Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: November 6 - 10

There were 51 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Chimerix Inc w/ Cooley LLP, Clearsign Combustion Corp w/ Cooley LLP, Howard Bancorp Inc w/ Covington & Burling LLP, Clearsign Combustion Corp w/ Ellenoff Grossman & Schole LLP, Howard Bancorp Inc w/ First Mariner Bank, Howard Bancorp Inc w/ Venable LLP, Checkpoint Therapeutics Inc w/ Alston & Bird LLP, Sslj. Com Ltd w/ Ellenoff Grossman & Schole LLP, Cellectar Biosciences Inc w/ Michael Best & Friedrich LLP, Sslj. Com Ltd w/ Ortoli Rosenstadt LLP, Sorrento Therapeutics Inc w/ Paul Hastings 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.

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Account / Firm Company Name Symbol Form Type Industry Underwriter 1 Underwriter 2 Underwriter 3 +
Monopar Therapeutics Inc. Monopar Therapeutics - 10-12G - - - -
Wilson Sonsini Goodrich & Rosati, PC Bridgepoint Education Inc BPI S-3 8200 - Services - educational services - - -
Davis Polk & Wardwell LLP Comcast Corp CCV S-4 4841 - Cable & other pay television services - - -
Davis Polk & Wardwell LLP Entera Bio Ltd - F-1 2836 - Biological products, except diagnostic substances Oppenheimer & Co. Inc. - -
Gornitzky & Co. Entera Bio Ltd - F-1 2836 - Biological products, except diagnostic substances Oppenheimer & Co. Inc. - -
Herzog Fox & Neeman Entera Bio Ltd - F-1 2836 - Biological products, except diagnostic substances Oppenheimer & Co. Inc. - -
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo PC Entera Bio Ltd - F-1 2836 - Biological products, except diagnostic substances Oppenheimer & Co. Inc. - -
Wyrick Robbins Yates & Ponton LLP Citius Pharmaceuticals Inc CTXR S-3 3714 - Motor vehicle parts & accessories - - -
Davis Graham & Stubbs LLP Silver Bull Resources Inc SVBL S-1 1000 - Metal mining - - -
Barack Ferrazzano Kirschbaum & Nagelberg LLP First Business Financial Services Inc FBIZ S-3 6022 - State commercial banks - - -
Olshan Frome Wolosky LLP Gamco Investors Inc. Et Al GBL S-3 6211 - Security brokers, dealers & flotation companies G.distributors, LLC - -
Trombly Business Law, PC Sonoma Pharmaceuticals Inc SNOA S-3 3841 - Surgical & medical instruments & apparatus - - -
Gibson, Dunn & Crutcher LLP Biocryst Pharmaceuticals Inc BCRX S-3 2836 - Biological products, except diagnostic substances - - -
DLA Piper LLP Maxwell Technologies Inc MXWL S-3 3690 - Miscellaneous electrical machinery, equipment & supplies - - -
Aralez Pharmaceuticals Inc. Aralez Pharmaceuticals Inc ARLZ S-3 2834 - Pharmaceutical preparations - - -
Buckley Sandler LLP Luther Burbank Corp - S-1 6022 - State commercial banks Keefe, Bruyette & Woods, Inc. Sandler O'Neill & Partners, L.P. Piper Jaffray & Co. / D.A. Davidson & Co.
Hogan Lovells US LLP Fibrocell Science Inc FCSC S-1 2834 - Pharmaceutical preparations H.C. Wainwright & Co., LLC - -
Latham & Watkins LLP Solaris Oilfield Infrastructure Inc SOI S-1 3533 - Oil & gas field machinery & equipment Credit Suisse Securities LLC Goldman Sachs & Co. LLC -
Latham & Watkins LLP Luther Burbank Corp - S-1 6022 - State commercial banks Keefe, Bruyette & Woods, Inc. Sandler O'Neill & Partners, L.P. Piper Jaffray & Co. / D.A. Davidson & Co.
Lowenstein Sandler LLP Fibrocell Science Inc FCSC S-1 2834 - Pharmaceutical preparations H.C. Wainwright & Co., LLC - -
Luther Burbank Corporation Luther Burbank Corp - S-1 6022 - State commercial banks Keefe, Bruyette & Woods, Inc. Sandler O'Neill & Partners, L.P. Piper Jaffray & Co. / D.A. Davidson & Co.
