Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: September 11 - 15

There were 53 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including First Bancshares Inc. w/ Alston & Bird LLP, Immune Pharmaceuticals Inc. w/ Ellenoff Grossman & Schole LLP, Community Financial Corp.  w/ Hunton & Williams LLP, Community Financial Corp. w/ Kilpatrick Townsend & Stockton LLP, Immune Pharmaceuticals Inc. w/ Sheppard, Mullin, Richter & Hampton LLP, VII Peaks Co-Optivist Income Fund w/ Winston & Strawn LLP, Applied DNA Sciences Inc. w/ Pepper Hamilton LLP, New Ireland Fund Inc. w/ Willkie Farr & Gallagher.

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 
Faegre Baker Daniels LLP YUMA ENERGY INC - S-1 1311 - Crude petroleum & natural gas Northland Securities, Inc. Euro Pacific Capital, Inc. -
Jones & Keller, P.C. YUMA ENERGY INC - S-1 1311 - Crude petroleum & natural gas Northland Securities, Inc. Euro Pacific Capital, Inc. -
Williams Mullen EXACTUS INC - S-1 3433 - Heating equipment, except electric & warm air furnaces - - -
Blake, Cassels & Graydon LLP TRILOGY METALS INC TMQ S-3 1040 - Gold & silver ores - - -
Dorsey & Whitney LLP TRILOGY METALS INC TMQ S-3 1040 - Gold & silver ores - - -
Skadden, Arps, Slate, Meagher & Flom LLP TRILOGY METALS INC TMQ S-3 1040 - Gold & silver ores - - -
Hogan Lovells US LLP INNOVATION PHARMACEUTICALS INC CTIX S-3 2834 - Pharmaceutical preparations - - -
Cassidy & Associates CELEBIDDY INC - S-1 6770 - Blank check - - -
Gracin & Marlow, LLP HEAT BIOLOGICS INC HTBX S-1 2834 - Pharmaceutical preparations RHK Capital - -
Olshan Frome Wolosky LLP HEAT BIOLOGICS INC HTBX S-1 2834 - Pharmaceutical preparations RHK Capital - -
Vinson & Elkins L.L.P. ELLINGTON FINANCIAL LLC EFC S-4 6500 - Real estate - - -
Ellenoff Grossman & Schole LLP AETHLON MEDICAL INC AEMD S-1 3826 - Laboratory analytical instruments - - -
Jolie Kahn, Esq. AETHLON MEDICAL INC AEMD S-1 3826 - Laboratory analytical instruments - - -
Pepper Hamilton LLP PHARMACYTE BIOTECH INC NVLX S-3 2833 - Medicinal chemicals & botanical products - - -
Andrews Kurth Kenyon LLP ASHFORD HOSPITALITY TRUST INC AHT S-3 6798 - Real estate investment trusts - - -
Baker Botts L.L.P. JONES ENERGY INC JONE S-3 1311 - Crude petroleum & natural gas - - -
CarGurus, Inc. CARGURUS INC - S-1 7374 - Services - computer processing & data preparation Goldman Sachs & Co. LLC / Allen & Company LLC RBC Capital Markets, LLC / JMP Securities LLC Raymond James & Associates, Inc. / William Blair & Company, L.L.C.
Davis Graham & Stubbs LLP GOLDEN MINERALS CO AUMN S-3 1041 - Gold ores - - -
Holland & Knight LLP PACIFIC PREMIER BANCORP INC PPBI S-4 6035 - Savings institutions, federally chartered Plaza Bank - -
Milbank, Tweed, Hadley & McCloy LLP CANUELAS MILL S.A.C.I.F.I.A. - F-1 2040 - Grain mill products J.P. Morgan Securities LLC UBS Securities LLC HSBC Securities Inc. / Itau BBA USA Securities, Inc.
Morgan, Lewis & Bockius LLP CARGURUS INC - S-1 7374 - Services - computer processing & data preparation Goldman Sachs & Co. LLC / Allen & Company LLC RBC Capital Markets, LLC / JMP Securities LLC Raymond James & Associates, Inc. / William Blair & Company, L.L.C.
