Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: January 29 - February 2

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 Gab Al Inc w/ Alliance Legal Partners, Inc., First Bancshares Inc w/ Alston & Bird, LLP, Rezolute Inc w/ Dorsey & Whitney LLP, Jinxuan Coking Coal Ltd w/ Hunter Taubman Fischer & Li LLC, Weiss Strategic Interval Fund w/ Morgan, Lewis & Bockius LLP, First Bancshares Inc w/ Silver, Freedman, Taff & Tiernan 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.

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

 

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Account / Firm Company Name Symbol Form Type Industry Underwriters
Alliance Legal Partners, Inc. Gab Al Inc - 1-A -  
Allianz Life Insurance Company of North America Allianz Life Insurance Co Of North America - S-1 6311 - Life insurance
  • Allianz Life Financial Services, LLC
Alston & Bird, LLP First Bancshares Inc FBMS S-4 6021 - National commercial banks  
Andrews Kurth Kenyon LLP Independent Bank Group Inc IBTX S-4 6022 - State commercial banks  
Bluerock Real Estate, LLC Total Income (Plus) Real Estate Fund - N-2 -
  • ALPS Distributors, Inc.
Cadence Bancorporation Cadence Bancorp CADE S-1 6022 - State commercial banks
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Keefe, Bruyette & Woods, Inc. / Sandler O'Neill & Partners, L.P.
Cooley LLP Regulus Therapeutics Inc RGLS S-3 2834 - Pharmaceutical preparations  
David M. Bovi, P.A. Sharpspring Inc SHSP S-3 7331 - Services - direct mail advertising services  
Dorsey & Whitney LLP Rezolute Inc ANTB S-1 2834 - Pharmaceutical preparations
  • Lincoln Park Capital Fund, LLC
Finn Power Energy Corp. Finn Power Energy Corp - 1-A 6770 - Blank check  
Foley & Lardner LLP Currencyshares Euro Trust FXE S-3 6221 - Commodity contracts brokers & dealers  
Gary R. Henrie, Attorney at Law Michael Nolin Group Inc - 1-A -  
Gennari Aronson, LLP Boston Omaha Corp BOMN S-3 6510 - Real estate operators (except developers) & lessors
  • Cowen and Company, LLC
Gibson, Dunn & Crutcher LLP American Midstream Partners Lp AMID S-3 4922 - Natural gas transmission  
Graubard Miller Union Acquisition Corp - S-1 6770 - Blank check
  • Ladenburg Thalmann & Co. Inc.
  • Brookline Capital Markets
Greenberg Traurig, LLP Dolphin Entertainment Inc DLPN S-3 7200 - Services - personal services  
Greenberg Traurig, LLP Northstar/Rxr New York Metro Real Estate Inc - S-11 6798 - Real estate investment trusts  
Haynie Rake Repass & Klimko, P.C. Independent Bank Group Inc IBTX S-4 6022 - State commercial banks  
Holland & Knight LLP Union Acquisition Corp - S-1 6770 - Blank check
  • Ladenburg Thalmann & Co. Inc.
  • Brookline Capital Markets
Hunter Taubman Fischer & Li LLC Jinxuan Coking Coal Ltd - F-1 1221 - Bituminous coal & lignite surface mining  
InCorp Services Inc. Exent Corp - S-1 -  
Jackson Walker L.L.P. Independent Bank Group Inc IBTX S-4 6022 - State commercial banks  
Jones Day Athersys Inc ATHX S-3 2834 - Pharmaceutical preparations
  • Aspire Capital Fund, LLC
Kegler Brown Hill & Ritter Co., L.P.A. Intellinetics Inc GWIV S-1 7372 - Services - prepackaged software  
KHLK LLP Iconsumer Corp - 1-A 7200 - Services - personal services  
Kirkland & Ellis LLP Teva Pharmaceutical Industries Ltd TEVA S-3 2834 - Pharmaceutical preparations  
Legal & Compliance, LLC Indoor Harvest Corp - S-1 3590 - Miscellaneous industrial & commercial machinery & equipment  
Lowenstein Sandler LLP Coffee Holding Co Inc JVA S-3 5140 - Wholesale - groceries & related products  
Morgan, Lewis & Bockius LLP Weiss Strategic Interval Fund - N-2 -  
Ortoli Rosenstadt LLP Electrameccanica Vehicles Corp - F-1 3711 - Motor vehicles & passenger car bodies  
Paul Hastings LLP 2017 Mandatory Exchangeable Trust - N-2 -  
Reed Smith LLP Jaguar Health Inc JAGX S-3 2834 - Pharmaceutical preparations  
Satterlee Stephens LLP Solarwindow Technologies Inc 2N0N S-1 2860 - Industrial organic chemicals  
Sichenzia Ross Ference Kesner LLP Green Spirit Industries Inc CYVA S-1 5400 - Retail - food stores  
Silver, Freedman, Taff & Tiernan LLP First Bancshares Inc FBMS S-4 6021 - National commercial banks  
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P. Carolina Complete Health Network Inc - 1-A 6324 - Hospital & medical service plans  
Sullivan & Cromwell LLP Cadence Bancorp CADE S-1 6022 - State commercial banks
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Keefe, Bruyette & Woods, Inc. / Sandler O'Neill & Partners, L.P.
The Lincoln National Life Insurance Company Lincoln National Life Insurance Co - S-3 6311 - Life insurance
  • Lincoln Financial Distributors, Inc.
Thompson Hine LLP Total Income (Plus) Real Estate Fund - N-2 -
  • ALPS Distributors, Inc.
Wachtell, Lipton, Rosen & Katz Cadence Bancorp CADE S-1 6022 - State commercial banks
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Keefe, Bruyette & Woods, Inc. / Sandler O'Neill & Partners, L.P.
Williams Mullen American National Bankshares Inc AMNB S-3 6021 - National commercial banks  
Wilmer Cutler Pickering Hale and Dorr LLP Invivo Therapeutics Holdings Corp NVIV S-1 3841 - Surgical & medical instruments & apparatus
  • Lincoln Park Capital Fund, LLC
Wilson Sonsini Goodrich & Rosati, P.C. Artelo Biosciences Inc - S-1 7389 - Services - business services, not elsewhere classified  
Wilson Sonsini Goodrich & Rosati, P.C. Soleno Therapeutics Inc SLNO S-1 3845 - Electromedical & electrotherapeutic apparatus  
Winstead PC Forbes Energy Services Ltd FES S-1 1389 - Oil & gas field services, not elsewhere classified  

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