Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: November 13 - 17

There were 71 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions servicesHudson Ltd w/ Cravath, Swaine & Moore LLP, Hudson Ltd w/ Davis Polk & Wardwell LLP, Advantage Insurance Inc w/ Holland & Knight LLP, Advantage Insurance Inc w/ Manatt, Phelps & Phillips, LLP, Advantage Insurance Inc w/ Vidal, Nieves & Bauzá, LLC, Northstar Real Estate Capital Income Fund-C w/ Clifford Chance US LLP, Farmmi Inc w/ Ellenoff Grossman & Schole LLP, Escondido Innovations Inc w/ Gallagher & Kennedy P.A., Farmmi Inc w/ Kaufman & Canoles, P.C., Bio-Path Holdings Inc w/ Winstead PC.

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.

Click here and opt-in to receive this weekly summary via email.

https://cdn2.hubspot.net/hubfs/486687/2018SECCALBanner.gif3.gif
Account / Firm Company Name Symbol Form Type Industry Underwriter 1 Underwriter 2 Underwriter 3 +
American Electric Power Service Corporation Aep Texas Inc - S-4 - - - -
American Electric Power Company, Inc. American Electric Power Co Inc AEP S-3 4911 - Electric services - - -
Frost Brown Todd LLC Porter Bancorp Inc PBIB S-3 6021 - National commercial banks - - -
Certilman Balin Adler & Hyman, LLP Kingstone Companies Inc KINS S-3 6411 - Insurance agents, brokers & service - - -
Cooley LLP Cidara Therapeutics Inc CDTX S-3 2836 - Biological products, except diagnostic substances - - -
Cincinnati Financial Corporation Cincinnati Financial Corp CINF S-3 6331 - Fire, marine & casualty insurance - - -
Dinsmore & Shohl LLP Cincinnati Financial Corp CINF S-3 6331 - Fire, marine & casualty insurance - - -
Squire Patton Boggs LLP Core Molding Technologies Inc CMT S-3 3089 - Plastics products, not elsewhere classified - - -
Willkie Farr & Gallagher LLP Cowen Inc COWN S-3 6211 - Security brokers, dealers & flotation companies Cowen and Company, LLC - -
V Financial Group, LLC Leader Capital Holdings Corp - S-1 - - - -
Dorsey & Whitney LLP Pogotec Inc - 1-A - W.R. Hambrecht & Co., LLC - -
Sunburst Acquisitions V, Inc Sunburst Acquisitions V Inc - 10-12G 6770 - Blank check - - -
Davis Polk & Wardwell LLP Ipalco Enterprises Inc - S-4 4911 - Electric services - - -
Lincoln National Life Insurance Co. Lincoln National Life Insurance Co - 10-12G 6311 - Life insurance - - -
Ballard Spahr LLP Triumph Group Inc   TGI S-4 3720 - Aircraft & parts - - -
Floor & Decor Holdings, Inc. Floor & Decor Holdings Inc FND S-1 5211 - Retail - lumber & other building materials dealers Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. / Credit Suisse Securities LLC UBS Securities LLC / Goldman Sachs & Co. LLC / Jefferies LLC Piper Jaffray & Co. / Wells Fargo Securities, LLC / BTIG, LLC
Latham & Watkins LLP Floor & Decor Holdings Inc FND S-1 5211 - Retail - lumber & other building materials dealers Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. / Credit Suisse Securities LLC UBS Securities LLC / Goldman Sachs & Co. LLC / Jefferies LLC Piper Jaffray & Co. / Wells Fargo Securities, LLC / BTIG, LLC
Latham & Watkins LLP Tfi Tab Gida Yatirimlari A.S. - F-1 5812 - Retail - eating places Morgan Stanley & Co. LLC / Credit Suisse Securities LLC Goldman Sachs & Co. LLC / Citigroup Global Markets Inc. J.P. Morgan Securities LLC / Rabo Securities USA, Inc.
Pekin & Bayar Tfi Tab Gida Yatirimlari A.S. - F-1 5812 - Retail - eating places Morgan Stanley & Co. LLC / Credit Suisse Securities LLC Goldman Sachs & Co. LLC / Citigroup Global Markets Inc. J.P. Morgan Securities LLC / Rabo Securities USA, Inc.
