Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: December 11 - December 15

There were 49 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions servicesincluding First Bancshares Inc w/ Alston & Bird, LLP, Hennessy Advisors Inc w/ Foley & Lardner LLP, First Bancshares Inc w/ Jones Walker, LLP, Mdc Partners Inc w/ Simpson Thacher & Bartlett LLP, Mdc Partners Inc w/ Simpson Thacher & Bartlett LLP, Casi Pharmaceuticals Inc w/ Arnold & Porter Kaye Scholer LLP, Ampliphi Biosciences Corp w/ Cooley 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.

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

2018SECCALBanner.pngblog-1.png

 

Account / Firm Company Name Symbol Form Type Industry Underwriter 1 Underwriter 2 Underwriter 3 +
Norton Rose Fulbright US LLP Bg Staffing Inc BGSF S-3 7361 - Services - employment agencies - - -
Cooley LLP Chromadex Corp CDXC S-3 2833 - Medicinal chemicals & botanical products - - -
Ortoli Rosenstadt LLP Q Biomed Inc ISMT S-1 2834 - Pharmaceutical preparations Roth Capital Partners, LLC Brookline Capital Markets LLC -
Sichenzia Ross Ference Kesner LLP Mabvax Therapeutics Holdings Inc MBVX S-1 2834 - Pharmaceutical preparations - - -
Sichenzia Ross Ference Kesner LLP Q Biomed Inc ISMT S-1 2834 - Pharmaceutical preparations Roth Capital Partners, LLC Brookline Capital Markets LLC -
Michael A. Littman, Attorney at Law Tpt Global Tech Inc - S-1 - - - -
K&L Gates LLP John Hancock Investors Trust JHI N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices - - -
K&L Gates LLP John Hancock Tax-Advantaged Global Shareholder Yield Fund HTY N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices - - -
Baker Botts L.L.P. Delek Us Holdings Inc DK S-4 2911 - Petroleum refining - - -
Gardere Wynne Sewell LLP Delek Us Holdings Inc DK S-4 2911 - Petroleum refining - - -
Simpson Thacher & Bartlett LLP Tortoise Tax-Advantaged Essential Assets Interval Fund Inc - N-2 - - - -
Davidoff Hutcher & Citron, LLP Cosmos Holdings Inc PMLT S-1 5122 - Wholesale - drugs, drug proprietaries & druggists' sundries - - -
John D. Thomas, P.C. Regnum Corp - S-1 - - - -
iPic Entertainment Inc. Ipic Entertainment Inc - 1-A 5810 - Retail - eating & drinking places - - -
Pryor Cashman LLP Sino-Global Shipping America Ltd SINO S-3 4731 - Arrangement of transportation of freight & cargo - - -
The Doney Law Firm Aim Exploration Inc AEXE S-1 1099 - Miscellaneous metal ores, not elsewhere classified L2 Capital, LLC - -
John E. Lux, Esq. Kyn Capital Group Inc - 1-A - - - -
Cooley LLP Argenx Se ARGX F-1 2836 - Biological products, except diagnostic substances Cowen and Company, LLC Piper Jaffray & Co. JMP Securities LLC / Wedbush Securities Inc.
Freshfields Bruckhaus Deringer LLP Argenx Se ARGX F-1 2836 - Biological products, except diagnostic substances Cowen and Company, LLC Piper Jaffray & Co. JMP Securities LLC / Wedbush Securities Inc.
Goodwin Procter LLP Argenx Se ARGX F-1 2836 - Biological products, except diagnostic substances Cowen and Company, LLC Piper Jaffray & Co. JMP Securities LLC / Wedbush Securities Inc.
NautaDutilh N.V. Argenx Se ARGX F-1 2836 - Biological products, except diagnostic substances Cowen and Company, LLC Piper Jaffray & Co. JMP Securities LLC / Wedbush Securities Inc.
Shearman & Sterling LLP American Axle & Manufacturing Inc AXL S-4 3714 - Motor vehicle parts & accessories - - -
Andrews Kurth Kenyon LLP Ashford Inc AINC S-3 8742 - Services - management consulting services - - -
Eversheds Sutherland LLP Protective Life Insurance Co - S-3 6311 - Life insurance Investment Distributors, Inc. - -
Dechert LLP Ofi Carlyle Global Private Credit Fund - N-2 - OppenheimerFunds Distributor, Inc. - -
Sichenzia Ross Ference Kesner LLP Biotricity Inc - S-3 7373 - Services - computer integrated systems design - - -
Cooley LLP Aviragen Therapeutics Inc AVIR S-4 2836 - Biological products, except diagnostic substances - - -
Dechert LLP Aviragen Therapeutics Inc AVIR S-4 2836 - Biological products, except diagnostic substances - - -
Haynes and Boone, LLP Novabay Pharmaceuticals Inc NBY S-1 2834 - Pharmaceutical preparations H.C. Wainwright & Co., LLC - -
NovaBay Pharmaceuticals, Inc. Novabay Pharmaceuticals Inc NBY S-1 2834 - Pharmaceutical preparations H.C. Wainwright & Co., LLC - -
