Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: September 18 - 22

There were 47 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Dogness (International) Corp. w/ Kaufman & Canoles, P.C.,  & Antriabio Inc. w/ Dorsey & Whitney LLP, Rewalk Robotics Ltd w/ Goldfarb Seligman & Co., Cue Biopharma Inc. w/ K&L Gates LLP, Electromedical Technologies Inc. w/ KHLK, LLP, Cue Biopharma Inc. w/ LKP Global Law, LLP, Rewalk Robotics Ltd. w/ Meitar Liquornik Geva Leshem Tal, Tapimmune Inc. w/ Shumaker, Loop & Kendrick, LLP, Rewalk Robotics Ltd. w/ Skadden, Arps, Slate, Meagher & Flom LLP, Rewalk Robotics Ltd. w/ White & Case 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  Underwriter  Underwriter  
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. - -
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 Morgan Stanley & Co. Inc. - -
Winthrop & Weinstine, P.A. AMERICAN CHURCH MORTGAGE CO ACMC S-11 6500 - Real estate American Investors Group, Inc. - -
Gracin & Marlow, LLP YOUNGEVITY INTERNATIONAL INC YGYI S-3 5961 - Retail - catalog & mail-order houses - - -
Pearlman Law Group LLP LEVEL BRANDS INC - 1-A 2844 - Perfumes, cosmetics & other toilet preparations - - -
Quintin Wilcox, Esq.  BRIARWOOD HOLDINGS GROUPINC - 10-12G - - - -
SmithAmundsen LLC FIRST FINANCIAL BANCORP FFBC S-4 6021 - National commercial banks - - -
Squire Patton Boggs LLP FIRST FINANCIAL BANCORP FFBC S-4 6021 - National commercial banks - - -
McGuireWoods LLP AMERI HOLDINGS INC SPAZ S-1 3674 - Semiconductors & related devices Ladenburg Thalmann & Co. Inc. - -
Olshan Frome Wolosky LLP AMERI HOLDINGS INC SPAZ S-1 3674 - Semiconductors & related devices Ladenburg Thalmann & Co. Inc. - -
Vinson & Elkins L.L.P. SENTINEL ENERGY SERVICES INC - S-1 6770 - Blank check Citigroup Global Markets Inc. Goldman Sachs & Co. LLC -
Weil, Gotshal & Manges LLP SENTINEL ENERGY SERVICES INC - S-1 6770 - Blank check Citigroup Global Markets Inc. Goldman Sachs & Co. LLC -
Dechert LLP NB CROSSROADS PRIVATE MARKETS FUND V (TI) ADVISORY LP - N-2 - - - -
Dechert LLP NB CROSSROADS PRIVATE MARKETS FUND V (TI) LP - N-2 - - - -
Dechert LLP NB CROSSROADS PRIVATE MARKETS FUND V (TE) ADVISORY LP - N-2 - - - -
Brunson Chandler & Jones, PLLC FINANCIAL GRAVITY COMPANIES INC POIL S-1 1311 - Crude petroleum & natural gas GHS Investments LLC - -
Cleary Gottlieb Steen & Hamilton LLP VM HOLDING S.A. - F-1 1000 - Metal mining J.P. Morgan Securities LLC. / BMO Capital Markets Corp. / Morgan Stanley & Co. LLC. Credit Suisse Securities LLC. / Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. Scotia Capital Inc. / Banco Bradesco BBI S.A. / Credicorp Capital Sociedad Agente de Bolsa S.A.
Cooley LLP OPTINOSE INC - S-1 2834 - Pharmaceutical preparations Jefferies LLC Piper Jaffray & Co. BMO Capital Markets Corp. / RBC Capital Markets, LLC
Cooley LLP MONGODB INC - S-1 7372 - Services - prepackaged software Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC Barclays Capital Inc. / Allen & Company LLC Stifel, Nicolaus & Company, Inc. / Canaccord Genuity Inc. / JMP Securities LLC
Hogan Lovells US LLP OPTINOSE INC - S-1 2834 - Pharmaceutical preparations Jefferies LLC Piper Jaffray & Co. BMO Capital Markets Corp. / RBC Capital Markets, LLC
MongoDB, Inc. MONGODB INC - S-1 7372 - Services - prepackaged software Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC Barclays Capital Inc. / Allen & Company LLC Stifel, Nicolaus & Company, Inc. / Canaccord Genuity Inc. / JMP Securities LLC
OptiNose, Inc. OPTINOSE INC - S-1 2834 - Pharmaceutical preparations Jefferies LLC Piper Jaffray & Co. BMO Capital Markets Corp. / RBC Capital Markets, LLC
Skadden, Arps, Slate, Meagher & Flom LLP VM HOLDING S.A. - F-1 1000 - Metal mining J.P. Morgan Securities LLC. / BMO Capital Markets Corp. / Morgan Stanley & Co. LLC. Credit Suisse Securities LLC. / Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. Scotia Capital Inc. / Banco Bradesco BBI S.A. / Credicorp Capital Sociedad Agente de Bolsa S.A.