Proskauer Rose LLP Floor & Decor Holdings Inc FND S-1 5211 - Retail - lumber & other building materials dealers Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. / Credit Suisse Securities LLC UBS Securities LLC / Goldman Sachs & Co. LLC / Jefferies LLC Piper Jaffray & Co. / Wells Fargo Securities, LLC / BTIG, LLC
Shearman & Sterling LLP Lexinfintech Holdings Ltd - F-1 6199 - Finance services Goldman Sachs (Asia) L.L.C. Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc. / China Renaissance Securities (Hong Kong) Ltd.
Skadden, Arps, Slate, Meagher & Flom LLP Lexinfintech Holdings Ltd - F-1 6199 - Finance services Goldman Sachs (Asia) L.L.C. Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc. / China Renaissance Securities (Hong Kong) Ltd.
Sullivan & Cromwell LLP Tfi Tab Gida Yatirimlari A.S. - F-1 5812 - Retail - eating places Morgan Stanley & Co. LLC / Credit Suisse Securities LLC Goldman Sachs & Co. LLC / Citigroup Global Markets Inc. J.P. Morgan Securities LLC / Rabo Securities USA, Inc.
Verdi Avukatlik Ortakligi Tfi Tab Gida Yatirimlari A.S. - F-1 5812 - Retail - eating places Morgan Stanley & Co. LLC / Credit Suisse Securities LLC Goldman Sachs & Co. LLC / Citigroup Global Markets Inc. J.P. Morgan Securities LLC / Rabo Securities USA, Inc.
Clifford Chance US LLP Aspen Reit Inc - 1-A 6798 - Real estate investment trusts Maxim Group LLC - -
Ellenoff Grossman & Schole LLP Aspen Reit Inc - 1-A 6798 - Real estate investment trusts Maxim Group LLC - -
Snell & Wilmer L.L.P. Uqm Technologies Inc UQM S-1 3679 - Electronic components, not elsewhere classified - - -
Stubbs Alderton & Markiles, LLP Interlink Electronics Inc LINK S-3 3577 - Computer peripheral equipment, not elsewhere classified - - -
Riveles Wahab LLP Multi-Housing Income Reit Inc - 1-A - - - -
Hoverink Biotechnologies, Inc. Hoverink Biotechnologies Inc - 10-12G 6770 - Blank check - - -
Martin Estill Baytex Credit Corp - 10-12G - - - -
W. V. Walker, Esq. Baytex Credit Corp - 10-12G - - - -
Ballard Spahr LLP Intest Corp INTT S-3 3825 - Instruments for measuring & testing of electricity & electric signals - - -
Sidley Austin LLP Celsion Corp CLSN S-1 3845 - Electromedical & electrotherapeutic apparatus Oppenheimer & Co. Inc. - -
Appian Corporation Appian Corp APPN S-1 7372 - Services - prepackaged software Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC Barclays Capital Inc. / William Blair & Company, L.L.C. / Canaccord Genuity Inc. KeyBanc Capital Markets Inc. / Cowen and Company, LLC / SunTrust Robinson Humphrey, Inc.
Arnold & Porter Kaye Scholer LLP Camposol Holding Plc - F-1 0100 - Agricultural production-crops Merrill Lynch, Pierce, Fenner & Smith Inc. UBS Securities LLC / Banco BTG-Pactual S.A. - Cayman Branch Itau BBA USA Securities, Inc. / Banco Internacional del Perú S.A.A.
Avaya Holdings Corp. Avaya Holdings Corp AVYA 10-12B 3661 - Telephone & telegraph apparatus - - -
Baker Botts L.L.P. Liberty Latin America Ltd - S-1 4841 - Cable & other pay television services - - -
Biocept, Inc. Biocept Inc BIOC S-1 8071 - Services - medical laboratories - - -
BlackLine, Inc. Blackline Inc BL S-3 7372 - Services - prepackaged software - - -
Camposol Holding PLC Camposol Holding Plc - F-1 0100 - Agricultural production-crops Merrill Lynch, Pierce, Fenner & Smith Inc. UBS Securities LLC / Banco BTG-Pactual S.A. - Cayman Branch Itau BBA USA Securities, Inc. / Banco Internacional del Perú S.A.A.
Casa Systems, Inc. Casa Systems Inc - S-1 3663 - Radio & television broadcasting & communications equipment Morgan Stanley & Co. LLC Barclays Capital Inc. Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc.
