Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: January 22 - 26

There were 32 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Casi Pharmaceuticals Inc w/ Arnold & Porter Kaye Scholer LLP, Ficaar Inc w/ Ficaar, Inc.

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
Arnold & Porter Kaye Scholer LLP Casi Pharmaceuticals Inc CASI S-3 2836 - Biological products, except diagnostic substances  
Baker Botts L.L.P. Mcdermott International Inc MDR S-4 3443 - Fabricated plate work (boiler shops)  
Barack Ferrazzano Kirschbaum & Nagelberg LLP First Mid Illinois Bancshares Inc FMBH S-4 6022 - State commercial banks  
Bevilacqua PLLC Fc Global Realty Inc FCRE S-3 3845 - Electromedical & electrotherapeutic apparatus  
Cassidy & Associates Willow Forest Acquisition Corp - 10-12G -  
Chicago Bridge & Iron Company N.V. Mcdermott International Inc MDR S-4 3443 - Fabricated plate work (boiler shops)  
CKR Law, LLP Hightimes Holding Corp - 1-A 2721 - Periodicals: publishing or publishing & printing  
Coherus BioSciences, Inc. Coherus Biosciences Inc CHRS S-3 2836 - Biological products, except diagnostic substances  
Davis Polk & Wardwell LLP Jpmorgan Chase & Co. JPM S-3 6021 - National commercial banks  
Eversheds Sutherland (US) LLP Commonwealth Annuity & Life Insurance Co - S-1 -
  • Global Atlantic Distributors LLC
Ficaar, Inc. Ficaar Inc FCAA 10-12G 4813 - Telephone communications, except radiotelephone  
Foley & Lardner LLP Cesca Therapeutics Inc KOOL S-1 3821 - Laboratory apparatus & furniture  
Foley Shechter LLP Pineapple Express Inc - 10-12G -  
Frederick M. Lehrer, P.A. Social Life Network Inc SEWC S-1 4941 - Water supply  
Greenberg Traurig LLP Helios & Matheson Analytics Inc HMNY S-3 7380 - Services - miscellaneous business services  
JPMorgan Chase & Co. Jpmorgan Chase & Co. JPM S-3 6021 - National commercial banks  
Karyopharm Therapeutics Inc. Karyopharm Therapeutics Inc KPTI S-3 2834 - Pharmaceutical preparations  
Kendall A. Almerico P.A. Brewdog Usa Inc - 1-A 2082 - Malt beverages  
Latham & Watkins LLP Athenex Inc ATNX S-1 2834 - Pharmaceutical preparations
  • Deutsche Bank Securities Inc.
  • RBC Capital Markets, LLC / Needham & Company, LLC
  • Ladenburg Thalmann & Co. Inc. / Laidlaw & Company (UK) Ltd.
Latham & Watkins LLP Coherus Biosciences Inc CHRS S-3 2836 - Biological products, except diagnostic substances  
Latham & Watkins LLP San Diego Gas & Electric Co SDO/PH S-3 4931 - Electric & other services combined  
Latham & Watkins LLP Southern California Gas Co SOU/PA S-3 4922 - Natural gas transmission  
Luxury Trine Digital Media Group Inc. Luxury Trine Digital Media Group Inc - 10-12G -  
Melinta Therapeutics, Inc. Melinta Therapeutics Inc MLNT S-3 2834 - Pharmaceutical preparations  
Morrison & Foerster LLP Catalyst Biosciences Inc CBIO S-3 2834 - Pharmaceutical preparations  
Nevada Discount Registered Agent, Inc. Walleo Inc - S-1 -  
Orrick, Herrington & Sutcliffe LLP Thestreet Inc TST S-3 2711 - Newspapers: publishing or publishing & printing  
Porter Hedges LLP Synthesis Energy Systems Inc SES S-3 2990 - Miscellaneous products of petroleum & coal  
Ropes & Gray LLP Agenus Inc AGEN S-3 2836 - Biological products, except diagnostic substances  
Royce Value Trust, Inc. Royce Value Trust Inc RVT N-2 6199 - Finance services  
Schiff Hardin LLP First Mid Illinois Bancshares Inc FMBH S-4 6022 - State commercial banks  
SD Law Group APC Rich Pharmaceuticals Inc RCHA S-1 2834 - Pharmaceutical preparations
  • GHS Investments, LLC
Sidley Austin LLP Royce Value Trust Inc RVT N-2 6199 - Finance services  
Simpson Thacher & Bartlett LLP Athenex Inc ATNX S-1 2834 - Pharmaceutical preparations
  • Deutsche Bank Securities Inc.
  • RBC Capital Markets, LLC / Needham & Company, LLC
  • Ladenburg Thalmann & Co. Inc. / Laidlaw & Company (UK) Ltd.
Simpson Thacher & Bartlett LLP Jpmorgan Chase & Co. JPM S-3 6021 - National commercial banks  
Skadden, Arps, Slate, Meagher & Flom LLP Estre Ambiental Inc ESTR F-1 4953 - Refuse systems  
Snell & Wilmer L.L.P. The New Home Company Inc NWHM S-3 1531 - Operative builders  
Vinson & Elkins L.L.P. Select Energy Services Inc WTTR S-1 1389 - Oil & gas field services, not elsewhere classified  
Wachtell, Lipton, Rosen & Katz Mcdermott International Inc MDR S-4 3443 - Fabricated plate work (boiler shops)  
Willkie Farr & Gallagher LLP Melinta Therapeutics Inc MLNT S-3 2711 - Newspapers: publishing or publishing & printing  
Wilmer Cutler Pickering Hale and Dorr LLP Karyopharm Therapeutics Inc KPTI S-3 2834 - Pharmaceutical preparations  
Wilmer Cutler Pickering Hale and Dorr LLP Tetraphase Pharmaceuticals Inc TTPH S-3 2834 - Pharmaceutical preparations  

 

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