Wilson Sonsini Goodrich & Rosati, P.C. MONGODB INC - S-1 7372 - Services - prepackaged software Morgan Stanley & Co. LLC / Goldman Sachs & Co. LLC Barclays Capital Inc. / Allen & Company LLC Stifel, Nicolaus & Company, Inc. / Canaccord Genuity Inc. / JMP Securities LLC
Hogan Lovells US LLP JBG SMITH PROPERTIES JBGS S-11 6798 - Real estate investment trusts - - -
Andy Altahawi MITIO INC - 1-A - - - -
Butler Snow LLP COMMERCE UNION BANCSHARES INC CUBN S-3 6022 - State commercial banks - - -
Coherus BioSciences, Inc. COHERUS BIOSCIENCES INC CHRS S-3 2836 - Biological products, except diagnostic substances - - -
Cooley LLP GALENA BIOPHARMA INC GALE S-4 2834 - Pharmaceutical preparations - - -
Cooltech Holding Corp. INFOSONICS CORP IFON S-4 5065 - Wholesale - electronic parts & equipment, not elsewhere classified - - -
Davis Polk & Wardwell LLP RISE EDUCATION CAYMAN LTD - F-1 8200 - Services - educational services Morgan Stanley & Co. International PLC Credit Suisse Securities LLC -
Davis Polk & Wardwell LLP SEA LTD - F-1 7380 - Services - miscellaneous business services Goldman Sachs L.L.C. Morgan Stanley & Co. International PLC Credit Suisse Securities L.L.C.
Fried, Frank, Harris, Shriver & Jacobson LLP JACOBS ENGINEERING GROUP INC JEC S-4 1600 - Heavy construction other than building construction-contractors - - -
Galena Biopharma, Inc. GALENA BIOPHARMA INC GALE S-4 2834 - Pharmaceutical preparations - - -
Gibson, Dunn & Crutcher LLP AMERICAN MIDSTREAM PARTNERS LP AMID S-4 4220 - Public warehousing & storage (SIC);4922 - Natural gas transmission (SIC) - - -
Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP MEDICINOVA INC MNOV S-3 2834 - Pharmaceutical preparations - - -
Kirkland & Ellis International LLP QUDIAN INC - F-1 6199 - Finance services Morgan Stanley & Co. International PLC / Credit Suisse Securities LLC Citigroup Global Markets Inc. / China International Capital Corporation Hong Kong Securities Ltd. UBS Securities LLC / Stifel, Nicolaus and Company, Inc. / Needham & Company, LLC
Kirkland & Ellis International LLP RISE EDUCATION CAYMAN LTD - F-1 8200 - Services - educational services Morgan Stanley & Co. International PLC Credit Suisse Securities LLC -
Kirkland & Ellis International LLP SEA LTD - F-1 7380 - Services - miscellaneous business services Goldman Sachs L.L.C. Morgan Stanley & Co. International PLC Credit Suisse Securities L.L.C.
