Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: November 27 - December 1

There were 40 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions servicesincluding A M Castle & Co w/ A. M. Castle & Co., A M Castle & Co w/ McDermott Will & Emery LLP, Cision Ltd w/ Cision Ltd., Rw Holdings Student Housing Reit Inc w/ Corporate Law Solutions, PC, Innovative Industrial Properties Inc w/ Foley & Lardner LLP, Cision Ltd w/ Kirkland & Ellis LLP, Ocean Power Technologies Inc w/ Porter Hedges LLP, Sinorama Corp w/ Robert Brantl, Esq., Guardion Health Sciences Inc w/ Sheppard, Mullin, Richter & Hampton LLP, Hall Structured Finance II Llc w/ Winston & Strawn 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.

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

2018SECCALBanner.pngblog-1.png

 

Account / Firm Company Name Symbol Form Type Industry Underwriter 1 Underwriter 2 Underwriter 3 +
DLA Piper LLP Atlas Financial Holdings Inc AFH S-3 6331 - Fire, marine & casualty insurance - - -
CrowdCheck Law LLP Bitzumi Inc - 1-A - - - -
Faegre Baker Daniels, LLP Insignia Systems Inc ISIG S-3 7319 - Services - advertising, not elsewhere classified - - -
Gracin & Marlow, LLP Youngevity International Inc YGYI S-1 5961 - Retail - catalog & mail-order houses (SIC) - - -
Hunter Taubman Fischer & LI LLC Youngevity International Inc YGYI S-1 5961 - Retail - catalog & mail-order houses (SIC) - - -
Novume Solutions, Inc. Novume Solutions Inc - S-1 3669 - Communications equipment, not elsewhere classified The Benchmark Company, LLC Northland Securities, Inc. -
Schiff Hardin LLP Novume Solutions Inc - S-1 3669 - Communications equipment, not elsewhere classified The Benchmark Company, LLC Northland Securities, Inc. -
Sichenzia Ross Ference Kesner LLP Novume Solutions Inc - S-1 3669 - Communications equipment, not elsewhere classified The Benchmark Company, LLC Northland Securities, Inc. -
Garvey Schubert Barer China Recycling Energy Corp CREG S-3 7389 - Services - business services, not elsewhere classified (SIC) - - -
Pryor Cashman LLP Mantra Venture Group Ltd 5MV S-4 3690 - Miscellaneous electrical machinery, equipment & supplies - - -
Pearlman Law Group LLP Worthy Peer Capital Inc - 1-A 7372 - Services - prepackaged software - - -
Dechert LLP Nb Crossroads Private Markets Fund V Holdings Lp - N-2 - - - -
Skadden, Arps, Slate, Meagher & Flom LLP Guggenheim Strategic Opportunities Fund GOF N-2 6799 - Investors, not elsewhere classified (SIC) - - -
Shearman & Sterling LLP Venator Materials Plc VNTR S-1 5169 - Wholesale - Chemicals & allied products, not elsewhere classified Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
Vinson & Elkins L.L.P. Venator Materials Plc VNTR S-1 5169 - Wholesale - Chemicals & allied products, not elsewhere classified Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC
Vinson & Elkins L.L.P. Plains All American Pipeline Lp PAA S-3 4610 - Pipelines, except natural gas (SIC) - - -
Live Current Media Inc. Live Current Media Inc LIVC 10-12G 7389 - Services - business services, not elsewhere classified - - -
C1 Investment Corp. Forum Merger Corp FMCI S-4 6770 - Blank checks (SIC) Early Bird Capital, Inc. - -
Cantor Fitzgerald Investors, LLC Rodin Income Trust Inc - S-11 6798 - Real estate investment trusts - - -
Cooley LLP Forum Merger Corp FMCI S-4 6770 - Blank checks (SIC) Early Bird Capital, Inc. - -