Christian, Samson & Jones, PLLC Glacier Bancorp Inc GBCI S-4 6022 - State commercial banks - - -
Cleary Gottlieb Steen & Hamilton LLP Camposol Holding Plc - F-1 0100 - Agricultural production-crops Merrill Lynch, Pierce, Fenner & Smith Inc. UBS Securities LLC / Banco BTG-Pactual S.A. - Cayman Branch Itau BBA USA Securities, Inc. / Banco Internacional del Perú S.A.A.
Cooley LLP Aptevo Therapeutics Inc APVO S-3 2834 - Pharmaceutical preparations Piper Jaffray & Co. - -
Cooley LLP Appian Corp APPN S-1 7372 - Services - prepackaged software Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC Barclays Capital Inc. / William Blair & Company, L.L.C. / Canaccord Genuity Inc. KeyBanc Capital Markets Inc. / Cowen and Company, LLC / SunTrust Robinson Humphrey, Inc.
Cooley LLP Myovant Sciences Ltd MYOV S-3 2834 - Pharmaceutical preparations - - -
Cooley LLP Biocept Inc BIOC S-1 8071 - Services - medical laboratories - - -
Crowell & Moring LLP Gigcapital Inc - S-1 6770 - Blank check Cowen and Company, LLC - -
Davis Polk & Wardwell LLP Denali Therapeutics Inc - S-1 2836 - Biological products, except diagnostic substances Goldman Sachs & Co. LLC Morgan Stanley & Co. LLC J.P. Morgan Securities LLC / Evercore Group L.L.C.
Debevoise & Plimpton LLP Axa Equitable Holdings Inc - S-1 - Morgan Stanley & Co. LLC J.P. Morgan Securities LLC -
Denali Therapeutics Inc. Denali Therapeutics Inc - S-1 2836 - Biological products, except diagnostic substances Goldman Sachs & Co. LLC Morgan Stanley & Co. LLC J.P. Morgan Securities LLC / Evercore Group L.L.C.
DLA Piper LLP Neothetics Inc NEOT S-4 2834 - Pharmaceutical preparations - - -
Eversheds Sutherland LLP Brighthouse Life Insurance Co - S-3 6311 - Life insurance Brighthouse Securities, LLC - -
Eversheds Sutherland LLP Brighthouse Life Insurance Co - S-3 6311 - Life insurance Brighthouse Securities, LLC - -
Eversheds Sutherland LLP Brighthouse Life Insurance Co - S-3 6311 - Life insurance Brighthouse Securities, LLC - -
Evofem Biosciences, Inc. Neothetics Inc NEOT S-4 2834 - Pharmaceutical preparations - - -
Foley Hoag LLP Zosano Pharma Corp ZSAN S-1 2834 - Pharmaceutical preparations Lincoln Park Capital Fund, LLC - -
Fried, Frank, Harris, Shriver & Jacobson LLP Jeld-Wen Holding Inc JELD S-1 2431 - Millwork Barclays Capital Inc. / Citigroup Global Markets Inc. / Credit Suisse Securities LLC J.P. Morgan Securities LLC / Robert W. Baird & Co. Inc. / Goldman Sachs & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Deutsche Bank Securities Inc. / RBC Capital Markets, LLC / Wells Fargo Securities, LLC
Gibson, Dunn & Crutcher LLP Odonate Therapeutics Llc - S-1 2834 - Pharmaceutical preparations Goldman Sachs & Co. LLC Jefferies LLC Cowen and Company, LLC
Goodwin Procter LLP Anthera Pharmaceuticals Inc ANTH S-3 2834 - Pharmaceutical preparations - - -
Greenberg Traurig, LLP Gigcapital Inc - S-1 6770 - Blank check Cowen and Company, LLC - -
Holland & Hart LLP Glacier Bancorp Inc GBCI S-4 6022 - State commercial banks - - -
Jones Walker L.L.P. Gulf Island Fabrication Inc GIFI S-3 3440 - Fabricated structural metal products - - -
K&L Gates LLP Veritone Inc VERI S-1 7374 - Services - computer processing & data preparation Roth Capital Partners, LLC Craig-Hallum Capital Group LLC -
King & Spalding LLP Americold Realty Trust - S-11 6798 - Real estate investment trusts Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC RBC Capital Markets, LLC
Kirkland & Ellis LLP Avaya Holdings Corp AVYA 10-12B 3661 - Telephone & telegraph apparatus - - -
Latham & Watkins LLP Jeld-Wen Holding Inc JELD S-1 2431 - Millwork Barclays Capital Inc. / Citigroup Global Markets Inc. / Credit Suisse Securities LLC J.P. Morgan Securities LLC / Robert W. Baird & Co. Inc. / Goldman Sachs & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Deutsche Bank Securities Inc. / RBC Capital Markets, LLC / Wells Fargo Securities, LLC
