Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: September 4 - 8

There were 34 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including BCB Bancorp Inc. w/ Covington & Burling LLP, SSB Bancorp Inc. w/ Luse Gorman, PC, BCB Bancorp Inc. w/ Windels Marx Lane & Mittendorf, LLP, Double Eagle Acquisition Corp. w/ Allen & Overy LLP, Startengine Crowdfunding Inc. w/ KHLK, LLP, Double Eagle Acquisition Corp. w/ Winston & Strawn LLP, Aytu Bioscience Inc. w/ Wyrick Robbins Yates & Ponton 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 
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. CALADRIUS BIOSCIENCES INC CLBS S-3 8090 - Services - miscellaneous health & allied services, not elsewhere classified - - -
Uranium Energy Corp. URANIUM ENERGY CORP UEC S-3 1090 - Miscellaneous metal ores - - -
Blank Rome LLP ADIAL PHARMACEUTICALS LLC - S-1 2834 - Pharmaceutical preparations Aegis Capital Corp. - -
Gracin & Marlow, LLP ADIAL PHARMACEUTICALS LLC - S-1 2834 - Pharmaceutical preparations Aegis Capital Corp. - -
Greenberg Traurig, LLP FULL HOUSE RESORTS INC FLL S-3 7990 - Services - miscellaneous amusement & recreation - - -
Antonio Contreras, Esq. IBAA FUND - N-2 - - - -
ClearTrust LLC GMCI CORP PMET 10-12G 1000 - Metal mining - - -
Morgan, Lewis & Bockius LLP RHYTHM PHARMACEUTICALS INC - S-1 2834 - Pharmaceutical preparations Morgan Stanley & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Cowen and Company, LLC / Needham & Company, LLC
Wilmer Cutler Pickering Hale and Dorr LLP RHYTHM PHARMACEUTICALS INC - S-1 2834 - Pharmaceutical preparations Morgan Stanley & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Cowen and Company, LLC / Needham & Company, LLC
Dechert LLP TRILOMA EIG ENERGY INCOME FUND - TERM I - N-2 - - - -
EIG Global Energy Partners, LLC TRILOMA EIG ENERGY INCOME FUND - TERM I - N-2 - - - -
Triloma Financial Group, LLC TRILOMA EIG ENERGY INCOME FUND - TERM I - N-2 - - - -
SecuritiesLawUSA, PC RISE GOLD CORP PROF S-1 1000 - Metal mining - - -
Thomas, Rondeau LLP RISE GOLD CORP PROF S-1 1000 - Metal mining - - -
Latham & Watkins LLP PROPETRO HOLDING CORP PUMP S-1 1389 - Oil & gas field services, not elsewhere classified - - -
Alteryx, Inc. ALTERYX INC AYX S-1 7372 - Services - prepackaged software Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / KeyBanc Capital Markets Inc. / William Blair & Company, L.L.C. JMP Securities LLC / Raymond James & Associates, Inc. / Cowen and Company, LLC
Baker & McKenzie LLP SOTHERLY HOTELS INC SOHO S-3 6798 - Real estate investment trusts - - -
BankGuam Holding Co. BANKGUAM HOLDING CO BKGM S-1 6029 - Commercial banks, not elsewhere classified BankGuam Insurance Underwriters, Ltd. - -
Bradley Arant Boult Cummings LLP BANKGUAM HOLDING CO BKGM S-1 6029 - Commercial banks, not elsewhere classified BankGuam Insurance Underwriters, Ltd. - -
Cooley LLP ALTERYX INC AYX S-1 7372 - Services - prepackaged software Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / KeyBanc Capital Markets Inc. / William Blair & Company, L.L.C. JMP Securities LLC / Raymond James & Associates, Inc. / Cowen and Company, LLC
Davis Polk & Wardell LLP MPM HOLDINGS INC - S-1 2821 - Plastic materials, synthetic resins & nonvulcanizable elastomers - - -
Davis Polk & Wardwell LLP LOMA NEGRA COMPANIA INDUSTRIAL ARGENTINA SA - F-1 3241 - Cement, hydraulic Banco Bradesco BBI S.A. / Citigroup Global Markets Inc. HSBC Securities Inc. / Itau BBA USA Securities, Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. / Morgan Stanley & Co. LLC
DGOC Series 18B LP DGOC SERIES 18B LP - 10-12G - - - -
DGOC Series 18C LP DGOC SERIES 18C LP - 10-12G - - - -
Fenwick & West LLP ALTERYX INC AYX S-1 7372 - Services - prepackaged software Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / KeyBanc Capital Markets Inc. / William Blair & Company, L.L.C. JMP Securities LLC / Raymond James & Associates, Inc. / Cowen and Company, LLC
Goodwin Procter LLP SWITCH INC - S-1 7370 - Services - computer programming, data process, etc. Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / BMO Capital Markets Corp. Wells Fargo Securities, LLC / Citigroup Global Markets Inc. / Credit Suisse Securities LLC / Jefferies LLC BTIG, LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc. / William Blair & Company, L.L.C.
