Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: October 30 - November 3

There were 61 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Senmiao Technology Ltd w/ Ellenoff Grossman & Schole LLP, Senmiao Technology Ltd w/ Schiff Hardin LLP, 22Nd Century Group Inc w/ Foley & Lardner LLP, Themaven Inc w/ Golenbock Eiseman Assor Bell & Peskoe LLP, Phillips 66 Partners Lp w/ Latham & Watkins LLP, Groundfloor Finance Inc w/ Manatt, Phelps & Phillips, LLP, Alliance Mma Inc w/ Mazzeo Song P.C., Vanguard Natural Resource Inc w/ Paul Hastings LLP, Leisure Acquisition Corp w/ Proskauer Rose LLP, Groundfloor Finance Inc w/ Robbins Ross Alloy Belinfante Littlefield LLC, Leisure Acquisition Corp w/ Skadden, Arps, Slate, Meagher & Flom 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 +
Law Offices of Marc Applbaum Hoops Scouting Usa - S-1 - - - -
Latham & Watkins LLP Apricus Biosciences Inc APRI S-3 2834 - Pharmaceutical preparations - - -
AzurRx BioPharma, Inc. Azurrx Biopharma Inc AZRX S-3 2834 - Pharmaceutical preparations - - -
Cooley LLP Chromadex Corp CDXC S-3 2833 - Medicinal chemicals & botanical products - - -
Disclosure Law Group, PC Azurrx Biopharma Inc AZRX S-3 2834 - Pharmaceutical preparations - - -
Prometheum, Inc. Prometheum Inc - 1-A - - - -
Newlan & Newlan, Ltd. Clikia Corp MKAU 1-A 7500 - Services - automotive repair, services & parking - - -
Receiver for Bakhu Holdings, Corp. Bakhu Holdings Corp BKUH 10-12G 1040 - Gold & silver ores - - -
Rafael Holdings, Inc. Rafael Holdings Inc N/A 10-12G - - - -
Schwell Wimpfheimer & Associates LLP Rafael Holdings Inc N/A 10-12G - - - -
Laxague Law, Inc. Rocky Mountain High Brands Inc - S-1 2080 - Beverages GHS Investments, LLC - -
Gracin & Marlow, LLP Heat Biologics Inc HTBX S-3 2834 - Pharmaceutical preparations - - -
Graubard Miller Parkervision Inc PRKR S-1 3663 - Radio & television broadcasting & communications equipment - - -
Finest Acquisition, Inc. Finest Acquisition Inc - S-1 - - - -
Fenwick & West LLP Amyris Inc AMRS S-3 2860 - Industrial organic chemicals - - -
Wilmer Cutler Pickering Hale and Dorr LLP Argos Therapeutics Inc ARGS S-3 2834 - Pharmaceutical preparations - - -
John D. Thomas, P.C. Arazu Inc - S-1 3714 - Motor vehicle parts & accessories - - -
Duane Morris LLP Marinus Pharmaceuticals Inc MRNS S-3 2834 - Pharmaceutical preparations JMP Securities LLC - -
Goodwin Procter LLP Ra Pharmaceuticals Inc RARX S-3 2834 - Pharmaceutical preparations - - -
Mayer Brown LLP Halcon Resources Corp HK S-4 1311 - Crude petroleum & natural gas - - -
Molson Coors Brewing Company Molson Coors Brewing Co TAP S-4 2082 - Malt beverages - - -
Perkins Coie LLP Molson Coors Brewing Co TAP S-4 2082 - Malt beverages - - -
Bracewell LLP Kinder Morgan Canada Ltd - 10-12G - - - -
Brookline Bancorp, Inc. Brookline Bancorp Inc BRKL S-4 6035 - Savings institutions, federally chartered - - -
Goodwin Procter LLP Brookline Bancorp Inc BRKL S-4 6035 - Savings institutions, federally chartered - - -
Nutter McClennen & Fish LLP Brookline Bancorp Inc BRKL S-4 6035 - Savings institutions, federally chartered - - -
Shapiro Bieging Barber Otteson LLP Solera National Bancorp Inc SLRK 1-A 6021 - National commercial banks - - -
Pandora Media, Inc. Pandora Media Inc P S-3 4832 - Radio broadcasting stations - - -
Sidley Austin LLP Pandora Media Inc P S-3 4832 - Radio broadcasting stations - - -
NutraFuels, Inc. Nutrafuels Inc NTFU 10-12G 2023 - Dry, condensed & evaporated dairy products - - -
Pzena Investment Management, Inc. Pzena Investment Management Inc PZN S-3 6282 - Investment advice - - -
Vedder Price P.C. Graniteshares Platinum Trust - S-1 6221 - Commodity contracts brokers & dealers - - -
The Bunker Law Group, PLLC Hoverink Biotechnologies Inc - S-1 6770 - Blank check      
Akin Gump Strauss Hauer & Feld LLP Mammoth Energy Services Inc TUSK S-3 1389 - Oil & gas field services, not elsewhere classified - - -
Andrews Kurth Kenyon LLP Noble Midstream Partners Lp NBLX S-3 4619 - Pipelines, not elsewhere classified - - -
Andrews Kurth Kenyon LLP Cheniere Corpus Christi Holdings Llc - S-4 4924 - Natural gas distribution - - -
Cooley LLP Everspin Technologies Inc MRAM S-3 3674 - Semiconductors & related devices - - -
