Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: December 18 - December 22

There were 64 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions servicesincluding Eyenovia Inc w/ Ellenoff Grossman & Schole LLP, Eyenovia Inc w/ Goodwin Procter LLP, Fgl Holdings w/ Winston & Strawn LLP, Cinedigm Corp w/ Kelley Drye & Warren LLP, Phillips 66 Partners Lp w/ Latham & Watkins LLP, Platinum Eagle Acquisition Corp w/ Maples and Calder, Icahn Enterprises L.P. w/ Proskauer Rose LLP, Bionik Laboratories Corp w/ Ruskin Moscou Faltischek, P.C., Platinum Eagle Acquisition Corp w/ Skadden, Arps, Slate, Meagher & Flom LLP, Platinum Eagle Acquisition w/ Corp 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.

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 +
Eversheds Sutherland LLP Members Life Insurance Co - S-1 6311 - Life insurance CUNA Brokerage Services, Inc. - -
Arrestage International, Inc. Arrestage International Inc - S-1 - - - -
Fusion Telecommunications International, Inc. Fusion Telecommunications International Inc FSNN S-3 4813 - Telephone communications, except radiotelephone - - -
Goldman Legal Advisers, LLC Arrestage International Inc - S-1 - - - -
Schumacher and Associates, Inc. Arrestage International Inc - S-1 - - - -
Dechert LLP Griffon Corp GFF S-4 3442 - Metal doors, sash, frames, moldings & trim (SIC);3524 - Lawn & garden tractors & home lawn & gardens equip (SIC) - - -
Harter Secrest & Emery LLP Transcat Inc TRNS S-3 3825 - Instruments for measuring & testing of electricity & electric signals - - -
NestBuilder.com Corp. Nestbuilder.Com Corp - 10-12G - - - -
Thomas C. Pritchard, P.C. Oncolix Inc AEPP S-1 8742 - Services - management consulting services - - -
Olshan Frome Wolosky LLP Gamco Investors Inc. Et Al GBL S-4 6211 - Security brokers, dealers & flotation companies G.distributors, LLC - -
Ellenoff Grossman & Schole LLP Nebula Acquisition Corp - S-1 6770 - Blank check Deutsche Bank Securities Inc. Goldman Sachs & Co. LLC -
Ellenoff Grossman & Schole LLP Gordon Pointe Acqusition Corp - S-1 6770 - Blank check B. Riley FBR, Inc. - -
Fox Rothschild LLP Gordon Pointe Acqusition Corp - S-1 6770 - Blank check B. Riley FBR, Inc. - -
Freshfields Bruckhaus Deringer US LLP Nebula Acquisition Corp - S-1 6770 - Blank check Deutsche Bank Securities Inc. Goldman Sachs & Co. LLC -
Lucosky Brookman LLP Duos Technologies Group Inc IOSA S-1 7372 - Services - prepackaged software - - -
Ballard Spahr LLP Opgen Inc OPGN S-1 8071 - Services - medical laboratories - - -
Haynes and Boone, LLP Opgen Inc OPGN S-1 8071 - Services - medical laboratories - - -
Haynes and Boone, LLP Biosig Technologies Inc BSGM S-1 3845 - Electromedical & electrotherapeutic apparatus - - -
Holland & Knight LLP Griffin Institutional Access Real Estate Fund GIREX N-2 - ALPS Distributors, Inc. - -
Stinson Leonard Street LLP Black Ridge Oil & Gas Inc ANFC S-1 1311 - Crude petroleum & natural gas - - -
Dorsey & Whitney LLP Heartland Financial Usa Inc HTLF S-4 6022 - State commercial banks - - -
Winthrop & Weinstine, P.A. Heartland Financial Usa Inc HTLF S-4 6022 - State commercial banks - - -
Spencer Fane LLP Hooper Holmes Inc HH S-1 8090 - Services - miscellaneous health & allied services, not elsewhere classified Lincoln Park Capital Fund, LLC - -
Covington & Burling LLP Veritex Holdings Inc VBTX S-3 6022 - State commercial banks - - -
Winston & Strawn LLP Willscot Corp WSC S-3 6770 - Blank check - - -
Clifford Chance US LLP Safety Income & Growth Inc SAFE S-11 6519 - Lessors of real property, not elsewhere classified - - -
Cooley LLP Gtx Inc GTXI S-3 2834 - Pharmaceutical preparations - - -
GTx, Inc. Gtx Inc GTXI S-3 2834 - Pharmaceutical preparations - - -
Ellenoff Grossman & Schole LLP Golden Bull Ltd - F-1 6199 - Finance services ViewTrade Securities, Inc. - -
Kaufman & Canoles, P.C. Golden Bull Ltd - F-1 6199 - Finance services ViewTrade Securities, Inc. - -
