Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: April 10 - 14

 

There were 59 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services including, PAVMED INC. w/ Greenberg Traurig, LLP, CAPITOL ACQUISITION HOLDING CO LTD w/ Graubard Miller, CHINO COMMERCIAL BANCORP w/ King, Holmes, Paterno Soriano, LLP, CAPITOL ACQUISITION HOLDING CO LTD w/ Kirkland Ellis LLP, CAPITOL ACQUISITION HOLDING CO LTD w/ Latham Watkins LLP, HIGHPOWER INTERNATIONAL INC. w/ Manatt, Phelps Phillips, LLP, CAPITOL ACQUISITION HOLDING CO LTD w/ Walkers Global.

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.

For more information on Toppan Vite's Acquisition of Vintage, click here.

 

Account / Firm Company Name Symbol Form Type Industry
Registered Agents Services LLC CANTOR GROUP INC - S-1 -
Allianz Life Insurance Company of North America ALLIANZ LIFE INSURANCE CO OF NEW YORK - S-1 Life insurance
Allianz Life Insurance Company of North America ALLIANZ LIFE INSURANCE CO OF NORTH AMERICA - S-1 Life insurance
Breyer & Associates PC RIVERVIEW BANCORP INC RVSB S-3 Savings institutions, federally chartered
King & Spalding LLP SIMPLY GOOD FOODS CO CPAA S-4 Blank check
Kirkland & Ellis LLP SIMPLY GOOD FOODS CO CPAA S-4 Blank check
Sichenzia Ross Ference Kesner LLP HEALTHLYNKED CORP - S-1 Services - offices & clinics of doctors of medicine
SD Law Group APC RICH PHARMACEUTICALS INC RCHA S-1 Pharmaceutical preparations
Troutman Sanders LLP PACIFIC ETHANOL INC PEIX S-3 Industrial organic chemicals
Troutman Sanders LLP PACIFIC ETHANOL INC PEIX S-3 Industrial organic chemicals
Nelson Mullins Riley & Scarborough LLP GRIFFIN CAPITAL ESSENTIAL ASSET REIT II INC - S-11 Real estate investment trusts
Latham & Watkins LLP HC2 HOLDINGS INC HCHC S-3 Telephone communications, except radiotelephone
Ithrive PH Inc. ITHRIVE PH INC - 1-A -
Davis Polk & Wardwell LLP KADMON HOLDINGS INC KDMN S-1 Pharmaceutical preparations
Kadmon Holdings, Inc. KADMON HOLDINGS INC KDMN S-1 Pharmaceutical preparations
Clifford Chance US LLP SAFETY INCOME & GROWTH INC - S-11 Lessors of real property, not elsewhere classified
DLA Piper LLP NABRIVA THERAPEUTICS PLC - S-4 -
Ropes & Gray LLP ALTICE USA INC - S-1 -
Shearman & Sterling LLP ALTICE USA INC - S-1 -
Sidley Austin LLP SAFETY INCOME & GROWTH INC - S-11 Lessors of real property, not elsewhere classified
Bryan Cave LLP GENERAL MOLY INC GMO S-3 Metal mining
Honigman Miller Schwartz and Cohn LLP GEMPHIRE THERAPEUTICS INC GEMP S-1 Pharmaceutical preparations
Sidley Austin LLP STARWOOD PROPERTY TRUST INC STWD S-4 Real estate investment trusts
Stubbs Alderton & Markiles, LLP RESONANT INC RESN S-3 Semiconductors & related devices
Eversheds Sutherland LLP OFS CAPITAL CORP OFS N-2 Investment advice
Eversheds Sutherland LLP UNITED STATES NATURAL GAS FUND LP UNG S-3 Commodity contracts brokers & dealers
Morrison & Foerster LLP PAIN THERAPEUTICS INC PTIE S-3 Pharmaceutical preparations
Office of Richard Rubin EWELLNESS HEALTHCARE CORP - S-1 Blank check
Thomas J. Craft, Jr., Esq. EWELLNESS HEALTHCARE CORP - S-1 Blank check
Reed Smith LLP TEUCRIUM COMMODITY TRUST CORN S-1 Commodity contracts brokers & dealers
Reed Smith LLP TEUCRIUM COMMODITY TRUST CORN S-1 Commodity contracts brokers & dealers
Hill Ward Henderson NUO THERAPEUTICS INC 4C7A S-1 Surgical & medical instruments & apparatus
Lowenstein Sandler LLP NUO THERAPEUTICS INC 4C7A S-1 Surgical & medical instruments & apparatus
Andrews Kurth Kenyon LLP BASIC ENERGY SERVICES INC BAS S-3 Oil & gas field services, not elsewhere classified
Andrews Kurth Kenyon LLP BASIC ENERGY SERVICES INC BAS S-3 Oil & gas field services, not elsewhere classified
Andrews Kurth Kenyon LLP TAPSTONE ENERGY INC - S-1 Crude petroleum & natural gas
Bass, Berry & Sims PLC QUORUM HEALTH CORP QHC S-4 Services - general medic & surgical hospitals, not elsewhere classified
CBS Corporation ENTERCOM COMMUNICATIONS CORP ETM S-4 Radio broadcasting stations
CBS Corporation CBS RADIO INC - S-4 Radio broadcasting stations
Cooley LLP AUDENTES THERAPEUTICS INC BOLD S-1 Biological products, except diagnostic substances
Cooley LLP OVID THERAPEUTICS INC - S-1 Pharmaceutical preparations