Sheppard Mullin Richter & Hampton LLP PACIFIC PREMIER BANCORP INC PPBI S-4 6035 - Savings institutions, federally chartered Plaza Bank - -
Sheppard Mullin Richter & Hampton LLP BANK OF MARIN BANCORP BMRC S-4 6022 - State commercial banks - - -
Simpson Thacher & Bartlett LLP CANUELAS MILL S.A.C.I.F.I.A. - F-1 2040 - Grain mill products J.P. Morgan Securities LLC UBS Securities LLC HSBC Securities Inc. / Itau BBA USA Securities, Inc.
Stuart | Moore | Staub BANK OF MARIN BANCORP BMRC S-4 6022 - State commercial banks - - -
Wilmer Cutler Pickering Hale and Dorr LLP CARGURUS INC - S-1 7374 - Services - computer processing & data preparation Goldman Sachs & Co. LLC / Allen & Company LLC RBC Capital Markets, LLC / JMP Securities LLC Raymond James & Associates, Inc. / William Blair & Company, L.L.C.
Davis Graham & Stubbs LLP GOLDEN MINERALS CO AUMN S-3 1041 - Gold ores - - -
Pillsbury Winthrop Shaw Pittman LLP PERFORMANT FINANCIAL CORP PFMT S-3 7380 - Services - miscellaneous business services - - -
Troutman Sanders LLP OHR PHARMACEUTICAL INC OHRP S-3 2834 - Pharmaceutical preparations - - -
Eversheds Sutherland LLP HARVEST CAPITAL CREDIT CORP HCAP N-2 6282 - Investment advice - - -
K&L Gates LLP LIQTECH INTERNATIONAL INC LIQT S-3 3590 - Miscellaneous industrial & commercial machinery & equipment - - -
Mitchell Silberberg & Knupp LLP HELIOS & MATHESON ANALYTICS INC HMNY S-3 7380 - Services - miscellaneous business services - - -
Wilson & Oskam, LLP BIOLARGO INC BLGO S-1 2800 - Chemicals & allied products Lincoln Park Capital Fund, LLC - -
aTyr Pharma, Inc. ATYR PHARMA INC LIFE S-3 2836 - Biological products, except diagnostic substances - - -
Baker Botts L.L.P. BP MIDSTREAM PARTNERS LP - S-1 4610 - Pipelines, except natural gas Citigroup Global Markets Inc. / Goldman Sachs & Co. LLC / Morgan Stanley & Co. LLC / Barclays Capital Inc. Credit Suisse Securities LLC / J.P. Morgan Securities LLC / UBS Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Deutsche Bank Securities Inc. Mizuho Securities USA LLC / MUFG Securities Americas Inc. / BNP Paribas Securities Corp. / Credit Agricole Securities Inc. / SG Americas Securities, LLC
Baker Botts L.L.P. MONARCH ENERGY HOLDING INC - S-4 4931 - Electric & other services combined Goldman Sachs & Co. LLC - -
Barack Ferrazzano Kirschbaum & Nagelberg LLP OLD NATIONAL BANCORP ONB S-4 6021 - National commercial banks - - -
Bracewell LLP MONARCH ENERGY HOLDING INC - S-4 4931 - Electric & other services combined Goldman Sachs & Co. LLC - -
CombiMatrix Corp. INVITAE CORP NVTA S-4 8071 - Services - medical laboratories - - -
CombiMatrix Corp. INVITAE CORP NVTA S-4 8071 - Services - medical laboratories - - -
Debevoise & Plimpton LLP DISCOVERY COMMUNICATIONS INC DISCA S-4 4841 - Cable & other pay television services Goldman Sachs & Co. LLC - -
Foley & Lardner LLP CURRENCYSHARES CHINESE RENMINBI TRUST FXCH S-1 6221 - Commodity contracts brokers & dealers - - -
Foley & Lardner LLP CURRENCYSHARES SINGAPORE DOLLAR TRUST FXSG S-1 6221 - Commodity contracts brokers & dealers - - -
Goodwin Procter LLP ACM RESEARCH INC - S-1 3559 - Special industry machinery, not elsewhere classified Roth Capital Partners, LLC Craig-Hallum Capital Group LLC The Benchmark Company, LLC
Goodwin Procter LLP ATYR PHARMA INC LIFE S-3 2836 - Biological products, except diagnostic substances - - -
Hogan Lovells US LLP LOCKHEED MARTIN CORP LMT S-4 3760 - Guided missiles & space vehicles & parts - - -