Latham & Watkins LLP NETREIT INC 0084782D S-11 6798 - Real estate investment trusts Janney Montgomery Scott LLC - -
Latham & Watkins LLP JACOBS ENGINEERING GROUP INC JEC S-4 1600 - Heavy construction other than building construction-contractors - - -
Latham & Watkins LLP COHERUS BIOSCIENCES INC CHRS S-3 2836 - Biological products, except diagnostic substances - - -
Luse Gorman, PC CENTERSTATE BANK CORP CSFL S-4 6021 - National commercial banks - - -
Paul Hastings LLP GALENA BIOPHARMA INC GALE S-4 2834 - Pharmaceutical preparations - - -
Perkins Coie LLP INFOSONICS CORP IFON S-4 5065 - Wholesale - electronic parts & equipment, not elsewhere classified - - -
Richards Layton & Finger, P.A. JACOBS ENGINEERING GROUP INC JEC S-4 1600 - Heavy construction other than building construction-contractors - - -
Ropes & Gray LLP CALAMOS LONG/SHORT EQUITY INCOME 2028 TERM TRUST - N-2 - - - -
Sichenzia Ross Ference Kesner LLP INFOSONICS CORP IFON S-4 5065 - Wholesale - electronic parts & equipment, not elsewhere classified - - -
Sidley Austin LLP INVITATION HOMES INC INVH S-4 6510 - Real estate operators (except developers) & lessors Blackstone Advisory Partners L.P. - -
Simpson Thacher & Bartlett LLP QUDIAN INC - F-1 6199 - Finance services Morgan Stanley & Co. International PLC / Credit Suisse Securities LLC Citigroup Global Markets Inc. / China International Capital Corporation Hong Kong Securities Ltd. UBS Securities LLC / Stifel, Nicolaus and Company, Inc. / Needham & Company, LLC
Simpson Thacher & Bartlett LLP INVITATION HOMES INC INVH S-4 6510 - Real estate operators (except developers) & lessors Blackstone Advisory Partners L.P. - -
Smith Mackinnon, PA CENTERSTATE BANK CORP CSFL S-4 6021 - National commercial banks - - -
Starwood Waypoint Homes INVITATION HOMES INC INVH S-4 6510 - Real estate operators (except developers) & lessors Blackstone Advisory Partners L.P. - -
Vinson & Elkins L.L.P. RSP PERMIAN INC RSPP S-4 1311 - Crude petroleum & natural gas - - -
Wachtell, Lipton, Rosen & Katz JACOBS ENGINEERING GROUP INC JEC S-4 1600 - Heavy construction other than building construction-contractors - - -
Winston & Strawn LLP NETREIT INC 0084782D S-11 6798 - Real estate investment trusts Janney Montgomery Scott LLC - -
Atossa Genetics Inc. ATOSSA GENETICS INC ATOS S-3 3841 - Surgical & medical instruments & apparatus - - -
Gibson, Dunn & Crutcher LLP ATOSSA GENETICS INC ATOS S-3 3841 - Surgical & medical instruments & apparatus - - -
Graubard Miller BLACK RIDGE ACQUISITION CORP - S-1 6770 - Blank check - - -
Graubard Miller CM SEVEN STAR ACQUISITION CORP - S-1 6770 - Blank check EarlyBirdCapital, Inc. - -
Greenberg Traurig, LLP BLACK RIDGE ACQUISITION CORP - S-1 6770 - Blank check - - -
Loeb & Loeb LLP CM SEVEN STAR ACQUISITION CORP - S-1 6770 - Blank check EarlyBirdCapital, Inc. - -
Graubard Miller PAVMED INC PAVM S-3 3841 - Surgical & medical instruments & apparatus - - -
Summit Law Group, PLLC EASTSIDE DISTILLING INC ESDI S-1 7310 - Services - advertising - - -
Kaufman & Canoles, P.C. DOGNESS (INTERNATIONAL) CORP - F-1 3990 - Miscellaneous manufacturing industries Spartan Securities Group, Ltd. - -
Mei & Mark LLP DOGNESS (INTERNATIONAL) CORP - F-1 3990 - Miscellaneous manufacturing industries Spartan Securities Group, Ltd. - -
Dorsey & Whitney LLP ANTRIABIO INC ANTB S-1 2834 - Pharmaceutical preparations - - -
Goldfarb Seligman & Co. REWALK ROBOTICS LTD RWLK S-1 3842 - Orthopedic, prosthetic & surgical appliances & supplies Canaccord Genuity Inc. National Securities Corp. -
K&L Gates LLP CUE BIOPHARMA INC - S-1 - MDB Capital Group, LLC Feltl and Company, Inc. -
KHLK, LLP ELECTROMEDICAL TECHNOLOGIES INC - 1-A - Fintech Clearing LLC - -
LKP Global Law, LLP CUE BIOPHARMA INC - S-1 - MDB Capital Group, LLC Feltl and Company, Inc. -
Meitar Liquornik Geva Leshem Tal REWALK ROBOTICS LTD RWLK S-1 3842 - Orthopedic, prosthetic & surgical appliances & supplies Canaccord Genuity Inc. National Securities Corp. -
Shumaker, Loop & Kendrick, LLP TAPIMMUNE INC TPIV S-3 2834 - Pharmaceutical preparations - - -
Skadden, Arps, Slate, Meagher & Flom LLP REWALK ROBOTICS LTD RWLK S-1 3842 - Orthopedic, prosthetic & surgical appliances & supplies Canaccord Genuity Inc. National Securities Corp. -
White & Case LLP REWALK ROBOTICS LTD RWLK S-1 3842 - Orthopedic, prosthetic & surgical appliances & supplies Canaccord Genuity Inc. National Securities Corp. -
Haynie Rake Repass & Klimko, P.C. VERITEX HOLDINGS INC VBTX S-4 6022 - State commercial banks - - -
Norton Rose Fulbright LLP VERITEX HOLDINGS INC VBTX S-4 6022 - State commercial banks - - -

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