Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: January 1 - 5

There were 27 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Oncobiologics Inc w/ Cooley LLP, Biolife Solutions Inc w/ Ellenoff Grossman & Schole LLP, The One Group Hospitality Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., Cryoport Inc w/ Snell & Wilmer L.L.P., Wisconsin Electric Power Co w/ Wisconsin Electric Power Company, Wisconsin Public Service Corp w/ Wisconsin Public Service Corporation.

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.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

 

 

Account / Firm Company Name Symbol Form Type Industry Underwriters
Aetna Inc. Cvs Health Corp CVS S-4 5912 - Retail - drug stores & proprietary stores  
Business Filings Inc. Success Entertainment Group International Inc SEGN S-1 2024 - Ice cream & frozen desserts  
Chonillo Law Group, LLC Viva Entertainment Group Inc BRPC S-1 1381 - Drilling oil & gas wells
  • Ignition Capital, LLC
Cleary Gottlieb Steen & Hamilton LLP Central Puerto S.A. - F-1 4911 - Electric services
  • J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Morgan Stanley & Co, LLC
Cooley LLP Oncobiologics Inc ONS S-3 2836 - Biological products, except diagnostic substances  
CVS Health Corporation Cvs Health Corp CVS S-4 5912 - Retail - drug stores & proprietary stores  
Davis Polk & Wardwell LLP Cvs Health Corp CVS S-4 5912 - Retail - drug stores & proprietary stores  
Davis Polk & Wardwell LLP Iron Horse Acquisition Corp - S-1 6770 - Blank check
  • Citigroup Global Markets Inc.
  • Goldman Sachs & Co. LLC
Ellenoff Grossman & Schole LLP Biolife Solutions Inc BLFS S-3 3845 - Electromedical & electrotherapeutic apparatus  
Eversheds Sutherland LLP Ofs Capital Corp OFS N-2 6282 - Investment advice  
Fox Rothschild LLP Vicon Industries Inc VII S-3 3669 - Communications equipment, not elsewhere classified  
Goodwin Procter LLP Motus Gi Holdings Inc - S-1 3841 - Surgical & medical instruments & apparatus
  • Piper Jaffray & Co.
  • Oppenheimer & Co.
Gotham Ballers, Inc. Gotham Ballers Inc - 1-A -  
Greenberg Traurig, LLP Full House Resorts Inc FLL S-3 7990 - Services - miscellaneous amusement & recreation  
Hart & Hart, LLC Cel Sci Corp CVM S-1 2836 - Biological products, except diagnostic substances  
Kirkland & Ellis LLP Iron Horse Acquisition Corp - S-1 6770 - Blank check
  • Citigroup Global Markets Inc.
  • Goldman Sachs & Co. LLC
Kirton McConkie, P.C. U-Mind Space Inc ORFN S-1 8742 - Services - management consulting services  
Legal & Compliance, LLC Ieg Holdings Corp IEGH S-4 5013 - Wholesale - motor vehicle supplies & new parts  
Lowenstein Sandler LLP Corbus Pharmaceuticals Holdings Inc CRBP S-3 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
Lowenstein Sandler LLP Motus Gi Holdings Inc - S-1 3841 - Surgical & medical instruments & apparatus
  • Piper Jaffray & Co.
  • Oppenheimer & Co.
Macdonald Tuskey Lexaria Bioscience Corp LXX S-4 1311 - Crude petroleum & natural gas  
Matheau J. W. Stout, Esq. Consorteum Holdings Inc CSRH S-1 3669 - Communications equipment, not elsewhere classified
  • Oscaleta Partners, LLC
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. The One Group Hospitality Inc STKS S-1 5812 - Retail - eating places  
Pillsbury Winthrop Shaw Pittman LLP Mosys Inc MOSY S-1 3674 - Semiconductors & related devices  
Robinson Brog Leinwand Greene Genovese & Gluck P.C. Nxt-Id Inc NXTD S-3 7381 - Services - detective, guard & armored car services  
Shearman & Sterling LLP Cvs Health Corp CVS S-4 5912 - Retail - drug stores & proprietary stores  
Sichenzia Ross Ference Kesner LLP Riot Blockchain Inc RIOT S-3 2835 - In vitro & in vivo diagnostic substances  
Simpson Thacher & Bartlett LLP Central Puerto S.A. - F-1 4911 - Electric services
  • J.P. Morgan Securities LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Morgan Stanley & Co, LLC
Snell & Wilmer L.L.P. Cryoport Inc CYRX S-4 3086 - Plastics foam products  
Sullivan & Worcester LLP Etf Managers Group Commodity Trust I RISE S-1 6221 - Commodity contracts brokers & dealers  
Wilmer Cutler Pickering Hale and Dorr LLP Argos Therapeutics Inc ARGS S-3 2834 - Pharmaceutical preparations  
Wisconsin Electric Power Company Wisconsin Electric Power Co WELPP S-3 4911 - Electric services  
Wisconsin Public Service Corporation Wisconsin Public Service Corp WIPSO S-3 4931 - Electric & other services combined  

 

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