Gulkowitz Berger LLP Reliance Real Estate Trust Llc - 1-A 6798 - Real estate investment trusts - - -
Dechert LLP Diffusion Pharmaceuticals Inc DFFN S-1 2834 - Pharmaceutical preparations H.C. Wainwright & Co., LLC - -
Duane Morris LLP Gulfmark Offshore Inc GLF S-1 3533 - Oil & gas field machinery & equipment - - -
Ellenoff Grossman & Schole LLP Diffusion Pharmaceuticals Inc DFFN S-1 2834 - Pharmaceutical preparations H.C. Wainwright & Co., LLC - -
Almost Family, Inc. Lhc Group Inc LHCG S-4 8082 - Services - home health care services - - -
Alston & Bird LLP Lhc Group Inc LHCG S-4 8082 - Services - home health care services - - -
Alston & Bird LLP Nuveen Global Cities Reit Inc - S-11 6798 - Real estate investment trusts - - -
Ater Wynne LLP Iron Bridge Mortgage Fund Llc - 1-A 6500 - Real estate - - -
Broad and Cassel LLP Iberiabank Corp IBKC S-4 6022 - State commercial banks - - -
Bryan Cave LLP Asv Holdings Inc ASV S-1 3531 - Construction machinery & equipment - - -
Cahill Gordon & Reindel LLP Ap Gaming Holdco Inc - S-1 3990 - Miscellaneous manufacturing industries Credit Suisse Securities LLC / Deutsche Bank Securities Inc. / Jefferies LLC / Macquarie Capital Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Stifel, Nicolaus & Company, Inc. / SunTrust Robinson Humphrey, Inc. Nomura Securities International, Inc. / Roth Capital Partners, LLC / Union Gaming Securities LLC / The Williams Capital Group, L.P. / Apollo Global Securities, LLC
Cavium, Inc. Marvell Technology Group Ltd MRVL S-4 3674 - Semiconductors & related devices - - -
Davis Polk & Wardwell LLP Viewray Inc MRXC S-3 5900 - Retail - miscellaneous retail - - -
Dickinson Wright PLLC One Stop Systems Inc - S-1 3571 - Electronic computers Roth Capital Partners, LLC - -
FCB Financial Holdings, Inc. Fcb Financial Holdings Inc FCB S-4 6021 - National commercial banks - - -
Fifth Creek Energy Operating Company, LLC Red Rider Holdco Inc - S-4 - - - -
Foley Hoag LLP Zosano Pharma Corp ZSAN S-1 2834 - Pharmaceutical preparations - - -
Gibson, Dunn & Crutcher LLP Lhc Group Inc LHCG S-4 8082 - Services - home health care services - - -
Hogan Lovells US LLP Marvell Technology Group Ltd MRVL S-4 3674 - Semiconductors & related devices - - -
Igler and Pearlman, P.A. Fcb Financial Holdings Inc FCB S-4 6021 - National commercial banks - - -
King & Spalding LLP Beazer Homes Usa Inc BZH S-4 1531 - Operative builders - - -
Kramer Levin Naftalis & Frankel LLP Fcb Financial Holdings Inc FCB S-4 6021 - National commercial banks - - -
Latham & Watkins LLP Dxc Technology Co DXC S-4 7374 - Services - computer processing & data preparation - - -
Latham & Watkins LLP Nbhsa Inc - S-4 - - - -
Milbank, Tweed, Hadley & McCloy LLP Mgm Growth Properties Operating Partnership Lp - S-4 6798 - Real estate investment trusts - - -
Paul, Weiss, Rifkind, Wharton & Garrison LLP Ap Gaming Holdco Inc - S-1 3990 - Miscellaneous manufacturing industries Credit Suisse Securities LLC / Deutsche Bank Securities Inc. / Jefferies LLC / Macquarie Capital Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Stifel, Nicolaus & Company, Inc. / SunTrust Robinson Humphrey, Inc. Nomura Securities International, Inc. / Roth Capital Partners, LLC / Union Gaming Securities LLC / The Williams Capital Group, L.P. / Apollo Global Securities, LLC
PlayAGS, Inc. Ap Gaming Holdco Inc - S-1 3990 - Miscellaneous manufacturing industries Credit Suisse Securities LLC / Deutsche Bank Securities Inc. / Jefferies LLC / Macquarie Capital Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Stifel, Nicolaus & Company, Inc. / SunTrust Robinson Humphrey, Inc. Nomura Securities International, Inc. / Roth Capital Partners, LLC / Union Gaming Securities LLC / The Williams Capital Group, L.P. / Apollo Global Securities, LLC
Procopio, Cory, Hargreaves & Savitch LLP One Stop Systems Inc - S-1 3571 - Electronic computers Roth Capital Partners, LLC - -
Shearman & Sterling LLP Baker Hughes BHGE S-4 3533 - Oil & gas field machinery & equipment - - -
