Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: October 2 - 6

There were 54 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Metropolitan Bank Holding Corp w/ Davis Polk & Wardwell LLP, Metropolitan Bank Holding Corp w/ Luse Gorman, PC, Ekso Bionics Holdings Inc w/ Nutter, McClennen & Fish, LLP, Sorrento Therapeutics Inc w/ Paul Hastings LLP, Dgse Companies Inc w/ Stewart & Bonnet, 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 +
Bevilacqua PLLC 1847 Holdings Llc EFSH S-1 8742 - Services - management consulting services - - -
Eilers Law Group, P.A. Reviv3 Procare Co - S-1 - - - -
Kirkland & Ellis LLP Simply Good Foods Co - S-1 2000 - Food & kindred products - - -
Pryor Cashman LLP Intercloud Systems Inc ICLD S-1 1128725 - - -
Pacific Gold & Royalty Corp. Pacific Gold & Royalty Corp PCFG 10-12G 1040 - Gold & silver ores - - -
Hogan Lovells US LLP Eleven Biotherapeutics Inc EBIO S-1 1485003 H.C. Wainwright & Co., LLC - -
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Eleven Biotherapeutics Inc EBIO S-1 1485003 H.C. Wainwright & Co., LLC - -
Drinker Biddle & Reath LLP Infinity Long/Short Equity Fund Llc - N-2 1687430 - - -
iSocialy, Inc. Isocialy Inc - 10-12G - - - -
DLA Piper LLP Axogen Inc AXGN S-3 3845 - Electromedical & electrotherapeutic apparatus - - -
King & Spalding LLP Transocean Ltd RIG S-4 1381 - Drilling oil & gas wells - - -
Cravath, Swaine & Moore LLP Cyrusone Lp CONE S-4 6798 - Real estate investment trusts - - -
CyrusOne LP Cyrusone Lp CONE S-4 6798 - Real estate investment trusts - - -
EWT Holdings I Corp. Ewt Holdings I Corp - S-1 3580 - Refrigeration & service industry machinery Credit Suisse Securities LLC J.P. Morgan Securities LLC -
Fried, Frank, Harris, Shriver & Jacobson LLP Ewt Holdings I Corp - S-1 3580 - Refrigeration & service industry machinery Credit Suisse Securities LLC J.P. Morgan Securities LLC -
Latham & Watkins LLP Ewt Holdings I Corp - S-1 3580 - Refrigeration & service industry machinery Credit Suisse Securities LLC J.P. Morgan Securities LLC -
Cooley LLP S&W Seed Co SANW S-1 0100 - Agricultural production-crops - - -
Eversheds Sutherland LLP Ofs Credit Company Inc - N-2 - - - -
Maynard, Cooper & Gale, P.C. National Commerce Corp NCOM S-4 6021 - National commercial banks - - -
Nuvectra Corp. Nuvectra Corp NVTR S-3 3841 - Surgical & medical instruments & apparatus - - -
Troutman Sanders LLP National Commerce Corp NCOM S-4 6021 - National commercial banks - - -
Alston & Bird LLP Centerstate Bank Corp CSFL S-4 1102266 - - -
Aquantia Corp. Aquantia Corp - S-1 3674 - Semiconductors & related devices Morgan Stanley & Co. LLC Barclays Capital Inc. / Deutsche Bank Securities Inc. Needham & Company, LLC / Raymond James & Associates, Inc.
Cooley LLP Everbridge Inc EVBG S-3 7372 - Services - prepackaged software - - -
Cooley LLP Aquantia Corp - S-1 3674 - Semiconductors & related devices Morgan Stanley & Co. LLC Barclays Capital Inc. / Deutsche Bank Securities Inc. Needham & Company, LLC / Raymond James & Associates, Inc.
Cooley LLP Erytech Pharma - F-1 2836 - Biological products, except diagnostic substances Jefferies LLC Cowen and Company, LLC Oddo BHF SCA / JMP Securities LLC
Covington & Burling LLP Erytech Pharma - F-1 2836 - Biological products, except diagnostic substances Jefferies LLC Cowen and Company, LLC Oddo BHF SCA / JMP Securities LLC
Davis Polk & Wardwell LLP Ablynx Nv - F-1 2836 - Biological products, except diagnostic substances Merrill Lynch, Pierce, Fenner & Smith Inc. / J.P. Morgan Securities LLC Jefferies LLC / Robert W. Baird & Co. Inc. Bryan, Garnier & Co. / Ladenburg Thalmann & Co. Inc.
Davis Polk & Wardwell LLP Regalwood Global Energy Ltd - S-1 - Citigroup Global Markets Inc. J.P. Morgan Securities LLC -
Davis Polk & Wardwell LLP Allena Pharmaceuticals Inc - S-1 2836 - Biological products, except diagnostic substances Credit Suisse Securities LLC Jefferies LLC Cowen and Company, LLC / Wedbush Securities Inc.
