Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: August 28 - September 1

There were 48 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Sol-Gel Technologies Ltd w/ Covington & Burling LLP, Gornitzky & Co., Gross, Kleinhendler, Hodak, Halevy, Greenberg & Co., and Latham & Watkins LLP, United Community Banks Inc. w/ Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P. and Troutman Sanders LLP, Protea Biosciences Group Inc. w/ CKR Law LLP, Terracycle Us Inc w/ KHLK LLP, Ambow Education Holding Ltd w/ Loeb & Loeb LLP, Protea Biosciences Group Inc. w/ Sichenzia Ross Ference Kesner LLP, Limbach Holdings Inc. w/ Winston & Strawn 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 Underwriter 2 Underwriter 3 +
Kilpatrick Townsend & Stockton LLP Bluelinx Holdings Inc BXC S-3 5031 - Wholesale - lumber, plywood, millwork & wood panels - - -
Schulte Roth & Zabel LLP Bluelinx Holdings Inc BXC S-3 5031 - Wholesale - lumber, plywood, millwork & wood panels - - -
Akerman LLP Rumbleon Inc SVTZ S-1 7371 - Services - computer programming services Roth Capital Partners, LLC - -
Troutman Sanders LLP Rumbleon Inc SVTZ S-1 7371 - Services - computer programming services Roth Capital Partners, LLC - -
McDermott Will & Emery LLP Enzo Biochem Inc ENZ S-3 8071 - Services - medical laboratories Cantor Fitzgerald & Co. - -
Clyde Snow & Sessions, PC Premier Biomedical Inc BIEI S-1 2836 - Biological products, except diagnostic substances - - -
Thomas C. Pritchard, P.C. Advanced Environmental Petroleum Producers - S-1 8742 - Services - management consulting services - - -
Emerson Equity LLC Gwg Holdings Inc GWGH S-1 6311 - Life insurance - - -
GWG Holdings, Inc. Gwg Holdings Inc GWGH S-1 6311 - Life insurance - - -
King & Spalding LLP Nextdecade Corp NEXT S-3 6770 - Blank check - - -
Maslon LLP Gwg Holdings Inc GWGH S-1 6311 - Life insurance - - -
Mitchell Silberberg & Knupp, LLP Peninsula Acquisition Corp - 10-12G - - - -
Securities-Law.info American Energy Partners Inc - 1-A - - - -
Resource Credit Income Fund Resource Real Estate Diversified Income Fund RREDX N-2 - ALPS Distributors, Inc. - -
Thompson Hine LLP Resource Real Estate Diversified Income Fund RREDX N-2 - ALPS Distributors, Inc. - -
KHLK LLP Hylete - 1-A - - - -
Pearlman Law Group LLP Inuvo Inc INUV S-3 7310 - Services - advertising - - -
Pearlman Law Group LLP Inuvo Inc INUV S-3 7310 - Services - advertising - - -
Cooley LLP Ipass Inc IPAS S-3 7374 - Services - computer processing & data preparation - - -
Baker Botts L.L.P. Liberty Interactive Corp QVCA S-4 5961 - Retail - catalog & mail-order houses - - -
Cooley LLP Protagonist Therapeutics Inc PTGX S-3 2834 - Pharmaceutical preparations Cantor Fitzgerald & Co. - -
Davis Polk & Wardwell LLP Liberty Interactive Corp QVCA S-4 5961 - Retail - catalog & mail-order houses - - -
HSN, Inc. Liberty Interactive Corp QVCA S-4 5961 - Retail - catalog & mail-order houses - - -
Kirkland& Ellis International LLP Ryb Education Inc - F-1 8200 - Services - educational services Credit Suisse Securities LLC Morgan Stanley & Co. International PLC China International Capital Corporation Hong Kong Securities Ltd.
Loeb & Loeb LLP Iteris Inc ITI S-3 3669 - Communications equipment, not elsewhere classified - - -
Reed Smith LLP Jaguar Health Inc JAGX S-3 2834 - Pharmaceutical preparations - - -
Skadden, Arps, Slate, Meagher & Flom LLP Ryb Education Inc - F-1 8200 - Services - educational services Credit Suisse Securities LLC Morgan Stanley & Co. International PLC China International Capital Corporation Hong Kong Securities Ltd.