Davis Polk & Wardwell LLP Smart Global Holdings Inc SGH S-1 3674 - Semiconductors & related devices Barclays Capital Inc. / Deutsche Bank Securities Inc. Jefferies LLC / Stifel, Nicolaus & Company, Inc. Needham & Company, LLC / Roth Capital Partners, LLC
DLA Piper LLP Getty Realty Corp GTY S-3 6500 - Real estate - - -
Dorsey & Whitney LLP Aptose Biosciences Inc APTO F-1 2836 - Biological products, except diagnostic substances Aspire Capital Fund, LLC - -
Ellenoff Grossman & Schole LLP Forum Merger Corp FMCI S-4 6770 - Blank checks (SIC) Early Bird Capital, Inc. - -
Greenberg Traurig, LLP Rodin Income Trust Inc - S-11 6798 - Real estate investment trusts - - -
Haneberg Hurlbert PLC Wheeler Real Estate Investment Trust Inc WHLR S-3 6798 - Real estate investment trusts (SIC) - - -
Keating Muething & Klekamp PLL Meridian Bioscience Inc VIVO S-3 2835 - In vitro & in vivo diagnostic substances - - -
Latham & Watkins LLP Smart Global Holdings Inc SGH S-1 3674 - Semiconductors & related devices Barclays Capital Inc. / Deutsche Bank Securities Inc. Jefferies LLC / Stifel, Nicolaus & Company, Inc. Needham & Company, LLC / Roth Capital Partners, LLC
Morgan, Lewis & Bockius LLP World Currency Gold Trust - S-1 6221 - Commodity contracts brokers & dealers - - -
Paratek Pharmaceuticals, Inc. Paratek Pharmaceuticals Inc PRTK S-3 2834 - Pharmaceutical preparations (SIC) - - -
Ropes & Gray LLP Pimco Flexible Municipal Income Fund - N-2 - PIMCO Investments LLC - -
Ropes & Gray LLP Paratek Pharmaceuticals Inc PRTK S-3 2834 - Pharmaceutical preparations (SIC) - - -
Skadden, Arps, Slate, Meagher & Flom LLP Heritage Insurance Holdings Inc HRTG S-3 6331 - Fire, marine & casualty insurance (SIC) - - -
Wilmer Cutler Pickering Hale and Dorr LLP Aveo Pharmaceuticals Inc AVEO S-3 2834 - Pharmaceutical preparations - - -
Winston & Strawn LLP Silgan Holdings Inc SLGN S-4 3411 - Metal cans - - -
Winston & Strawn LLP Heritage Insurance Holdings Inc HRTG S-3 6331 - Fire, marine & casualty insurance (SIC) - - -
Nason, Yeager, Gerson, White & Lioce, P.A. Usell.Com Inc USEL S-1 7200 - Services - personal services - - -
Libertas Law Group, Inc. Chanticleer Holdings Inc BURG S-3 8742 - Services - management consulting services (SIC) - - -
Olshan Frome Wolosky LLP Hologram Usa Networks Inc - 1-A - - - -
Sichenzia Ross Ference Kesner LLP Green Spirit Industries Inc CYVA S-1 5400 - Retail - food stores (SIC) - - -
Paesano Akkashian Apkarian, P.C. Ati Modular Technology Corp - S-4 3448 - Prefabricated metal buildings & components (SIC) - - -
A. M. Castle & Co. A M Castle & Co CAS S-1 5051 - Wholesale - metals service centers & offices - - -
McDermott Will & Emery LLP A M Castle & Co CAS S-1 5051 - Wholesale - metals service centers & offices - - -
Cision Ltd. Cision Ltd CISN S-1 7372 - Services - prepackaged software - - -
Corporate Law Solutions, PC Rw Holdings Student Housing Reit Inc - 1-A - - - -
Foley & Lardner LLP Innovative Industrial Properties Inc IIPR S-3 6500 - Real estate (SIC) - - -
Kirkland & Ellis LLP Cision Ltd CISN S-1 7372 - Services - prepackaged software - - -
Porter Hedges LLP Ocean Power Technologies Inc OPTT S-3 3699 - Electrical machinery, equipment & supplies, not elsewhere classified (SIC) - - -
Robert Brantl, Esq. Sinorama Corp - S-1 4700 - Transportation services - - -
Sheppard, Mullin, Richter & Hampton LLP Guardion Health Sciences Inc - S-1 2834 - Pharmaceutical preparations - - -
Winston & Strawn LLP Hall Structured Finance II Llc - 1-A 6500 - Real estate (SIC) - - -
Sidley Austin LLP Exicure Inc - S-1 6770 - Blank check - - -

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