Squire Patton Boggs LLP Novabay Pharmaceuticals Inc NBY S-1 2834 - Pharmaceutical preparations H.C. Wainwright & Co., LLC - -
Thompson Hine LLP Navidea Biopharmaceuticals Inc NAVB S-3 2835 - In vitro & in vivo diagnostic substances - - -
Vaxart, Inc. Aviragen Therapeutics Inc AVIR S-4 2836 - Biological products, except diagnostic substances - - -
Acuity Advisors & CPAs Noble Advisors Llc - 1-A - - - -
Ballard Spahr LLP Transenterix Inc TRXC S-3 6770 - Blank check - - -
Barley Snyder LLP Noble Advisors Llc - 1-A - - - -
Bonanza Creek Energy, Inc. Sandridge Energy Inc SD S-4 1311 - Crude petroleum & natural gas - - -
Bowles Rice LLP Wesbanco Inc WSBC S-4 6021 - National commercial banks - - -
Dinsmore & Shohl LLP Peoples Bancorp Inc PEBO S-4 6021 - National commercial banks - - -
Dynegy Inc. Vistra Energy Corp VST S-4 4911 - Electric services - - -
K&L Gates LLP Wesbanco Inc WSBC S-4 6021 - National commercial banks - - -
Kilpatrick Townsend & Stockton LLP Kearny Financial Corp KRNY S-4 6035 - Savings institutions, federally chartered - - -
Kirkland & Ellis LLP Sandridge Energy Inc SD S-4 1311 - Crude petroleum & natural gas - - -
Kramer Levin Naftalis & Frankel LLP Vici Properties Inc - S-11 6798 - Real estate investment trusts Morgan Stanley & Co. LLC Goldman Sachs & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Inc.
Latham & Watkins LLP Smart Sand Inc SND S-3 1400 - Mining & quarrying nonmetallic minerals, except fuels - - -
Luse Gorman, PC Kearny Financial Corp KRNY S-4 6035 - Savings institutions, federally chartered - - -
Merrimack Pharmaceuticals, Inc. Merrimack Pharmaceuticals Inc MACK S-3 2834 - Pharmaceutical preparations Cowen and Company, LLC - -
Phillips, Gardill, Kaiser & Altmeyer, PLLC Wesbanco Inc WSBC S-4 6021 - National commercial banks - - -
Shearman & Sterling LLP Baker Hughes A Ge Company Limited Liability Co BHGE S-3 3533 - Oil & gas field machinery & equipment - - -
Sidley Austin LLP Vici Properties Inc - S-11 6798 - Real estate investment trusts Morgan Stanley & Co. LLC Goldman Sachs & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Inc.
Simpson Thacher & Bartlett LLP Vistra Energy Corp VST S-4 4911 - Electric services - - -
Skadden, Arps, Slate, Meagher & Flom LLP Vistra Energy Corp VST S-4 4911 - Electric services - - -
Vinson & Elkins LLP Sandridge Energy Inc SD S-4 1311 - Crude petroleum & natural gas - - -
Vorys, Sater, Seymour and Pease LLP Peoples Bancorp Inc PEBO S-4 6021 - National commercial banks - - -
Wilmer Cutler Pickering Hale and Dorr LLP Merrimack Pharmaceuticals Inc MACK S-3 2834 - Pharmaceutical preparations Cowen and Company, LLC - -
Vedder Price P.C. Graniteshares Etp Trust - S-1 - - - -
Sichenzia Ross Ference Kesner LLP Mabvax Therapeutics Holdings Inc MBVX S-1 2834 - Pharmaceutical preparations - - -
Hilburn, Calhoon, Harper, Pruniski & Calhoun, Ltd. Stone Bancshares Inc - 1-A 6022 - State commercial banks - - -
Hilburn, Calhoon, Harper, Pruniski & Calhoun, Ltd. Stone Bancshares Inc - 1-A 6022 - State commercial banks - - -
Cooley LLP Sunrun Inc RUN S-3 3433 - Heating equipment, except electric & warm air furnaces - - -
Gary R. Henrie, Esq. Cannabis Sativa Inc CBDS S-1 7231 - Services - Beauty shops - - -
Proskauer Rose LLP Tcg Bdc Inc CGBD N-2 6722 - Management investment offices, open-end - - -
Sullivan & Cromwell LLP Tcg Bdc Inc CGBD N-2 6722 - Management investment offices, open-end - - -
Keevican Weiss Bauerle & Hirsch LLC Tristate Capital Holdings Inc TSC S-3 6022 - State commercial banks - - -
Alston & Bird, LLP First Bancshares Inc FBMS S-4 6021 - National commercial banks - - -
Foley & Lardner LLP Hennessy Advisors Inc HNNA S-3 6282 - Investment advice - - -
Jones Walker, LLP First Bancshares Inc FBMS S-4 6021 - National commercial banks - - -
Simpson Thacher & Bartlett LLP Mdc Partners Inc MDCA S-3 7311 - Services - advertising agencies - - -
Simpson Thacher & Bartlett LLP Mdc Partners Inc MDCA S-3 7311 - Services - advertising agencies - - -
Arnold & Porter Kaye Scholer LLP Casi Pharmaceuticals Inc CASI S-3 2836 - Biological products, except diagnostic substances - - -
Cooley LLP Ampliphi Biosciences Corp APHB S-1 2836 - Biological products, except diagnostic substances - - -

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.  

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