Eubelius CVBA Ablynx Nv - F-1 2836 - Biological products, except diagnostic substances Merrill Lynch, Pierce, Fenner & Smith Inc. / J.P. Morgan Securities LLC Jefferies LLC / Robert W. Baird & Co. Inc. Bryan, Garnier & Co. / Ladenburg Thalmann & Co. Inc.
Everbridge, Inc. Everbridge Inc EVBG S-3 7372 - Services - prepackaged software - - -
Eversheds Sutherland LLP Cm Credit Opportunities Bdc I Inc - 10-12G - - - -
Fenimore, Kay, Harrison & Ford, LLP Home Bancorp Inc HBCP S-4 6036 - Savings institutions, not federally chartered - - -
Gide Loyrette Nouel A.A.R.P.I. Erytech Pharma - F-1 2836 - Biological products, except diagnostic substances Jefferies LLC Cowen and Company, LLC Oddo BHF SCA / JMP Securities LLC
Goodwin Procter LLP Ablynx Nv - F-1 2836 - Biological products, except diagnostic substances Merrill Lynch, Pierce, Fenner & Smith Inc. / J.P. Morgan Securities LLC Jefferies LLC / Robert W. Baird & Co. Inc. Bryan, Garnier & Co. / Ladenburg Thalmann & Co. Inc.
Goodwin Procter LLP Allena Pharmaceuticals Inc - S-1 2836 - Biological products, except diagnostic substances Credit Suisse Securities LLC Jefferies LLC Cowen and Company, LLC / Wedbush Securities Inc.
Haynes and Boone, LLP Alta Mesa Holdings Lp 3499108Z S-4 1311 - Crude petroleum & natural gas - - -
HCBF Holding Company, Inc. Centerstate Bank Corp CSFL S-4 1102266 - - -
Hogan Lovells US LLP Funko Inc - S-1 3944 - Games, toys & children's vehicles, except dolls & bicycles Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Piper Jaffray & Co. / Jefferies LLC Stifel, Nicolaus & Company, Inc. / BMO Capital Markets Corp. / SunTrust Robinson Humphrey, Inc.
Kirkland & Ellis LLP Regalwood Global Energy Ltd - S-1 - Citigroup Global Markets Inc. J.P. Morgan Securities LLC -
Kirkland & Ellis LLP Cco Nr Holdings Llc NAVI S-4 4813 - Telephone communications, except radiotelephone (SIC);4841 - Cable & other pay television services (SIC);7389 - Services - business services, not elsewhere classified (SIC);7812 - Services - motion picture & video tape production (SIC) - - -
Latham & Watkins LLP American Superconductor Corp AMSC S-3 3621 - Motors & generators - - -
Latham & Watkins LLP Funko Inc - S-1 3944 - Games, toys & children's vehicles, except dolls & bicycles Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Piper Jaffray & Co. / Jefferies LLC Stifel, Nicolaus & Company, Inc. / BMO Capital Markets Corp. / SunTrust Robinson Humphrey, Inc.
Latham & Watkins LLP Spero Therapeutics Inc - S-1 2834 - Pharmaceutical preparations Merrill Lynch, Pierce, Fenner & Smith Inc. Cowen and Company, LLC Stifel, Nicolaus & Company, Inc. / Oppenheimer & Co.
Linklaters LLP Ablynx Nv - F-1 2836 - Biological products, except diagnostic substances Merrill Lynch, Pierce, Fenner & Smith Inc. / J.P. Morgan Securities LLC Jefferies LLC / Robert W. Baird & Co. Inc. Bryan, Garnier & Co. / Ladenburg Thalmann & Co. Inc.
Linklaters LLP Erytech Pharma - F-1 2836 - Biological products, except diagnostic substances Jefferies LLC Cowen and Company, LLC Oddo BHF SCA / JMP Securities LLC
Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C. Spero Therapeutics Inc - S-1 2834 - Pharmaceutical preparations Merrill Lynch, Pierce, Fenner & Smith Inc. Cowen and Company, LLC Stifel, Nicolaus & Company, Inc. / Oppenheimer & Co.
Morrison & Foerster LLP Medequities Realty Trust Inc MRT S-3 6798 - Real estate investment trusts - - -
Pillsbury Winthrop Shaw Pittman LLP Aquantia Corp - S-1 3674 - Semiconductors & related devices Morgan Stanley & Co. LLC Barclays Capital Inc. / Deutsche Bank Securities Inc. Needham & Company, LLC / Raymond James & Associates, Inc.