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Quanterix Corp - S-1 3826 - Laboratory analytical instruments J.P. Morgan Securities LLC Leerink Partners LLC BTIG, LLC / Evercore Group L.L.C.
Quanterix Corporation Quanterix Corp - S-1 3826 - Laboratory analytical instruments J.P. Morgan Securities LLC Leerink Partners LLC BTIG, LLC / Evercore Group L.L.C.
Ropes & Gray LLP Quanterix Corp - S-1 3826 - Laboratory analytical instruments J.P. Morgan Securities LLC Leerink Partners LLC BTIG, LLC / Evercore Group L.L.C.
Simpson Thacher & Bartlett LLP Acushnet Holdings Corp GOLF S-1 3949 - Sporting & athletic goods, not elsewhere classified - - -
Vinson & Elkins L.L.P. Solaris Oilfield Infrastructure Inc SOI S-1 3533 - Oil & gas field machinery & equipment Credit Suisse Securities LLC Goldman Sachs & Co. LLC -
Vinson & Elkins L.L.P. Enviva Partners Lp EVA S-4 2499 - Wood products, not elsewhere classified - - -
Willkie Farr & Gallagher LLP Aralez Pharmaceuticals Inc ARLZ S-3 2834 - Pharmaceutical preparations - - -
Cooley LLP Telaria Inc TLRA S-3 7311 - Services - advertising agencies - - -
Telaria, Inc. Telaria Inc TLRA S-3 7311 - Services - advertising agencies - - -
Wilson Sonsini Goodrich & Rosati, PC Avinger Inc AVGR S-1 3841 - Surgical & medical instruments & apparatus Lincoln Park Capital Fund, LLC - -
Eversheds Sutherland LLP Priority Income Fund Inc 0569204D N-2 - - - -
Gerrish Smith Tuck Eagle Bancorp Montana Inc EBMT S-4 6035 - Savings institutions, federally chartered - - -
Goodwin Procter LLP Viveve Medical Inc VIVE S-3 3845 - Electromedical & electrotherapeutic apparatus Cowen and Company, LLC - -
Nixon Peabody LLP Eagle Bancorp Montana Inc EBMT S-4 6035 - Savings institutions, federally chartered - - -
Adams and Reese LLP Cumberland Pharmaceuticals Inc CPIX S-3 2834 - Pharmaceutical preparations B. Riley FBR, Inc. - -
AquaBounty Technologies, Inc. Aquabounty Technologies Inc AQB S-1 2836 - Biological products, except diagnostic substances H.C. Wainwright & Co., LLC - -
Cadence Bancorporation Cadence Bancorp CADE S-1 6022 - State commercial banks Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Robert W. Baird & Co. Inc. Keefe, Bruyette & Woods, Inc. / Raymond James & Associates, Inc. / RBC Capital Markets, LLC. Sandler O’Neill & Partners, L.P. / Stephens Inc. / Tudor, Pickering, Holt & Co. Securities, Inc.