Invitae Corp. INVITAE CORP NVTA S-4 8071 - Services - medical laboratories - - -
Invitae Corp. INVITAE CORP NVTA S-4 8071 - Services - medical laboratories - - -
K&L Gates LLP ACM RESEARCH INC - S-1 3559 - Special industry machinery, not elsewhere classified Roth Capital Partners, LLC Craig-Hallum Capital Group LLC The Benchmark Company, LLC
Krieg DeVault LLP OLD NATIONAL BANCORP ONB S-4 6021 - National commercial banks - - -
Latham & Watkins LLP HOWARD MIDSTREAM PARTNERS LP - S-1 4922 - Natural gas transmission Barclays Capital Inc. / RBC Capital Markets, LLC / Tudor, Pickering, Holt & Co. Securities, Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / MUFG Securities Americas Inc. / SunTrust Robinson Humphrey, Inc. Wells Fargo Securities, LLC / Capital One Securities, Inc. / ING Financial Markets LLC / Stifel, Nicolaus & Company, Inc.
Lockheed Martin Corp. LOCKHEED MARTIN CORP LMT S-4 3760 - Guided missiles & space vehicles & parts - - -
Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C. MOLECULAR TEMPLATES INC THLD S-3 2834 - Pharmaceutical preparations - - -
Pillsbury Winthrop Shaw Pittman LLP INVITAE CORP NVTA S-4 8071 - Services - medical laboratories - - -
Pillsbury Winthrop Shaw Pittman LLP INVITAE CORP NVTA S-4 8071 - Services - medical laboratories - - -
Ropes & Gray LLP STONE RIDGE TRUST II SRRIX N-2 - ALPS Distributors, Inc. - -
Scripps Networks Interactive, Inc. DISCOVERY COMMUNICATIONS INC DISCA S-4 4841 - Cable & other pay television services Goldman Sachs & Co. LLC - -
Shearman & Sterling LLP AZUL SA - F-1 4512 - Air transportation, scheduled Citigroup Global Markets Inc. / Deutsche Bank Securities Inc. Itau BBA USA Securities, Inc. / Banco do Brasil Securities LLC J.P. Morgan Securities LLC / Raymond James & Associates, Inc. / Santander Investment Securities, Inc.
Skadden, Arps, Slate, Meagher & Flom LLP AZUL SA - F-1 4512 - Air transportation, scheduled Citigroup Global Markets Inc. / Deutsche Bank Securities Inc. Itau BBA USA Securities, Inc. / Banco do Brasil Securities LLC J.P. Morgan Securities LLC / Raymond James & Associates, Inc. / Santander Investment Securities, Inc.
Stradling Yocca Carlson & Rauth, P.C. INVITAE CORP NVTA S-4 8071 - Services - medical laboratories - - -
Stradling Yocca Carlson & Rauth, P.C. INVITAE CORP NVTA S-4 8071 - Services - medical laboratories - - -
Thompson & Knight LLP APPROACH RESOURCES INC AREX S-3 1311 - Crude petroleum & natural gas - - -
Vinson & Elkins L.L.P. BP MIDSTREAM PARTNERS LP - S-1 4610 - Pipelines, except natural gas Citigroup Global Markets Inc. / Goldman Sachs & Co. LLC / Morgan Stanley & Co. LLC / Barclays Capital Inc. Credit Suisse Securities LLC / J.P. Morgan Securities LLC / UBS Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Deutsche Bank Securities Inc. Mizuho Securities USA LLC / MUFG Securities Americas Inc. / BNP Paribas Securities Corp. / Credit Agricole Securities Inc. / SG Americas Securities, LLC
Vinson & Elkins L.L.P. HOWARD MIDSTREAM PARTNERS LP - S-1 4922 - Natural gas transmission Barclays Capital Inc. / RBC Capital Markets, LLC / Tudor, Pickering, Holt & Co. Securities, Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / MUFG Securities Americas Inc. / SunTrust Robinson Humphrey, Inc. Wells Fargo Securities, LLC / Capital One Securities, Inc. / ING Financial Markets LLC / Stifel, Nicolaus & Company, Inc.