Robinson, Bradshaw & Hinson, P.A. Enpro Industries Inc NPO S-4 3050 - Gaskets, packing & sealing devices & rubber & plastics hose - - -
Silver, Freedman, Taff & Tiernan LLP Home Bancorp Inc HBCP S-4 6036 - Savings institutions, not federally chartered - - -
Skadden, Arps, Slate, Meagher & Flom LLP Centerstate Bank Corp CSFL S-4 1102266 - - -
Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P. Novan Inc NOVN S-3 2834 - Pharmaceutical preparations - - -
Sullivan & Cromwell LLP Lsc Communications Inc LKSD S-3 2759 - Commercial printing, not elsewhere classified - - -
Wilson Sonsini Goodrich & Rosati PC Funko Inc - S-1 3944 - Games, toys & children's vehicles, except dolls & bicycles Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Piper Jaffray & Co. / Jefferies LLC Stifel, Nicolaus & Company, Inc. / BMO Capital Markets Corp. / SunTrust Robinson Humphrey, Inc.
Brunson Chandler, & Jones, PLLC Dsg Global Inc BPRO S-1 7822 - Services - motion picture & video tape distribution GHS Investments LLC - -
Certilman Balin Adler & Hyman, LLP Biorestorative Therapies Inc BRTX S-1 8090 - Services - miscellaneous health & allied services, not elsewhere classified - - -
DLA Piper LLP Oncocyte Corp OCX S-3 2835 - In vitro & in vivo diagnostic substances - - -
Ellenoff Grossman & Schole LLP Biorestorative Therapies Inc BRTX S-1 8090 - Services - miscellaneous health & allied services, not elsewhere classified - - -
Jolie Kahn, Esq. Evamedia Corp - S-1 6770 - Blank check - - -
K&L Gates LLP Two Rivers Water & Farming Co TURV S-1 1302946 Spotfin Funding LLC - -
Regen BioPharma, Inc. Zander Therapeutics Inc - S-1 - - - -
Sullivan & Cromwell LLP Tcg Bdc Ii Inc - 10-12G - - - -
TCG BDC II, Inc. Tcg Bdc Ii Inc - 10-12G - - - -
Davis Polk & Wardwell LLP Metropolitan Bank Holding Corp - S-1 6022 - State commercial banks J.P. Morgan Securities LLC Keefe, Bruyette & Woods, Inc. Piper Jaffray & Co.
Luse Gorman, PC Metropolitan Bank Holding Corp - S-1 6022 - State commercial banks J.P. Morgan Securities LLC Keefe, Bruyette & Woods, Inc. Piper Jaffray & Co.
Nutter, McClennen & Fish, LLP Ekso Bionics Holdings Inc EKSO S-3 5047 - Wholesale - medical, dental & hospital equipment & supplies - - -
Paul Hastings LLP Sorrento Therapeutics Inc SRNE S-3 8731 - Services - commercial physical & biological research - - -
Stewart & Bonnet, LLP Dgse Companies Inc DGSE S-3 5944 - Retail - jewelry stores - - -
Allstate Life Insurance Company Allstate Life Insurance Co - S-3 6311 - Life insurance Allstate Distributors, L.L.C. ALFS, Inc. -
Allstate Life Insurance Company Allstate Life Insurance Co - S-3 6311 - Life insurance Allstate Distributors, L.L.C. - -
Allstate Life Insurance Company Allstate Life Insurance Co - S-3 6311 - Life insurance Allstate Distributors, L.L.C. Morgan Stanley & Co. LLC -
Allstate Life Insurance Company Allstate Life Insurance Co - S-3 6311 - Life insurance Allstate Distributors, L.L.C. ALFS, Inc. -
Allstate Life Insurance Company Allstate Life Insurance Co - S-3 6311 - Life insurance Allstate Distributors, L.L.C. ALFS, Inc. -
Allstate Life Insurance Company Allstate Life Insurance Co - S-3 6311 - Life insurance Allstate Distributors, L.L.C. ALFS, Inc. -
ForeScout Technologies, Inc. Forescout Technologies Inc - S-1 3577 - Computer peripheral equipment, not elsewhere classified Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC Citigroup Global Markets Inc. / Merrill Lynch, Pierce, Fenner & Smith Inc. UBS Securities LLC / KeyBanc Capital Markets Inc.
Goodwin Procter LLP Forescout Technologies Inc - S-1 3577 - Computer peripheral equipment, not elsewhere classified Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC Citigroup Global Markets Inc. / Merrill Lynch, Pierce, Fenner & Smith Inc. UBS Securities LLC / KeyBanc Capital Markets Inc.
Morgan, Lewis & Bockius LLP Valeritas Holdings Inc VLRX S-1 3841 - Surgical & medical instruments & apparatus Aspire Capital Fund, LLC - -
Morgan, Lewis & Bockius LLP Valeritas Holdings Inc VLRX S-3 3841 - Surgical & medical instruments & apparatus - - -
Wilson Sonsini Goodrich & Rosati, PC Forescout Technologies Inc - S-1 3577 - Computer peripheral equipment, not elsewhere classified Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC Citigroup Global Markets Inc. / Merrill Lynch, Pierce, Fenner & Smith Inc. UBS Securities LLC / KeyBanc Capital Markets Inc.

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