Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: September 25 - 29

There were 50 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Innovative Industrial Properties Inc w/ DLA Piper LLP, Innovative Industrial Properties Inc w/ Foley & Lardner LLP, Select Bancorp Inc w/ Johnson Pope Bokor Ruppel & Burns, LLP, Select Bancorp Inc w/ Wyrick Robbins Yates & Ponton LLP, Golub Capital Bdc 3 Inc w/ Dechert LLP, Pareteum Corp w/ Schiff Hardin LLP, Pareteum Corp w/ Sichenzia Ross Ference Kesner 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 +
Latham & Watkins LLP Apricus Biosciences Inc APRI S-3 2834 - Pharmaceutical preparations - - -
DLA Piper LLP Water Technologies Internationalinc - 1-A - - - -
Akerman LLP Carrols Restaurant Group Inc TAST S-4 5812 - Retail - eating places - - -
Hogan Lovells US LLP Royalty Flow Inc - 1-A 6794 - Patent owners & lessors - - -
Williams Securities Law Firm, PA Aspyron Inc - 1-A - - - -
Williams Securities Law Firm, PA Engenavis Inc - 1-A - - - -
Ellenoff Grossman & Schole LLP Haymaker Acquisition Corp - S-1 6770 - Blank check Cantor Fitzgerald & Co. - -
Garvey Schubert Barer Cohbar Inc - S-1 2834 - Pharmaceutical preparations - - -
Graubard Miller Haymaker Acquisition Corp - S-1 6770 - Blank check Cantor Fitzgerald & Co. - -
Eaton Vance Tax-Advantaged Global Dividend Opportunities Fund Eaton Vance Tax-Advantaged Global Dividend Opportunities Fund ETO N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices Eaton Vance Distributors, Inc. - -
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund ETW N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices Eaton Vance Distributors, Inc. - -
Drinker Biddle & Reath LLP Hatteras Core Alternatives Fund L.P. - N-2 - Hatteras Capital Distributors, LLC - -
Drinker Biddle & Reath LLP Hatteras Core Alternatives Institutional Fund L.P. - N-2 - Hatteras Capital Distributors, LLC - -
Drinker Biddle & Reath LLP Hatteras Core Alternatives Tei Fund L.P. - N-2 - Hatteras Capital Distributors, LLC - -
Drinker Biddle & Reath LLP Hatteras Core Alternatives Tei Institutional Fund L.P. - N-2 - Hatteras Capital Distributors, LLC - -
Holland & Hart LLP First Interstate Bancsystem Inc FIBK S-3 6022 - State commercial banks - - -
John D. Thomas, P.C. Ia Energy Corp - S-1 - - - -
Adamson Brothers Lemon Tree Passage Inc - 1-A - - - -
Loev Law Firm, PC Monaker Group Inc 6NIN S-1 7310 - Services - advertising - - -
Cooley LLP Glycomimetics Inc GLYC S-3 2834 - Pharmaceutical preparations Cowen and Company, LLC - -
Covington & Burling LLP Merchants Bancorp - S-1 6022 - State commercial banks Sandler O'Neill & Partners, L.P. Stephens Inc. Raymond James & Associates, Inc. / SunTrust Robinson Humphrey, Inc.
Krieg DeVault LLP Merchants Bancorp - S-1 6022 - State commercial banks Sandler O'Neill & Partners, L.P. Stephens Inc. Raymond James & Associates, Inc. / SunTrust Robinson Humphrey, Inc.
Mei & Mark LLP Hexindai Inc - F-1 6172 - Finance lessors Network 1 Financial Securities, Inc. - -
Shearman & Sterling Hexindai Inc - F-1 6172 - Finance lessors Network 1 Financial Securities, Inc. - -
Jenner & Block LLP Viskase Companies Inc VKSC 1-A 3089 - Plastics products, not elsewhere classified - - -
Austin Legal Group Determine Inc DTRM S-3 7372 - Services - prepackaged software - - -
Faegre Baker Daniels LLP Sun Biopharma Inc CRSO S-1 7373 - Services - computer integrated systems design Aegis Capital Corp. - -
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP Sun Biopharma Inc CRSO S-1 7373 - Services - computer integrated systems design Aegis Capital Corp. - -
Barack Ferrazzano Kirschbaum & Nagelberg LLP Valley National Bancorp VLY S-4 6021 - National commercial banks - - -
Benesch, Friedlander, Coplan & Aronoff LLP Myers Industries Inc MYE S-3 3089 - Plastics products, not elsewhere classified - - -
Day Pitney LLP Valley National Bancorp VLY S-4 6021 - National commercial banks - - -
Fox Rothschild LLP Entellus Medical Inc ENTL S-3 3841 - Surgical & medical instruments & apparatus - - -
Goodwin Procter LLP Altair Engineering Inc - S-1 7372 - Services - prepackaged software J.P. Morgan Securities LLC RBC Capital Markets, LLC / Deutsche Bank Securities Inc. William Blair & Company, L.L.C. / Canaccord Genuity Inc.
