Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: December 25 - December 29

There were 38 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Assembly Biosciences Inc w/ Goodwin Procter LLP, Novavax Inc w/ Ropes & Gray LLP, Mota Group Inc w/ Sullivan & Worcester LLP, Old Point Financial Corp w/ Troutman Sanders LLP, Iovance Biotherapeutics Inc w/ TroyGould PC, Old Point Financial Corp w/ Williams Mullen.

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 Underwriters
Akin Gump Strauss Hauer & Feld LLP Sailfish Energy Holdings Corp - S-4 -  
AXA Equitable Life Insurance Company Axa Equitable Life Insurance Co - S-3 6411 - Insurance agents, brokers & service
  • AXA Distributors, LLC
Bevilacqua PLLC Asi Aviation Inc - 1-A 7359 - Services - equipment rental & leasing, not elsewhere classified  
Carman Lehnhof Israelsen, LP Newbridge Global Ventures Inc AGRCD S-1 4813 - Telephone communications, except radiotelephone
  • Kodiak Capital Group, LLC
Cassidy & Associates Syndicated Resorts Association Inc - S-1 -  
Cooley LLP Armo Biosciences Inc - S-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Leerink Partners LLC
  • BMO Capital Markets Corp. / Robert W. Baird & Co. Inc.
Cooley LLP Cymabay Therapeutics Inc CBAY S-3 2834 - Pharmaceutical preparations  
Davis Polk & Wardwell LLP Gates Industrial Corp Plc - S-1 3560 - General industrial machinery & equipment
  • Citigroup Global Markets Inc. / Morgan Stanley & Co. LLC / UBS Securities LLC / Barclays Capital Inc. / Credit Suisse Securities LLC
  • Goldman Sachs & Co. LLC / RBC Capital Markets, LLC / Blackstone Advisory Partners L.P. / Deutsche Bank Securities Inc. / Wells Fargo Securities, LLC
  • KeyBanc Capital Markets Inc. / Siebert Cisneros Shank & Co., L.L.C. / SunTrust Robinson Humphrey, Inc. / Academy Securities, Inc. / BTIG, LLC / Guggenheim Securities, LLC
Davis Polk & Wardwell LLP Kadmon Holdings Inc KDMN S-3 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
Davis Polk & Wardwell LLP Pagseguro Digital Ltd - F-1 7374 - Services - computer processing & data preparation
  • Goldman Sachs & Co. LLC / Morgan Stanley & Co. LLC
  • Credit Suisse Securities LLC / Deutsche Bank Securities Inc.
  • J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
Davis Polk & Wardwell LLP Solid Biosciences Llc - S-1 2836 - Biological products, except diagnostic substances
  • J.P. Morgan Securities LLC
  • Goldman Sachs & Co. LLC / Leerink Partners LLC
  • Nomura Securities International, Inc. / Chardan Capital Markets LLC
Day Pitney LLP 1St Constitution Bancorp FCCY S-4 6035 - Savings institutions, federally chartered  
Dechert LLP Altegris Private Markets Opportunities Fund - N-2 -  
Doron Tikotzky Kantor Gutman & Amit Gross Cellect Biotechnology Ltd APOP F-1 2836 - Biological products, except diagnostic substances  
Eaton & Van Winkle LLP One Horizon Group Inc OHGI S-3 3661 - Telephone & telegraph apparatus  
Ellenoff Grossman & Schole LLP Emagin Corp EMAN S-1 3674 - Semiconductors & related devices
  • Craig-Hallum Capital Group LLC
  • H.C. Wainwright & Co., LLC
Fenwick & West LLP Cascadian Therapeutics Inc ONTY S-3 2835 - In vitro & in vivo diagnostic substances  
General Counsel, P.C. Cat9 Group Inc - S-1 6770 - Blank check  
Goodwin Procter LLP Assembly Biosciences Inc ASMB S-3 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Cantor Fitzgerald & Co.
Goodwin Procter LLP Emagin Corp EMAN S-1 3674 - Semiconductors & related devices
  • Craig-Hallum Capital Group LLC
  • H.C. Wainwright & Co., LLC
Goodwin Procter LLP Restorbio Inc - S-1 2834 - Pharmaceutical preparations
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Leerink Partners LLC
  • Evercore Group L.L.C. / Wedbush Securities Inc.
Greenberg Traurig, LLP Dfb Healthcare Acquisitions Corp - S-1 -
  • Goldman Sachs & Co. LLC
  • Deutsche Bank Securities
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP Armo Biosciences Inc - S-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Leerink Partners LLC
  • BMO Capital Markets Corp. / Robert W. Baird & Co. Inc.
Kadmon Holdings, Inc. Kadmon Holdings Inc KDMN S-3 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