Latham & Watkins LLP Odonate Therapeutics Llc - S-1 2834 - Pharmaceutical preparations Goldman Sachs & Co. LLC Jefferies LLC Cowen and Company, LLC
Latham & Watkins LLP Evoke Pharma Inc EVOK S-3 2834 - Pharmaceutical preparations B. Riley FBR, Inc. - -
Latham & Watkins LLP Presidio Inc PSDO S-1 5045 - Wholesale - computers & peripheral equipment & software (SIC) J.P. Morgan Securities LLC / Citigroup Global Markets Inc. / RBC Capital Markets, LLC / Barclays Capital Inc. Credit Suisse Securities LLC / Goldman Sachs & Co. LLC / Wells Fargo Securities, LLC / Evercore Group L.L.C. Deutsche Bank Securities Inc. / Guggenheim Securities, LLC / Apollo Global Securities, LLC / LionTree Advisors LLC
Latham & Watkins LLP Golden Entertainment Inc GDEN S-3 7990 - Services - miscellaneous amusement & recreation - - -
Miller Nash Graham & Dunn LLP Glacier Bancorp Inc GBCI S-4 6022 - State commercial banks - - -
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Neothetics Inc NEOT S-4 2834 - Pharmaceutical preparations - - -
Myovant Sciences, Inc. Myovant Sciences Ltd MYOV S-3 2834 - Pharmaceutical preparations - - -
Presidio, Inc. Presidio Inc PSDO S-1 5045 - Wholesale - computers & peripheral equipment & software (SIC) J.P. Morgan Securities LLC / Citigroup Global Markets Inc. / RBC Capital Markets, LLC / Barclays Capital Inc. Credit Suisse Securities LLC / Goldman Sachs & Co. LLC / Wells Fargo Securities, LLC / Evercore Group L.L.C. Deutsche Bank Securities Inc. / Guggenheim Securities, LLC / Apollo Global Securities, LLC / LionTree Advisors LLC
Ropes & Gray LLP Microvision Inc MVIS S-3 3679 - Electronic components, not elsewhere classified - - -
Shearman & Sterling LLP Liberty Latin America Ltd - S-1 4841 - Cable & other pay television services - - -
Shearman & Sterling LLP Valvoline Inc VVV S-4 2999 - Products of petroleum & coal, not elsewhere classified - - -
Sidley Austin LLP Americold Realty Trust - S-11 6798 - Real estate investment trusts Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC RBC Capital Markets, LLC
Stradling, Yocca, Carlson & Rauth, P.C. Veritone Inc VERI S-1 7374 - Services - computer processing & data preparation Roth Capital Partners, LLC Craig-Hallum Capital Group LLC -
Sullivan & Cromwell LLP Andeavor Corp ANDV S-4 2911 - Petroleum refining - - -
Sullivan & Cromwell LLP Axa Equitable Holdings Inc - S-1 - Morgan Stanley & Co. LLC J.P. Morgan Securities LLC -
Veritone, Inc. Veritone Inc VERI S-1 7374 - Services - computer processing & data preparation Roth Capital Partners, LLC Craig-Hallum Capital Group LLC -
Vorys, Sater, Seymour and Pease LLP Central Federal Corp CFBK S-3 6035 - Savings institutions, federally chartered - - -
Wachtell, Lipton, Rosen & Katz Presidio Inc PSDO S-1 5045 - Wholesale - computers & peripheral equipment & software (SIC) J.P. Morgan Securities LLC / Citigroup Global Markets Inc. / RBC Capital Markets, LLC / Barclays Capital Inc. Credit Suisse Securities LLC / Goldman Sachs & Co. LLC / Wells Fargo Securities, LLC / Evercore Group L.L.C. Deutsche Bank Securities Inc. / Guggenheim Securities, LLC / Apollo Global Securities, LLC / LionTree Advisors LLC
Wachtell, Lipton, Rosen & Katz Expedia Inc EXPE S-4 4700 - Transportation services - - -
Willkie Farr & Gallagher LLP Metaurus Equity Component Trust - S-1 6799 - Investors, not elsewhere classified - - -
Wilmer Cutler Pickering Hale and Dorr LLP Casa Systems Inc - S-1 3663 - Radio & television broadcasting & communications equipment Morgan Stanley & Co. LLC Barclays Capital Inc. Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc.
