Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: November 20 - 24

There were 32 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions servicesincluding Enerjex Resources Inc w/ Dickinson Wright PLLC, Shineco Inc w/ Hunter Taubman Fischer & Li, LLC, Rimini Street Inc w/ Rimini Street, Inc., Rimini Street Inc w/ Wilson Sonsini Goodrich & Rosati, P.C.

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 +
Baker Donelson, Bearman, Caldwell & Berkowitz, PC Old Line Bancshares Inc OLBK S-4 6022 - State commercial banks - - -
Bay Bancorp, Inc. Old Line Bancshares Inc OLBK S-4 6022 - State commercial banks - - -
Gordon Feinblatt LLC Old Line Bancshares Inc OLBK S-4 6022 - State commercial banks - - -
Hogan Lovells US LLP Westwater Resources Inc WWR S-3 1000 - Metal mining - - -
Windels Marx Lane & Mittendorf, LLP Connectone Bancorp Inc CNOB S-3 6022 - State commercial banks - - -
Duane Morris LLP Soligenix Inc SNGX S-1 2834 - Pharmaceutical preparations - - -
Garvey Schubert Barer Cohbar Inc - S-3 2834 - Pharmaceutical preparations - - -
Lucosky Brookman LLP Meridian Waste Solutions Inc MRDN S-3 4950 - Sanitary services - - -
Sichenzia Ross Ference Kesner LLP Aytu Bioscience Inc AYTU S-3 2834 - Pharmaceutical preparations - - -
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo P.C. Genius Brands International Inc GNUS S-1 7812 - Services - motion picture & video tape production - - -
Trombly Business Law, P.C. Precision Optics Corporation Inc PEYE S-1 3845 - Electromedical & electrotherapeutic apparatus - - -
Cahill Gordon & Reindel LLP Avista Healthcare Public Acquisition Corp AHPA S-4 6770 - Blank check - - -
Capella Education Company Strayer Education Inc STRA S-4 8200 - Services - educational services - - -
Envigo International Holdings, Inc. Avista Healthcare Public Acquisition Corp AHPA S-4 6770 - Blank check - - -
Kirkland & Ellis LLP Strayer Education Inc STRA S-4 8200 - Services - educational services - - -
Latham & Watkins LLP Strayer Education Inc STRA S-4 8200 - Services - educational services - - -
Morgan, Lewis & Bockius LLP Boot Barn Holdings Inc BOOT S-3 5661 - Retail - shoe stores - - -
Sidley Austin LLP Industrial Logistics Properties Trust - S-11 6798 - Real estate investment trusts UBS Securities LLC Citigroup Global Markets Inc. RBC Capital Markets, LLC
Sullivan & Worcester LLP Industrial Logistics Properties Trust - S-11 6798 - Real estate investment trusts UBS Securities LLC Citigroup Global Markets Inc. RBC Capital Markets, LLC
Weil, Gotshal & Manges LLP Avista Healthcare Public Acquisition Corp AHPA S-4 6770 - Blank check - - -
Buckley Sandler LLP Delmar Bancorp DBCP 1-A 6022 - State commercial banks - - -
Morgan, Lewis & Bockius LLP Onconova Therapeutics Inc ONTX S-3 2834 - Pharmaceutical preparations - - -
Hogan Lovells US LLP Pernix Therapeutics Holdings Inc PTX S-3 2834 - Pharmaceutical preparations Cantor Fitzgerald & Co. - -
Pernix Therapeutics Holdings, Inc. Pernix Therapeutics Holdings Inc PTX S-3 2834 - Pharmaceutical preparations Cantor Fitzgerald & Co. - -
Nemus Bioscience, Inc. Nemus Bioscience Inc NMUS S-1 4213 - Trucking, except local - - -
Weintraub Tobin Chediak Coleman Grodin, Law Corp. Digital Power Corp DPW S-3 3679 - Electronic components, not elsewhere classified - - -
Weintraub Tobin Chediak Coleman Grodin, Law Corp. Digital Power Corp DPW S-3 3679 - Electronic components, not elsewhere classified - - -
Weintraub Tobin Chediak Coleman Grodin, Law Corp. Digital Power Corp DPW S-3 3679 - Electronic components, not elsewhere classified - - -
Alston & Bird LLP Colony Northstar Credit Real Estate Inc - S-4 6798 - Real estate investment trusts - - -
CalAtlantic Group, Inc. Lennar Corp LEN S-4 1520 - General building contractors-residential buildings - - -
Davis Polk & Wardwell LLP Amazon Com Inc AMZN S-4 5961 - Retail - catalog & mail-order houses Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC Morgan Stanley & Co. LLC
Gibson, Dunn & Crutcher LLP Amazon Com Inc AMZN S-4 5961 - Retail - catalog & mail-order houses Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC Morgan Stanley & Co. LLC
Gibson, Dunn & Crutcher LLP Lennar Corp LEN S-4 1520 - General building contractors-residential buildings - - -
Goodwin Procter LLP Lennar Corp LEN S-4 1520 - General building contractors-residential buildings - - -
Greenberg Traurig, LLP Colony Northstar Credit Real Estate Inc - S-4 6798 - Real estate investment trusts - - -
Hogan Lovells US LLP Colony Northstar Credit Real Estate Inc - S-4 6798 - Real estate investment trusts - - -
Impax Laboratories, Inc. Atlas Holdings Inc - S-4 - - - -
Latham & Watkins LLP Atlas Holdings Inc - S-4 - - - -
NorthStar Real Estate Income II, Inc. Colony Northstar Credit Real Estate Inc - S-4 6798 - Real estate investment trusts - - -
Sullivan & Cromwell LLP Atlas Holdings Inc - S-4 - - - -
Morrison & Foerster LLP B. Riley Financial Inc RILY S-3 7389 - Services - business services, not elsewhere classified - - -
Graubard Miller Andina Ii Holdco Corp - S-4 - EarlyBirdCapital, Inc. - -
Graubard Miller Long Island Iced Tea Corp LTEA S-1 2082 - Malt beverages Maxim Group LLC - -
Law Offices of Barnett & Linn Forex Development Corp - S-1 - - - -
Pryor Cashman LLP Long Island Iced Tea Corp LTEA S-1 2082 - Malt beverages Maxim Group LLC - -
Vinson & Elkins L.L.P. Cherry Hill Mortgage Investment Corp CHMI S-3 6798 - Real estate investment trusts - - -
Dickinson Wright PLLC Enerjex Resources Inc ENRJ S-4 1311 - Crude petroleum & natural gas - - -
Hunter Taubman Fischer & Li, LLC Shineco Inc TYHT S-3 6770 - Blank check - - -
Rimini Street, Inc. Rimini Street Inc RMNI S-1 6770 - Blank check - - -
Wilson Sonsini Goodrich & Rosati, P.C. Rimini Street Inc RMNI S-1 6770 - Blank check - - -

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