Latham & Watkins LLP SWITCH INC - S-1 7370 - Services - computer programming, data process, etc. Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / BMO Capital Markets Corp. Wells Fargo Securities, LLC / Citigroup Global Markets Inc. / Credit Suisse Securities LLC / Jefferies LLC BTIG, LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc. / William Blair & Company, L.L.C.
Murtha Cullina LLP CONNECTICUT WATER SERVICE INC CTWS S-3 4941 - Water supply - - -
Paul, Weiss, Rifkind, Wharton & Garrison LLP MPM HOLDINGS INC - S-1 2821 - Plastic materials, synthetic resins & nonvulcanizable elastomers - - -
Stroock & Stroock & Lavan LLP PBF HOLDING CO LLC - S-4 2911 - Petroleum refining - - -
Switch, Inc. SWITCH INC - S-1 7370 - Services - computer programming, data process, etc. Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC / BMO Capital Markets Corp. Wells Fargo Securities, LLC / Citigroup Global Markets Inc. / Credit Suisse Securities LLC / Jefferies LLC BTIG, LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc. / William Blair & Company, L.L.C.
White & Case LLP LOMA NEGRA COMPANIA INDUSTRIAL ARGENTINA SA - F-1 3241 - Cement, hydraulic Banco Bradesco BBI S.A. / Citigroup Global Markets Inc. HSBC Securities Inc. / Itau BBA USA Securities, Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. / Morgan Stanley & Co. LLC
Kutak Rock LLP US ENERGY CORP USEG S-1 1311 - Crude petroleum & natural gas - - -
Carmel, Milazzo & DiChiara LLP HANCOCK JAFFE LABORATORIES INC - S-1 3841 - Surgical & medical instruments & apparatus Network 1 Financial Securities, Inc. - -
K&L Gates LLP HANCOCK JAFFE LABORATORIES INC - S-1 3841 - Surgical & medical instruments & apparatus Network 1 Financial Securities, Inc. - -
Libertas Law Group, Inc. CHANTICLEER HOLDINGS INC HOTR S-3 8742 - Services - management consulting services - - -
Loeb & Loeb LLP FAT BRANDS INC - 1-A 5812 - Retail - eating places - - -
Olshan Frome Wolosky LLP CEMTREX INC CETX S-4 3829 - Measuring & controlling devices, not elsewhere classified - - -
Park Avenue Group E-QURE CORP ADBI S-1 5090 - Wholesale - miscellaneous durable goods - - -
Thomas J. Craft, Jr., Esq. E-QURE CORP ADBI S-1 5090 - Wholesale - miscellaneous durable goods - - -
Vinson & Elkins L.L.P. ECO-STIM ENERGY SOLUTIONS INC ESES S-3 1389 - Oil & gas field services, not elsewhere classified - - -
Harter Secrest & Emery LLP TRIPBORN INC - S-1 6770 - Blank check - - -
Jones Day CAPITAL SOUTHWEST CORP CSWC N-2 6726 - Unit investment trusts, face-amount certificate offices & closed-end management investment offices - - -
Covington & Burling LLP BCB BANCORP INC BCBP S-4 6035 - Savings institutions, federally chartered - - -
Luse Gorman, PC SSB BANCORP INC - S-1 - Keefe, Bruyette & Woods, Inc. - -
Windels Marx Lane & Mittendorf, LLP BCB BANCORP INC BCBP S-4 6035 - Savings institutions, federally chartered - - -
Allen & Overy LLP DOUBLE EAGLE ACQUISITION CORP EAGL S-4 6770 - Blank check - - -
KHLK, LLP STARTENGINE CROWDFUNDING INC - 1-A 7374 - Services - computer processing & data preparation - - -
Winston & Strawn LLP DOUBLE EAGLE ACQUISITION CORP EAGL S-4 6770 - Blank check - - -
Wyrick Robbins Yates & Ponton LLP AYTU BIOSCIENCE INC RSWN S-1 8200 - Services - educational services - - -

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