANCIAL CORP ENFC S-4 6036 - Savings institutions, not federally chartered -
Procopio, Cory, Hargreaves & Savitch LLP AXIM BIOTECHNOLOGIES INC AXIM S-3 4953 - Refuse systems -
Latham & Watkins LLP APRICUS BIOSCIENCES INC APRI S-3 2834 - Pharmaceutical preparations -
Axelrod, Smith & Kirshbaum TORCHLIGHT ENERGY RESOURCES INC TRCH S-3 1311 - Crude petroleum & natural gas -
LHI Acquisition Corporation LHI ACQUISITION CORP - 10-12G - -
Ellenoff Grossman & Schole LLP DRAPER OAKWOOD TECHNOLOGY ACQUISITION INC - S-1 6770 - Blank check EarlyBirdCapital, Inc.
Flaster Greenberg P.C. PROPERTY INCOME TRUST LLC - 1-A 6500 - Real estate -
Graubard Miller DRAPER OAKWOOD TECHNOLOGY ACQUISITION INC - S-1 6770 - Blank check EarlyBirdCapital, Inc.
Dechert LLP RIVERNORTH OPPORTUNITIES FUND INC RIV N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices -
V Financial Group, LLC AGAPE ATP CORP - S-1 - -
AngioGenex, Inc. ANGIOGENEX INC AGGX 10-12G 2834 - Pharmaceutical preparations -
Bryan Cave LLP GRAYBAR ELECTRIC CO INC 1737B S-1 5063 - Wholesale - electrical apparatus & equipment, wiring supplies -
Bank Mutual Corporation ASSOCIATED BANC-CORP ASB S-4 6022 - State commercial banks -
Clifford Chance SECOO HOLDING LTD - F-1 5990 - Retail - retail stores, not elsewhere classified Jefferies LLC
Faegre Baker Daniels LLP TACTILE SYSTEMS TECHNOLOGY INC TCMD S-3 3841 - Surgical & medical instruments & apparatus -
Quarles & Brady LLP ASSOCIATED BANC-CORP ASB S-4 6022 - State commercial banks -
Skadden, Arps, Slate, Meagher & Flom LLP SECOO HOLDING LTD - F-1 5990 - Retail - retail stores, not elsewhere classified Jefferies LLC
Wachtell, Lipton, Rosen & Katz ASSOCIATED BANC-CORP ASB S-4 6022 - State commercial banks -
Holland & Knight LLP EMERGENT CAPITAL INC EMG S-1 6311 - Life insurance -
Pruco Life Insurance Company PRUCO LIFE INSURANCE CO - S-3 6311 - Life insurance Prudential Annuities Distributors, Inc.
Pruco Life Insurance Company PRUCO LIFE INSURANCE CO - S-3 6311 - Life insurance Prudential Annuities Distributors, Inc.
Pruco Life Insurance Company PRUCO LIFE INSURANCE CO - S-3 6311 - Life insurance Prudential Annuities Distributors, Inc.
Pruco Life Insurance Company PRUCO LIFE INSURANCE CO - S-3 6311 - Life insurance Prudential Annuities Distributors, Inc.
Pruco Life Insurance Company of New Jersey PRUCO LIFE INSURANCE OF NEW JERSEY - S-3 6311 - Life insurance Prudential Annuities Distributors, Inc.
Pruco Life Insurance Company of New Jersey PRUCO LIFE INSURANCE OF NEW JERSEY - S-3 6311 - Life insurance Prudential Annuities Distributors, Inc.
Pruco Life Insurance Company of New Jersey PRUCO LIFE INSURANCE OF NEW JERSEY - S-3 6311 - Life insurance Prudential Annuities Distributors, Inc.
Pruco Life Insurance Company of New Jersey PRUCO LIFE INSURANCE OF NEW JERSEY - S-3 6311 - Life insurance Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Prudential Annuities Life Assurance Corporation PRUDENTIAL ANNUITIES LIFE ASSURANCE CORP - S-3 6399 - Insurance carriers, not elsewhere classified Prudential Annuities Distributors, Inc.
Graubard Miller CPI AEROSTRUCTURES INC CVU S-3 3728 - Aircraft parts & auxiliary equipment, not elsewhere classified -
Andrews Kurth Kenyon LLP ANDEAVOR LOGISTICS LIMITED PARTNERSHIP ANDX S-4 4610 - Pipelines, except natural gas -
Bracewell LLP ANDEAVOR LOGISTICS LIMITED PARTNERSHIP ANDX S-4 4610 - Pipelines, except natural gas -
Goodwin Procter LLP KRYSTAL BIOTECH INC - S-1 2836 - Biological products, except diagnostic substances Ladenburg Thalmann & Co. Inc.
Latham & Watkins LLP ANDEAVOR LOGISTICS LIMITED PARTNERSHIP ANDX S-4 4610 - Pipelines, except natural gas -
McDermott Will & Emery LLP HAMILTON BEACH BRANDS HOLDING CO - S-1 3634 - Electric housewares & fans -
McGrath North Mullin & Kratz, PC LLO CONDOR HOSPITALITY TRUST INC CDOR S-3 6798 - Real estate investment trusts -
Morgan, Lewis & Bockius LLP NUVEEN MUNICIPAL HIGH INCOME OPPORTUNITY FUND NMZ N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices Nuveen Securities, LLC
Morrison & Foerster LLP KRYSTAL BIOTECH INC - S-1 2836 - Biological products, except diagnostic substances Ladenburg Thalmann & Co. Inc.
Paul Hastings LLP CAREDX INC CDNA S-1 8071 - Services - medical laboratories -
Vinson & Elkins L.L.P. ANDEAVOR LOGISTICS LIMITED PARTNERSHIP ANDX S-4 4610 - Pipelines, except natural gas -
Geraci Law Firm CF FUND II LLC - 1-A 6153 - Short-term business credit institutions, except agricultural -
Ellenoff Grossman & Schole LLP TEARLAB CORP TEAR S-1 3841 - Surgical & medical instruments & apparatus -
Libertas Law Group, Inc. REED'S INC REED S-1 2086 - Bottled & canned soft drinks & carbonated waters -
TearLab Corp. TEARLAB CORP TEAR S-1 3841 - Surgical & medical instruments & apparatus -
Wilson Sonsini Goodrich & Rosati, PC TEARLAB CORP TEAR S-1 3841 - Surgical & medical instruments & apparatus -
Axium Pharmaceuticals, Inc. AXIUM PHARMACEUTICALS INC - S-1 - -
Luse Gorman, PC DIME COMMUNITY BANCSHARES INC DCOM S-3 6035 - Savings institutions, federally chartered -
Faegre Baker Daniels LLP CELCUITY LLC - S-1 8071 - Services - medical laboratories Craig-Hallum Capital Group LLC
Fredrikson & Byron, P.A. CELCUITY LLC - S-1 8071 - Services - medical laboratories Craig-Hallum Capital Group LLC
Alliance Legal Partners RED MOUNTAIN VENTURES LIMITED PARTNERSHIP - 1-A - -
Goodwin Procter LLP COTTONWOOD MULTIFAMILY DEVELOPMENT REIT I INC - 1-A 6798 - Real estate investment trusts Orchard Securities, LLC
Shearman & Sterling LLP SOCIAL CAPITAL HEDOSOPHIA HOLDINGS CORP - S-1 6770 - Blank checks Credit Suisse Securities LLC
Skadden, Arps, Slate, Meagher & Flom LLP SOCIAL CAPITAL HEDOSOPHIA HOLDINGS CORP - S-1 6770 - Blank checks Credit Suisse Securities LLC

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