Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: December 4 - December 8

There were 35 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions servicesincluding Corporacion America Airports S.A. w/ Greenberg Traurig, LLP, Columbia Financial Inc w/ Kilpatrick Townsend & Stockton LLP, Corporacion America Airports S.A. w/ Linklaters LLP, Columbia Financial Inc w/ Silver, Freedman, Taff  & Tiernan LLP, Arqule Inc w/ Arnold & Porter Kaye Scholer LLP, Arqule Inc w/ ArQule, Inc., Jakks Pacific Inc w/ Feder Kaszovitz LLP, China Sxt Pharmaceuticals Inc w/ Hunter Taubman Fischer & Li LLC, Aevi Genomic Medicine Inc w/ Pepper Hamilton LLP, China Sxt Pharmaceuticals Inc w/ Sichenzia Ross Ference Kesner 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 +
Cooley LLP Apollo Endosurgery Inc LPTN S-3 2836 - Biological products, except diagnostic substances Cantor Fitzgerald & Co. - -
Dorsey & Whitney LLP Golden Queen Mining Co Ltd GQM S-3 1000 - Metal mining - - -
Honeywell International Inc. Honeywell International Inc HON S-4 3714 - Motor vehicle parts & accessories - - -
Winthrop & Weinstine, P.A. Daktronics Inc DAKT S-3 3990 - Miscellaneous manufacturing industries - - -
Hunter Taubman Fischer &Li LLC Golden Metropolis International Ltd - F-1 - Boustead Securities, LLC - -
Ortoli Rosenstadt LLP Golden Metropolis International Ltd - F-1 - Boustead Securities, LLC - -
Silvestre Law Group, P.C. Social Reality Inc SRAX S-3 7311 - Services - advertising agencies - - -
SD Law Group APC Hypgen Inc - S-1 2520 - Office furniture GHS Investments, LLC - -
Maslon LLP Skyline Medical Inc SKLN S-3 3842 - Orthopedic, prosthetic & surgical appliances & supplies - - -
Alston and Bird LLP Hartman Short Term Income Properties Xx Inc - S-4 6500 - Real estate - - -
Hartman Short Term Income Properties XX, Inc. Hartman Short Term Income Properties Xx Inc - S-4 6500 - Real estate - - -
Greenberg Traurig, LLP Hines Global Income Trust Inc - S-3 6798 - Real estate investment trusts - - -
Barack Ferrazzano Kirschbaum & Nagelberg LLP Midland States Bancorp Inc MSBI S-4 6022 - State commercial banks - - -
Barrett & McNagny LLP Steel Dynamics Inc STLD S-4 3312 - Steel works, blast furnaces (including coke ovens) & rolling mills - - -
Chapman and Cutler LLP Midland States Bancorp Inc MSBI S-4 6022 - State commercial banks - - -
Cleary Gottlieb Steen & Hamilton LLP Atlantic Power Corp AT S-3 4911 - Electric services - - -
Goodmans LLP Atlantic Power Corp AT S-3 4911 - Electric services - - -
Gray, Plant, Mooty, Mooty & Bennett, P.A. Famous Daves Of America Inc DAVE S-1 5812 - Retail - eating places - - -
Latham & Watkins LLP Emerge Energy Services Lp EMES S-3 1389 - Oil & gas field services, not elsewhere classified - - -
Midland States Bancorp, Inc. Midland States Bancorp Inc MSBI S-4 6022 - State commercial banks - - -
Morgan, Lewis & Bockius LLP Leap Therapeutics Inc LPTX S-3 2834 - Pharmaceutical preparations - - -
Wuersch & Gering LLP Arc Group Worldwide Inc ARCW S-1 3499 - Fabricated metal products, not elsewhere classified - - -
Bush Ross, P.A. Ministry Partners Investment Company Llc - S-1 6199 - Finance services - - -
Burns & Levinson LLP Kush Bottles Inc - S-3 3080 - Miscellaneous plastics products - - -
K&L Gates LLP Primo Water Corp PRMW S-3 5141 - Wholesale - groceries, general line - - -
Sichenzia Ross Ference Kesner LLP Digital Power Corp DPW S-3 3679 - Electronic components, not elsewhere classified - - -
Davis Polk & Wardwell LLP Potlatch Corp PCH S-4 6798 - Real estate investment trusts - - -
Deltic Timber Corporation Potlatch Corp PCH S-4 6798 - Real estate investment trusts - - -
Perkins Coie LLP Potlatch Corp PCH S-4 6798 - Real estate investment trusts - - -
Verizon Communications Inc. Verizon Communications Inc VZA S-4 4813 - Telephone communications, except radiotelephone - - -
Vinson & Elkins L.L.P. Buckeye Partners L.P. BPL S-3 4610 - Pipelines, except natural gas - - -
Dechert LLP Great Elm Capital Corp GECC N-2 6799 - Investors, not elsewhere classified Ladenburg Thalmann & Co. Inc. Oppenheimer & Co. Inc. -
Skadden, Arps, Slate, Meagher & Flom LLP Great Elm Capital Corp GECC N-2 6799 - Investors, not elsewhere classified Ladenburg Thalmann & Co. Inc. Oppenheimer & Co. Inc. -
Ellenoff Grossman & Schole LLP Datasea Inc - S-1 8742 - Services - management consulting services ViewTrade Securities, Inc. - -
Ellenoff Grossman & Schole LLP Mtech Acquisition Corp - S-1 6770 - Blank check EarlyBirdCapital, Inc. - -
Graubard Miller Mtech Acquisition Corp - S-1 6770 - Blank check EarlyBirdCapital, Inc. - -
K&L Gates LLP Datasea Inc - S-1 8742 - Services - management consulting services ViewTrade Securities, Inc. - -
EAD Law Group, LLC Triton Acquisition Co - S-1 6770 - Blank check Larry Beazer - -
Hilburn, Calhoon, Harper, Pruniski & Calhoun, Ltd. Stone Bancshares Inc - 1-A 6022 - State commercial banks - - -
Greenberg Traurig, LLP Corporacion America Airports S.A. - F-1 4581 - Airports, flying fields & airport terminal services Oppenheimer & Co. Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. / Goldman Sachs & Co. LLC
Kilpatrick Townsend & Stockton LLP Columbia Financial Inc - S-1 - Sandler O’Neill & Partners, L.P. - -
Linklaters LLP Corporacion America Airports S.A. - F-1 4581 - Airports, flying fields & airport terminal services Oppenheimer & Co. Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. / Goldman Sachs & Co. LLC
Silver, Freedman, Taff  & Tiernan LLP Columbia Financial Inc - S-1 - Sandler O’Neill & Partners, L.P. - -
Arnold & Porter Kaye Scholer LLP Arqule Inc ARQL S-3 2834 - Pharmaceutical preparations - - -
ArQule, Inc. Arqule Inc ARQL S-3 2834 - Pharmaceutical preparations - - -
Feder Kaszovitz LLP Jakks Pacific Inc JAKK S-3 3944 - Games, toys & children's vehicles, except dolls & bicycles - - -
Hunter Taubman Fischer & Li LLC China Sxt Pharmaceuticals Inc - F-1 - Boustead Securities, LLC - -
Pepper Hamilton LLP Aevi Genomic Medicine Inc GNMX S-3 2836 - Biological products, except diagnostic substances - - -
Sichenzia Ross Ference Kesner LLP China Sxt Pharmaceuticals Inc - F-1 - Boustead Securities, LLC - -

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