Simpson Thacher & Bartlett LLP Iberiabank Corp IBKC S-4 6022 - State commercial banks - - -
Skadden, Arps, Slate, Meagher & Flom LLP Marvell Technology Group Ltd MRVL S-4 3674 - Semiconductors & related devices - - -
Skadden, Arps, Slate, Meagher & Flom LLP Nbhsa Inc - S-4 - - - -
Stradling Yocca Carlson & Rauth, P.C. Tandem Diabetes Care Inc TNDM S-3 3841 - Surgical & medical instruments & apparatus - - -
Sullivan & Cromwell LLP Fcb Financial Holdings Inc FCB S-4 6021 - National commercial banks - - -
Tandem Diabetes Care, Inc. Tandem Diabetes Care Inc TNDM S-3 3841 - Surgical & medical instruments & apparatus - - -
Transamerica Advisors Life Insurance Company Transamerica Advisors Life Insurance Co - S-3 6311 - Life insurance Transamerica Capital, Inc. - -
ViewRay, Inc. Viewray Inc MRXC S-3 5900 - Retail - miscellaneous retail - - -
Vinson & Elkins L.L.P. C&J Energy Services Inc CJ S-3 1389 - Oil & gas field services, not elsewhere classified - - -
Vinson & Elkins LLP Red Rider Holdco Inc - S-4 - - - -
Wachtell, Lipton, Rosen & Katz Red Rider Holdco Inc - S-4 - - - -
Winstead PC Institute For Wealth Holdings Inc - 1-A 6282 - Investment advice - - -
Paul Hastings LLP Viking Therapeutics Inc VKTX S-1 2834 - Pharmaceutical preparations - - -
Bingham Law Group, APC Solis Tek Inc CINJ S-1 7380 - Services - miscellaneous business services - - -
Greenberg Traurig, LLP Pavmed Inc PAVM S-1 3841 - Surgical & medical instruments & apparatus - - -
Sichenzia Ross Ference Kesner LLP Marathon Patent Group Inc MARA S-3 6794 - Patent owners & lessors - - -
Sichenzia Ross Ference Kesner LLP Marathon Patent Group Inc MARA S-4 6794 - Patent owners & lessors - - -
Sichenzia Ross Ference Kesner LLP Digital Power Corp DPW S-3 3679 - Electronic components, not elsewhere classified - - -
Sichenzia Ross Ference Kesner LLP Digital Power Corp DPW S-3 3679 - Electronic components, not elsewhere classified - - -
Ellenoff Grossman & Schole LLP Eyenovia Inc - S-1 2834 - Pharmaceutical preparations Ladenburg Thalmann & Co. Inc. Roth Capital Partners, LLC -
Goodwin Procter LLP Eyenovia Inc - S-1 2834 - Pharmaceutical preparations Ladenburg Thalmann & Co. Inc. Roth Capital Partners, LLC -
Winston & Strawn LLP Fgl Holdings FG S-3 6770 - Blank check - - -
Kelley Drye & Warren LLP Cinedigm Corp CIDM S-3 7389 - Services - business services, not elsewhere classified - - -
Latham & Watkins LLP Phillips 66 Partners Lp PSXP S-3 4619 - Pipelines, not elsewhere classified - - -
Maples and Calder Platinum Eagle Acquisition Corp - S-1 6770 - Blank check Deutsche Bank Securities Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. I-Bankers Securities, Inc.
Proskauer Rose LLP Icahn Enterprises L.P. IEP S-4 3714 - Motor vehicle parts & accessories - - -
Ruskin Moscou Faltischek, P.C. Bionik Laboratories Corp DWTP S-1 3842 - Orthopedic, prosthetic & surgical appliances & supplies - - -
Skadden, Arps, Slate, Meagher & Flom LLP Platinum Eagle Acquisition Corp - S-1 6770 - Blank check Deutsche Bank Securities Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. I-Bankers Securities, Inc.
Winston & Strawn LLP Platinum Eagle Acquisition Corp - S-1 6770 - Blank check Deutsche Bank Securities Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. I-Bankers Securities, Inc.
Skadden, Arps, Slate, Meagher & Flom LLP Green Bancorp Inc GNBC S-3 6021 - National commercial banks - - -
Vinson & Elkins L.L.P. Mitcham Industries Inc MIND S-3 7359 - Services - equipment rental & leasing, not elsewhere classified - - -
Jones & Haley, P.C. Bioforce Nanosciences Holdings Inc BFNH 10-12G 3826 - Laboratory analytical instruments - - -
Fischer Behar Chen Well Orion & Co. Check-Cap Ltd CHEK F-1 3844 - X-ray apparatus & tubes & related irradiation apparatus - - -
Loeb & Loeb LLP Check-Cap Ltd CHEK F-1 3844 - X-ray apparatus & tubes & related irradiation apparatus - - -

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