Ken Nunn Law Office Webb Interactive Services Inc WEBB 1-A 7373 - Services - computer integrated systems design  
Kirkland & Ellis LLP Dfb Healthcare Acquisitions Corp - S-1 -
  • Goldman Sachs & Co. LLC
  • Deutsche Bank Securities
Korth Direct Mortgage, LLC Korth Direct Mortgage Llc - S-1 6162 - Mortgage bankers & loan correspondents  
Latham & Watkins LLP Menlo Therapeutics Inc - S-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Piper Jaffray & Co.
  • Guggenheim Securities LLC / JMP Securities LLC
Latham & Watkins LLP Restorbio Inc - S-1 2834 - Pharmaceutical preparations
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Leerink Partners LLC
  • Evercore Group L.L.C. / Wedbush Securities Inc.
Legal & Compliance, LLC Brightways Corp - 1-A -  
Legal & Compliance, LLC Webstar Technology Group Inc - S-1 -  
McDermott Will & Emery LLP Cellect Biotechnology Ltd APOP F-1 2836 - Biological products, except diagnostic substances  
Morgan, Lewis & Bockius LLP Onconova Therapeutics Inc ONTX S-1 2834 - Pharmaceutical preparations  
Morrison & Foerster LLP General Cannabis Corp CANN S-1 7381 - Services - detective, guard & armored car services  
Morrison & Foerster LLP Menlo Therapeutics Inc - S-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Piper Jaffray & Co.
  • Guggenheim Securities LLC / JMP Securities LLC
New Jersey Community Bank 1St Constitution Bancorp FCCY S-4 6035 - Savings institutions, federally chartered  
Proskauer Rose LLP Solid Biosciences Llc - S-1 2836 - Biological products, except diagnostic substances
  • J.P. Morgan Securities LLC
  • Goldman Sachs & Co. LLC / Leerink Partners LLC
  • Nomura Securities International, Inc. / Chardan Capital Markets LLC
Ropes & Gray LLP Novavax Inc NVAX S-3 2836 - Biological products, except diagnostic substances  
Shearman & Sterling LLP Pagseguro Digital Ltd - F-1 7374 - Services - computer processing & data preparation
  • Goldman Sachs & Co. LLC / Morgan Stanley & Co. LLC
  • Credit Suisse Securities LLC / Deutsche Bank Securities Inc.
  • J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc.
Simpson Thacher & Bartlett LLP Gates Industrial Corp Plc - S-1 3560 - General industrial machinery & equipment
  • Citigroup Global Markets Inc. / Morgan Stanley & Co. LLC / UBS Securities LLC / Barclays Capital Inc. / Credit Suisse Securities LLC
  • Goldman Sachs & Co. LLC / RBC Capital Markets, LLC / Blackstone Advisory Partners L.P. / Deutsche Bank Securities Inc. / Wells Fargo Securities, LLC
  • KeyBanc Capital Markets Inc. / Siebert Cisneros Shank & Co., L.L.C. / SunTrust Robinson Humphrey, Inc. / Academy Securities, Inc. / BTIG, LLC / Guggenheim Securities, LLC
Skadden, Arps, Slate, Meagher & Flom LLP Drive Shack Inc DS S-3 6798 - Real estate investment trusts  
Solid Biosciences, LLC Solid Biosciences Llc - S-1 2836 - Biological products, except diagnostic substances
  • J.P. Morgan Securities LLC
  • Goldman Sachs & Co. LLC / Leerink Partners LLC
  • Nomura Securities International, Inc. / Chardan Capital Markets LLC
Sullivan & Worcester LLP Mota Group Inc MOTA 1-A 3721 - Aircraft  
Talos Energy LLC Sailfish Energy Holdings Corp - S-4 -  
Troutman Sanders LLP Dynex Capital Inc DX S-3 6798 - Real estate investment trusts  
Troutman Sanders LLP Old Point Financial Corp OPOF S-4 6021 - National commercial banks  
Trowbridge Sidoti 111 Crowdfunding Llc - 1-A 6221 - Commodity contracts brokers & dealers  
Trowbridge Sidoti Tulsa Real Estate Fund Llc - 1-A 6798 - Real estate investment trusts  
TroyGould PC Iovance Biotherapeutics Inc IOVA S-3 2836 - Biological products, except diagnostic substances  
Vance, Higley & Associates, P.C. Iiot-Oxys Inc CBSJ S-1 5122 - Wholesale - drugs, drug proprietaries & druggists' sundries  
Varnum LLP Independent Bank Corp IBCP S-4 6022 - State commercial banks  
Vinson & Elkins L.L.P. Sailfish Energy Holdings Corp - S-4 -  
Warner Norcross & Judd LLP Independent Bank Corp IBCP S-4 6022 - State commercial banks  
Williams Mullen Old Point Financial Corp OPOF S-4 6021 - National commercial banks  
Windels Marx Lane & Mittendorf, LLP 1St Constitution Bancorp FCCY S-4 6035 - Savings institutions, federally chartered  

 

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