Cooley LLP MATTERSIGHT CORP MATR S-3 Services - computer integrated systems design
Debevoise & Plimpton LLP US FOODS HOLDING CORP USFD S-1 Retail - Miscellaneous food stores
Entercom Communications Corp. ENTERCOM COMMUNICATIONS CORP ETM S-4 Radio broadcasting stations
Entercom Communications Corp. CBS RADIO INC - S-4 Radio broadcasting stations
Eversheds Sutherland LLP GREAT WEST LIFE & ANNUITY INSURANCE CO - S-1 -
Eversheds Sutherland LLP GREAT WEST LIFE & ANNUITY INSURANCE CO - S-1 -
Fenwick & West LLP AUDENTES THERAPEUTICS INC BOLD S-1 Biological products, except diagnostic substances
Goodwin Procter LLP OVID THERAPEUTICS INC - S-1 Pharmaceutical preparations
Goodwin Procter LLP G1 THERAPEUTICS INC - S-1 Pharmaceutical preparations
Goodwin Procter LLP AERPIO PHARMACEUTICALS INC - S-1 Blank check
Haynes and Boone, LLP CALLON PETROLEUM CO CPE S-4 Crude petroleum & natural gas
Jones Day PEABODY ENERGY CORP BTU S-1 Bituminous coal & lignite surface mining
Kirkland & Ellis LLP VINE RESOURCES INC - S-1 Crude petroleum & natural gas
Kirkland & Ellis LLP ICHOR HOLDINGS LTD ICHR S-1 Semiconductors & related devices
Latham & Watkins LLP ENTERCOM COMMUNICATIONS CORP ETM S-4 Radio broadcasting stations
Latham & Watkins LLP CBS RADIO INC - S-4 Radio broadcasting stations
Latham & Watkins LLP ICHOR HOLDINGS LTD ICHR S-1 Semiconductors & related devices
Latham & Watkins LLP WILLIAM LYON HOMES INC WLH S-4 Operative builders
Locke Lord LLP PDL COMMUNITY BANCORP - S-1 -
Mattersight Corporation MATTERSIGHT CORP MATR S-3 Services - computer integrated systems design
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. G1 THERAPEUTICS INC - S-1 Pharmaceutical preparations
Murtha Cullina LLP CONNECTICUT WATER SERVICE INC CTWS S-4 Water supply
Ovid Therapeutics Inc. OVID THERAPEUTICS INC - S-1 Pharmaceutical preparations
Porter Hedges LLP CARRIAGE SERVICES INC CSV S-3 Services - personal services
Sidley Austin LLP US FOODS HOLDING CORP USFD S-1 Retail - Miscellaneous food stores
Silver, Freedman, Taff & Tiernan LLP PDL COMMUNITY BANCORP - S-1 -
Simpson Thacher & Bartlett LLP US FOODS HOLDING CORP USFD S-1 Retail - Miscellaneous food stores
Skadden, Arps, Slate, Meagher & Flom LLP GREAT ELM CAPITAL CORP GECC N-2 Investors, not elsewhere classified
Vinson & Elkins L.L.P. VINE RESOURCES INC - S-1 Crude petroleum & natural gas
Vinson & Elkins L.L.P. TAPSTONE ENERGY INC - S-1 Crude petroleum & natural gas
Wachtell, Lipton, Rosen & Katz ENTERCOM COMMUNICATIONS CORP ETM S-4 Radio broadcasting stations
Wachtell, Lipton, Rosen & Katz CBS RADIO INC - S-4 Radio broadcasting stations
Whitman Breed Abbott & Morgan LLC CONNECTICUT WATER SERVICE INC CTWS S-4 Water supply
Dorsey & Whitney LLP NIOCORP DEVELOPMENTS LTD - S-1 Metal mining
Bevilacqua PLLC ICTV BRANDS INC ICV S-1 Retail - catalog & mail-order houses
Fredrikson & Byron P.A. NEPHROS INC NEPH S-1 Surgical & medical instruments & apparatus
Durham Jones & Pinegar, P.C. DYNATRONICS CORP DYNT S-3 Electromedical & electrotherapeutic apparatus
Greenberg Traurig, LLP PAVMED INC PAVM S-4 Surgical & medical instruments & apparatus
Sidley Austin LLP VERMILLION INC VRML S-3 In vitro & in vivo diagnostic substances
Graubard Miller CAPITOL ACQUISITION HOLDING CO LTD - S-4 -
King, Holmes, Paterno & Soriano LLP CHINO COMMERCIAL BANCORP CCBC 1-A National commercial banks
Kirkland & Ellis LLP CAPITOL ACQUISITION HOLDING CO LTD - S-4 -
Latham & Watkins LLP CAPITOL ACQUISITION HOLDING CO LTD - S-4 -
Manatt, Phelps & Phillips, LLP HIGHPOWER INTERNATIONAL INC HPJ S-3 Miscellaneous electrical machinery, equipment & supplies
Walkers Global CAPITOL ACQUISITION HOLDING CO LTD - S-4 -


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Toppan Vite is a full-service financial printer. We help clients manage mission-critical content for capital markets transactions, funds, annuities, financial reporting and SEC filings. Our mission is to deliver a hassle-free experience with the highest quality, accuracy, reliability and value for all your financial printing needs.

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