Lowenstein Sandler LLP Altair Engineering Inc - S-1 7372 - Services - prepackaged software J.P. Morgan Securities LLC RBC Capital Markets, LLC / Deutsche Bank Securities Inc. William Blair & Company, L.L.C. / Canaccord Genuity Inc.
Nelson Mullins Riley & Scarborough LLP Strategic Student & Senior Housing Trust Inc - S-11 - - - -
Osler, Hoskin & Harcourt LLP Acasti Pharma Inc ACST F-1 2834 - Pharmaceutical preparations The Benchmark Company, LLC Dawson James Securities, Inc. -
Paul, Weiss, Rifkind, Wharton & Garrison LLP Mosaic Acquisition Corp - S-1 6770 - Blank check Deutsche Bank Securities Inc. RBC Capital Markets, LLC J.P. Morgan Securities LLC
ProShare Capital Management LLC Proshares Trust Ii AGQ S-1 6221 - Commodity contracts brokers & dealers - - -
ProShare Capital Management LLC Proshares Trust Ii AGQ S-3 6221 - Commodity contracts brokers & dealers - - -
ProShare Capital Management LLC Proshares Trust Ii AGQ S-1 6221 - Commodity contracts brokers & dealers - - -
Schiff Hardin LLP Acasti Pharma Inc ACST F-1 2834 - Pharmaceutical preparations The Benchmark Company, LLC Dawson James Securities, Inc. -
Sheppard, Mullin, Richter & Hampton LLP Trovagene Inc TROV S-3 2836 - Biological products, except diagnostic substances - - -
Sidley Austin LLP Proshares Trust Ii AGQ S-1 6221 - Commodity contracts brokers & dealers - - -
Sidley Austin LLP Proshares Trust Ii AGQ S-3 6221 - Commodity contracts brokers & dealers - - -
Sidley Austin LLP Biolase Inc BIOL S-1 3843 - Dental equipment & supplies - - -
Sidley Austin LLP Proshares Trust Ii AGQ S-1 6221 - Commodity contracts brokers & dealers - - -
Skadden, Arps, Slate, Meagher & Flom LLP Mosaic Acquisition Corp - S-1 6770 - Blank check Deutsche Bank Securities Inc. RBC Capital Markets, LLC J.P. Morgan Securities LLC
USAmeriBancorp, Inc. Valley National Bancorp VLY S-4 6021 - National commercial banks - - -
Valley National Bancorp. Valley National Bancorp VLY S-4 6021 - National commercial banks - - -
Vinson & Elkins L.L.P. Wildhorse Resource Development Corp WRD S-4 1311 - Crude petroleum & natural gas - - -
Weil, Gotshal & Manges LLP Mosaic Acquisition Corp - S-1 6770 - Blank check Deutsche Bank Securities Inc. RBC Capital Markets, LLC J.P. Morgan Securities LLC
Adamson Brothers Rto Finance Corp - 1-A -      
Jones Day Niocorp Developments Ltd - S-1 1000 - Metal mining - - -
Sichenzia Ross Ference Kesner LLP Tonix Pharmaceuticals Holding Corp TNXP S-1 2834 - Pharmaceutical preparations Lincoln Park Capital Fund, LLC - -
Nason, Yeager, Gerson, White & Lioce, P.A. Cocrystal Pharma Inc BZNE S-3 2834 - Pharmaceutical preparations - - -
Silverman Shin & Byrne PLLC Hemispherx Biopharma Inc HEB S-1 2836 - Biological products, except diagnostic substances - - -
Sensata Technologies Holding N.V. Sensata Technologies Holding Plc - S-4 - - - -
Seward & Kissel LLP Ocean Rig Udw Inc ORIG F-1 1381 - Drilling oil & gas wells - - -
Latham & Watkins LLP National Vision Holdings Inc - S-1 3851 - Ophthalmic goods KKR Capital Markets LLC - -
Simpson Thacher & Bartlett LLP National Vision Holdings Inc - S-1 3851 - Ophthalmic goods KKR Capital Markets LLC - -
DLA Piper LLP Innovative Industrial Properties Inc IIPR S-11 6500 - Real estate Ladenburg Thalmann & Co. Inc. National Securities Corp. -
Foley & Lardner LLP Innovative Industrial Properties Inc IIPR S-11 6500 - Real estate Ladenburg Thalmann & Co. Inc. National Securities Corp. -
Johnson Pope Bokor Ruppel & Burns, LLP Select Bancorp Inc SLCT S-4 6022 - State commercial banks - - -
Wyrick Robbins Yates & Ponton LLP Select Bancorp Inc SLCT S-4 6022 - State commercial banks - - -
Dechert LLP Golub Capital Bdc 3 Inc - 10-12G - - - -
Schiff Hardin LLP Pareteum Corp TEUM S-1 4813 - Telephone communications, except radiotelephone Dawson James Securities, Inc. - -
Sichenzia Ross Ference Kesner LLP Pareteum Corp TEUM S-1 4813 - Telephone communications, except radiotelephone Dawson James Securities, Inc. - -
Voya Retirement Insurance and Annuity Co. Voya Retirement Insurance & Annuity Co - S-3 6311 - Life insurance Directed Services LLC - -

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