Duane Morris LLP Unitil Corp UTL S-3 4931 - Electric & other services combined - - -
Farmer Bros. Co. Farmer Brothers Co FARM S-3 2090 - Miscellaneous food preparations & kindred products - - -
GAMCO Global Gold, Natural Resources & Income Trust Gamco Global Gold Natural Resources & Income Trust GGN N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices - - -
Haynes and Boone, LLP Staffing 360 Solutions Inc STAF S-3 7363 - Services - help supply services - - -
Hogan Lovells US LLP Aradigm Corp ARDM S-1 3845 - Electromedical & electrotherapeutic apparatus - - -
Holland & Knight LLP Schmitt Industries Inc SMIT S-1 3823 - Industrial instruments for measurement, display, control - - -
Mitchell, Williams, Selig, Gates & Woodyard, PLLC Universal Logistics Holdings Inc ULH S-3 4213 - Trucking, except local - - -
nVent Electric PLC Nvent Electric Plc - 10-12B - - - -
Pillsbury Winthrop Shaw Pittman LLP Pixelworks Inc PXLW S-3 3674 - Semiconductors & related devices - - -
Pillsbury Winthrop Shaw Pittman LLP Pixelworks Inc PXLW S-3 3674 - Semiconductors & related devices - - -
Skadden, Arps, Slate, Meagher & Flom LLP Gamco Global Gold Natural Resources & Income Trust GGN N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices - - -
State Street Corp. State Street Corp STT S-3 6022 - State commercial banks - - -
Wilmer Cutler Pickering Hale and Dorr LLP State Street Corp STT S-3 6022 - State commercial banks - - -
Law Offices of Thomas E. Puzzo, PLLC Sigmarenopro Inc - S-1 - - - -
Eaton & Van Winkle LLP One Horizon Group Inc OHGI S-3 3661 - Telephone & telegraph apparatus - - -
Law Offices of Aaron A. Grunfeld & Associates Second Sight Medical Products Inc EYES S-3 5047 - Wholesale - medical, dental & hospital equipment & supplies FBR Capital Markets & Co. H.C. Wainwright & Co., LLC -
Law Offices of Robert Diener Right Of Reply Ltd - S-1 - - - -
Hilburn, Calhoon, Harper, Pruniski & Calhoun, Ltd. Stone Bancshares Inc - 1-A - - - -
Luse Gorman, PC First Guaranty Bancshares Inc FGBI S-3 6035 - Savings institutions, federally chartered - - -
Co-optrade Co-Optrade - 1-A - - - -
Ellenoff Grossman & Schole LLP Senmiao Technology Ltd - S-1 6199 - Finance services ViewTrade Securities, Inc. - -
Schiff Hardin LLP Senmiao Technology Ltd - S-1 6199 - Finance services ViewTrade Securities, Inc. - -
Foley & Lardner LLP 22Nd Century Group Inc XXII S-3 2111 - Cigarettes - - -
Golenbock Eiseman Assor Bell & Peskoe LLP Themaven Inc RDOC S-1 3841 - Surgical & medical instruments & apparatus MDB Capital Group LLC - -
Latham & Watkins LLP Phillips 66 Partners Lp PSXP S-3 4619 - Pipelines, not elsewhere classified - - -
Manatt, Phelps & Phillips, LLP Groundfloor Finance Inc - 1-A 6500 - Real estate - - -
Mazzeo Song P.C. Alliance Mma Inc AMMA S-3 7990 - Services - miscellaneous amusement & recreation - - -
Paul Hastings LLP Vanguard Natural Resource Inc VNR S-1 1311 - Crude petroleum & natural gas - - -
Proskauer Rose LLP Leisure Acquisition Corp - S-1 6770 - Blank check Morgan Stanley & Co. LLC EarlyBirdCapital, Inc. -
Robbins Ross Alloy Belinfante Littlefield LLC Groundfloor Finance Inc - 1-A 6500 - Real estate - - -
Skadden, Arps, Slate, Meagher & Flom LLP Leisure Acquisition Corp - S-1 6770 - Blank check Morgan Stanley & Co. LLC EarlyBirdCapital, Inc. -
Gunster, Yoakley & Stewart, P.A. United Insurance Holdings Corp UIHC S-3 6331 - Fire, marine & casualty insurance - - -
Latham & Watkins LLP Obalon Therapeutics Inc OBLN S-3 3841 - Surgical & medical instruments & apparatus - - -
Latham & Watkins LLP Propetro Holding Corp PUMP S-1 1389 - Oil & gas field services, not elsewhere classified Goldman Sachs & Co. LLC - -
Vinson & Elkins L.L.P. Propetro Holding Corp PUMP S-1 1389 - Oil & gas field services, not elsewhere classified Goldman Sachs & Co. LLC - -
Ellenoff Grossman & Schole LLP Yield10 Bioscience Inc YTEN S-1 3080 - Miscellaneous plastics products Ladenburg Thalmann & Co. Inc. - -
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Yield10 Bioscience Inc YTEN S-1 3080 - Miscellaneous plastics products Ladenburg Thalmann & Co. Inc. - -

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