Honigman Miller Schwartz and Cohn LLP Gemphire Therapeutics Inc GEMP S-3 2834 - Pharmaceutical preparations Piper Jaffray & Co. - -
McAfee & Taft PC Guaranty Bancorp GBNK S-4 6022 - State commercial banks - - -
Pillsbury Winthrop Shaw Pittman LLP Upland Software Inc UPLD S-3 7372 - Services - prepackaged software - - -
Shapiro Bieging Barber Otteson LLP Guaranty Bancorp GBNK S-4 6022 - State commercial banks - - -
NanoString Technologies, Inc. Nanostring Technologies Inc NSTG S-3 2836 - Biological products, except diagnostic substances - - -
Wilson Sonsini Goodrich & Rosati, PC Nanostring Technologies Inc NSTG S-3 2836 - Biological products, except diagnostic substances - - -
McGuireWoods LLP Airborne Wireless Network ATLW S-1 5961 - Retail - catalog & mail-order houses - - -
Sichenzia Ross Ference Kesner LLP Airborne Wireless Network ATLW S-1 5961 - Retail - catalog & mail-order houses - - -
Baker, Donelson, Bearman, Caldwell & Berkowitz, PC Franklin Financial Network Inc FSB S-3 6022 - State commercial banks - - -
Cooley LLP Nightstar Therapeutics Ltd - F-1 2836 - Biological products, except diagnostic substances Jefferies LLC Leerink Partners LLC / BMO Capital Markets Corp. Wedbush Securities Inc. / Chardan Capital Markets
Cooley LLP Nucana Biomed Ltd - F-1 2834 - Pharmaceutical preparations Citigroup Global Markets Inc. Jefferies LLC Cowen and Company, LLC / William Blair & Company, L.L.C.
Cooley LLP Roku Inc - S-1 4841 - Cable & other pay television services Morgan Stanley & Co. LLC / Citigroup Global Markets Inc. Allen & Company LLC / RBC Capital Markets, LLC Needham & Company, LLC / Oppenheimer & Co. Inc. / William Blair & Company, L.L.C.
Covington & Burling LLP Nightstar Therapeutics Ltd - F-1 2836 - Biological products, except diagnostic substances Jefferies LLC Leerink Partners LLC / BMO Capital Markets Corp. Wedbush Securities Inc. / Chardan Capital Markets
Davis Polk & Wardwell LLP Deciphera Pharmaceuticals Llc - S-1 2834 - Pharmaceutical preparations J.P. Morgan Securities LLC Piper Jaffray & Co. JMP Securities LLC / Nomura Securities International, Inc.
Davis Polk & Wardwell LLP Roku Inc - S-1 4841 - Cable & other pay television services Morgan Stanley & Co. LLC / Citigroup Global Markets Inc. Allen & Company LLC / RBC Capital Markets, LLC Needham & Company, LLC / Oppenheimer & Co. Inc. / William Blair & Company, L.L.C.
Goodwin Procter LLP Deciphera Pharmaceuticals Llc - S-1 2834 - Pharmaceutical preparations J.P. Morgan Securities LLC Piper Jaffray & Co. JMP Securities LLC / Nomura Securities International, Inc.
Goodwin Procter LLP Tpi Composites Inc TPIC S-3 3511 - Steam, gas & hydraulic turbines & turbine generator set units - - -
Latham & Watkins LLP Medpace Holdings Inc MEDP S-3 8731 - Services - commercial physical & biological research - - -
Latham & Watkins LLP Restoration Robotics Inc - S-1 3841 - Surgical & medical instruments & apparatus National Securities Corp. Roth Capital Partners, LLC Craig-Hallum Capital Group LLC
Lowenstein Sandler LLP Restoration Robotics Inc - S-1 3841 - Surgical & medical instruments & apparatus National Securities Corp. Roth Capital Partners, LLC Craig-Hallum Capital Group LLC
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Nucana Biomed Ltd - F-1 2834 - Pharmaceutical preparations Citigroup Global Markets Inc. Jefferies LLC Cowen and Company, LLC / William Blair & Company, L.L.C.