Clifford Chance US LLP Quotient Ltd QTNT S-3 2835 - In vitro & in vivo diagnostic substances - - -
Cooley LLP Kura Oncology Inc KURA S-3 2834 - Pharmaceutical preparations Cowen and Company, LLC - -
Cooley LLP Obseva Sa OBSV F-1 2834 - Pharmaceutical preparations - - -
CRISPR Therapeutics AG Crispr Therapeutics Ag CRSP S-3 2836 - Biological products, except diagnostic substances - - -
Ellenoff Grossman & Schole LLP Aquabounty Technologies Inc AQB S-1 2836 - Biological products, except diagnostic substances H.C. Wainwright & Co., LLC - -
Goodwin Procter LLP Aquabounty Technologies Inc AQB S-1 2836 - Biological products, except diagnostic substances H.C. Wainwright & Co., LLC - -
Goodwin Procter LLP Crispr Therapeutics Ag CRSP S-3 2836 - Biological products, except diagnostic substances - - -
Larry Temple, Esq. First Financial Bankshares Inc FFIN S-4 6022 - State commercial banks - - -
Latham & Watkins LLP Lonestar Resources Us Inc LONE S-3 1311 - Crude petroleum & natural gas - - -
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Aspen Aerogels Inc ASPN S-3 5031 - Wholesale - lumber, plywood, millwork & wood panels - - -
Norton Rose Fulbright US LLP First Financial Bankshares Inc FFIN S-4 6022 - State commercial banks - - -
O’Melveny & Myers LLP Cti Biopharma Corp CTIC S-3 2834 - Pharmaceutical preparations - - -
Paul Hastings LLP Inseego Corp INSG S-3 3669 - Communications equipment, not elsewhere classified - - -
Phillips Murrah P.C. Panhandle Oil & Gas Inc PHX S-3 1311 - Crude petroleum & natural gas - - -
Ropes & Gray LLP Agenus Inc AGEN S-3 2836 - Biological products, except diagnostic substances - - -
Sidley Austin LLP Enterprise Products Partners L P. EPD S-3 4922 - Natural gas transmission - - -
Sullivan & Cromwell LLP Cadence Bancorp CADE S-1 6022 - State commercial banks Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Robert W. Baird & Co. Inc. Keefe, Bruyette & Woods, Inc. / Raymond James & Associates, Inc. / RBC Capital Markets, LLC. Sandler O’Neill & Partners, L.P. / Stephens Inc. / Tudor, Pickering, Holt & Co. Securities, Inc.
Wachtell, Lipton, Rosen & Katz Cadence Bancorp CADE S-1 6022 - State commercial banks Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / Robert W. Baird & Co. Inc. Keefe, Bruyette & Woods, Inc. / Raymond James & Associates, Inc. / RBC Capital Markets, LLC. Sandler O’Neill & Partners, L.P. / Stephens Inc. / Tudor, Pickering, Holt & Co. Securities, Inc.
Dickinson Wright PLLC Senestech Inc SNES S-1 2870 - Agricultural chemicals Roth Capital Partners, LLC - -
EAD Law Group, LLC Atlantic Acquisition Ii Inc - S-1 - - - -
Gunster, Yoakley & Stewart, P.A. Sensus Healthcare Inc SRTS S-3 3841 - Surgical & medical instruments & apparatus - - -
Perkins Coie LLP Senestech Inc SNES S-1 2870 - Agricultural chemicals Roth Capital Partners, LLC - -
Graubard Miller Pavmed Inc PAVM S-3 3841 - Surgical & medical instruments & apparatus - - -
Legal & Compliance, LLC The Chron Organization Inc SAMP S-1 7372 - Services - prepackaged software - - -
Cooley LLP Chimerix Inc CMRX S-3 2834 - Pharmaceutical preparations Cowen and Company, LLC. - -
Cooley LLP Clearsign Combustion Corp CLIR S-1 3823 - Industrial instruments for measurement, display, control Ladenburg Thalmann & Co. Inc. - -
Covington & Burling LLP Howard Bancorp Inc HBMD S-4 6022 - State commercial banks - - -
Ellenoff Grossman & Schole LLP Clearsign Combustion Corp CLIR S-1 3823 - Industrial instruments for measurement, display, control Ladenburg Thalmann & Co. Inc. - -
First Mariner Bank Howard Bancorp Inc HBMD S-4 6022 - State commercial banks - - -
Venable LLP Howard Bancorp Inc HBMD S-4 6022 - State commercial banks - - -
Alston & Bird LLP Checkpoint Therapeutics Inc CKPT S-3 2834 - Pharmaceutical preparations Cantor Fitzgerald & Co. Ladenburg Thalmann & Co. Inc. H.C. Wainwright & Co., LLC
Ellenoff Grossman & Schole LLP Sslj. Com Ltd - F-1 7340 - Services - to dwellings & other buildings Boustead Securities, LLC - -
Michael Best & Friedrich LLP Cellectar Biosciences Inc CLRB S-1 2834 - Pharmaceutical preparations - - -
Ortoli Rosenstadt LLP Sslj. Com Ltd - F-1 7340 - Services - to dwellings & other buildings Boustead Securities, LLC - -
Paul Hastings LLP Sorrento Therapeutics Inc SRNE S-3 8731 - Services - commercial physical & biological research - - -
Robinson & Cole LLP Integrity Applications Inc IGAP S-1 3841 - Surgical & medical instruments & apparatus - - -

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