Wilson Sonsini Goodrich & Rosati, P.C. Blackline Inc BL S-3 7372 - Services - prepackaged software - - -
Wilson Sonsini Goodrich & Rosati, P.C. Denali Therapeutics Inc - S-1 2836 - Biological products, except diagnostic substances Goldman Sachs & Co. LLC Morgan Stanley & Co. LLC J.P. Morgan Securities LLC / Evercore Group L.L.C.
Wilson Sonsini Goodrich & Rosati, P.C. Casa Systems Inc - S-1 3663 - Radio & television broadcasting & communications equipment Morgan Stanley & Co. LLC Barclays Capital Inc. Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc.
Wilson Sonsini Goodrich & Rosati, PC Appian Corp APPN S-1 7372 - Services - prepackaged software Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC Barclays Capital Inc. / William Blair & Company, L.L.C. / Canaccord Genuity Inc. KeyBanc Capital Markets Inc. / Cowen and Company, LLC / SunTrust Robinson Humphrey, Inc.
CKR Law Origo Acquisition Corp OACQ S-4 6770 - Blank check - - -
Drinker Biddle & Reath LLP Destra International & Event-Driven Credit Fund - N-2 - Destra Capital Investments LLC - -
Ellenoff Grossman & Schole LLP Origo Acquisition Corp OACQ S-4 6770 - Blank check - - -
Morrison & Foerster LLP Oncosec Medical Inc ONCS S-1 2834 - Pharmaceutical preparations - - -
Eversheds Sutherland LLP Sierra Real Estate Fund - N-2 - SREF Advisors LLC - -
Lowther Johnson Attorneys at Law, LLC Southern Missouri Bancorp Inc SMBC S-4 6036 - Savings institutions, not federally chartered - - -
Silver, Freedman, Taff & Tiernan LLP Southern Missouri Bancorp Inc SMBC S-4 6036 - Savings institutions, not federally chartered - - -
Latham & Watkins LLP Gardner Denver Holdings Inc GDI S-1 3569 - General industrial machinery & equipment, not elsewhere classified Goldman Sachs & Co. LLC Citigroup Global Markets Inc. KKR Capital Markets LLC
Simpson Thacher & Bartlett LLP Gardner Denver Holdings Inc GDI S-1 3569 - General industrial machinery & equipment, not elsewhere classified Goldman Sachs & Co. LLC Citigroup Global Markets Inc. KKR Capital Markets LLC
Sullivan & Cromwell LLP Terraform Power Inc TERP S-1 4911 - Electric services - - -
Cravath, Swaine & Moore LLP Hudson Ltd - F-1 5399 - Retail - miscellaneous general merchandise stores Credit Suisse Securities LLC Morgan Stanley & Co. LLC UBS Securities LLC
Davis Polk & Wardwell LLP Hudson Ltd - F-1 5399 - Retail - miscellaneous general merchandise stores Credit Suisse Securities LLC Morgan Stanley & Co. LLC UBS Securities LLC
Holland & Knight LLP Advantage Insurance Inc - S-1 6311 - Life insurance Raymond James & Associates, Inc. JMP Securities LLC B. Riley FBR, Inc.
Manatt, Phelps & Phillips, LLP Advantage Insurance Inc - S-1 6311 - Life insurance Raymond James & Associates, Inc. JMP Securities LLC B. Riley FBR, Inc.
Vidal, Nieves & Bauzá, LLC Advantage Insurance Inc - S-1 6311 - Life insurance Raymond James & Associates, Inc. JMP Securities LLC B. Riley FBR, Inc.
Clifford Chance US LLP Northstar Real Estate Capital Income Fund-C - N-2 - ALPS Distributors, Inc. - -
Ellenoff Grossman & Schole LLP Farmmi Inc - F-1 5140 - Wholesale - groceries & related products ViewTrade Securities, Inc. - -
Gallagher & Kennedy P.A. Escondido Innovations Inc - 10-12G - - - -
Kaufman & Canoles, P.C. Farmmi Inc - F-1 5140 - Wholesale - groceries & related products ViewTrade Securities, Inc. - -
Winstead PC Bio-Path Holdings Inc BPTH S-3 5940 - Retail - miscellaneous shopping goods stores - - -

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 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