Weil, Gotshal & Manges LLP DISCOVERY COMMUNICATIONS INC DISCA S-4 4841 - Cable & other pay television services Goldman Sachs & Co. LLC - -
Westar Energy, Inc. MONARCH ENERGY HOLDING INC - S-4 4931 - Electric & other services combined Goldman Sachs & Co. LLC - -
Brunson Chandler & Jones, PLLC ADM ENDEAVORS INC - S-1 1700 - Construction-special trade contractors - - -
Greenberg Traurig, LLP VITALITY BIOPHARMA INC STVF S-1 1000 - Metal mining - - -
Legal & Compliance LLC VIRTRA INC VTSI 1-A 3699 - Electrical machinery, equipment & supplies, not elsewhere classified Boustead Securities, LLC - -
Magri Law, LLC PSI INTERNATIONAL INC - 1-A - - - -
Mazzeo Song P.C. MEDICAL TRANSCRIPTION BILLING CORP MTBC S-1 7372 - Services - prepackaged software - - -
Sichenzia Ross Ference Kesner LLP MARATHON PATENT GROUP INC MARA S-3 6794 - Patent owners & lessors - - -
Sichenzia Ross Ference Kesner LLP MEDICAL TRANSCRIPTION BILLING CORP MTBC S-1 7372 - Services - prepackaged software - - -
Alston & Bird LLP FIRST BANCSHARES INC FBMS S-3 6021 - National commercial banks - - -
Ellenoff Grossman & Schole LLP IMMUNE PHARMACEUTICALS INC IMNP S-1 2834 - Pharmaceutical preparations Maxim Group LLC - -
Hunton & Williams LLP COMMUNITY FINANCIAL CORP TCFC S-4 6022 - State commercial banks - - -
Kilpatrick Townsend & Stockton LLP COMMUNITY FINANCIAL CORP TCFC S-4 6022 - State commercial banks - - -
Sheppard, Mullin, Richter & Hampton LLP IMMUNE PHARMACEUTICALS INC IMNP S-1 2834 - Pharmaceutical preparations Maxim Group LLC - -
Winston & Strawn LLP VII PEAKS CO-OPTIVIST INCOME FUND - N-2 - Arete Wealth Management, LLC - -
Pepper Hamilton LLP APPLIED DNA SCIENCES INC APDN S-3 2869 - Industrial organic chemicals, not elsewhere classified - - -
Willkie Farr & Gallagher NEW IRELAND FUND INC IRL N-2 6199 - Finance services - - -
Dechert LLP ANGEL OAK STRATEGIC CREDIT FUND - N-2 - Quasar Distributors, LLC - -
Cloudera, Inc. CLOUDERA INC CLDR S-1 7372 - Services - prepackaged software Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC / Allen & Company LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Deutsche Bank Securities Inc. Stifel, Nicolaus & Company Inc. / JMP Securities LLC / Raymond James & Associates, Inc.
Fenwick & West LLP CLOUDERA INC CLDR S-1 7372 - Services - prepackaged software Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC / Allen & Company LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Deutsche Bank Securities Inc. Stifel, Nicolaus & Company Inc. / JMP Securities LLC / Raymond James & Associates, Inc.
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP CLOUDERA INC CLDR S-1 7372 - Services - prepackaged software Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC / Allen & Company LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Deutsche Bank Securities Inc. Stifel, Nicolaus & Company Inc. / JMP Securities LLC / Raymond James & Associates, Inc.

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