NuCana PLC Nucana Biomed Ltd - F-1 2834 - Pharmaceutical preparations Citigroup Global Markets Inc. Jefferies LLC Cowen and Company, LLC / William Blair & Company, L.L.C.
OceanFirst Financial Corp. Oceanfirst Financial Corp OCFC S-4 6035 - Savings institutions, federally chartered - - -
Paul Hastings LLP Caredx Inc CDNA S-1 8071 - Services - medical laboratories - - -
Roku, Inc. Roku Inc - S-1 4841 - Cable & other pay television services Morgan Stanley & Co. LLC / Citigroup Global Markets Inc. Allen & Company LLC / RBC Capital Markets, LLC Needham & Company, LLC / Oppenheimer & Co. Inc. / William Blair & Company, L.L.C.
Simpson Thacher & Bartlett LLP Apx Group Inc - S-4 7380 - Services - miscellaneous business services (SIC);7381 - Services - detective, guard & armored car services (SIC) - - -
Skadden, Arps, Slate, Meagher & Flom LLP Oceanfirst Financial Corp OCFC S-4 6035 - Savings institutions, federally chartered - - -
Skadden, Arps, Slate, Meagher & Flom LLP Blackrock Multi-Sector Opportunities Trust Series I - N-2 - - - -
Sullivan & Cromwell LLP Tcw Direct Lending Vii Llc - 10-12G - - - -
Sun Bancorp, Inc. Oceanfirst Financial Corp OCFC S-4 6035 - Savings institutions, federally chartered - - -
TCW Group, Inc. Tcw Direct Lending Vii Llc - 10-12G - - - -
The Gabelli Equity Trust Inc. Gabelli Equity Trust Inc GAB N-2 6730 - Trusts - - -
Vorys, Sater, Seymour and Pease LLP M/I Homes Inc MHO S-4 1531 - Operative builders - - -
Wachtell, Lipton, Rosen & Katz Oceanfirst Financial Corp OCFC S-4 6035 - Savings institutions, federally chartered - - -
Willkie Farr & Gallagher LLP Gabelli Equity Trust Inc GAB N-2 6730 - Trusts - - -
JMS Law Group, PLLC Yappa World Inc - S-1 - - - -
Legal & Compliance, LLC. Shantiniketan International Corp - 1-A - - - -
Libertas Law Group, Inc. Giggles N' Hugs Inc GIGL S-1 5810 - Retail - eating & drinking places - - -
Covington & Burling LLP Sol-Gel Technologies Ltd - F-1 2834 - Pharmaceutical preparations Jefferies LLC BMO Capital Markets Corp. JMP Securities LLC / Raymond James & Associates, Inc.
Gornitzky & Co. Sol-Gel Technologies Ltd - F-1 2834 - Pharmaceutical preparations Jefferies LLC BMO Capital Markets Corp. JMP Securities LLC / Raymond James & Associates, Inc.
Gross, Kleinhendler, Hodak, Halevy, Greenberg & Co. Sol-Gel Technologies Ltd - F-1 2834 - Pharmaceutical preparations Jefferies LLC BMO Capital Markets Corp. JMP Securities LLC / Raymond James & Associates, Inc.
Latham & Watkins LLP Sol-Gel Technologies Ltd - F-1 2834 - Pharmaceutical preparations Jefferies LLC BMO Capital Markets Corp. JMP Securities LLC / Raymond James & Associates, Inc.
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P. United Community Banks Inc UCBI S-4 6022 - State commercial banks - - -
Troutman Sanders LLP United Community Banks Inc UCBI S-4 6022 - State commercial banks - - -
CKR Law LLP Protea Biosciences Group Inc PRGB S-1 2834 - Pharmaceutical preparations Laidlaw & Co. - -
KHLK LLP Terracycle Us Inc - 1-A - - - -
Loeb & Loeb LLP Ambow Education Holding Ltd - F-1 8200 - Services - educational services - - -
Sichenzia Ross Ference Kesner LLP Protea Biosciences Group Inc PRGB S-1 2834 - Pharmaceutical preparations Laidlaw & Co. - -
Winston & Strawn LLP Limbach Holdings Inc LMB S-3 6770 - Blank check - - -

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