Insights

IPOs and Transactions: December 10 - 14

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 Cimarex Energy Co w/ Akin Gump Strauss Hauer & Feld LLP, First Bancshares Inc w/ Alston & Bird, LLP, Cimarex Energy Co w/ Arnold & Porter Kaye Scholer LLP, Enphase Energy Inc w/ Arnold & Porter Kaye Scholer LLP, Enphase Energy Inc w/ Arnold & Porter Kaye Scholer LLP, Ready Capital Corp w/ Clifford Chance US LLP, Eyenovia Inc w/ Duane Morris LLP, Neos Therapeutics Inc w/ Goodwin Procter LLP, Asia Times Holdings Ltd w/ Hunter Taubman Fischer & Li LLC, Weatherford International Inc w/ Latham & Watkins LLP, Asia Times Holdings Ltd w/ Ortoli Rosenstadt LLP, Ready Capital Corp w/ Owens Realty Mortgage, Inc., Sorrento Therapeutics Inc w/ Paul Hastings LLP, Cimarex Energy Co w/ Resolute Energy Corp., First Bancshares Inc w/ Silver, Freedman, Taff & Tiernan LLP, Sorrento Therapeutics Inc w/ Sorrento Therapeutics, Inc., Ready Capital Corp w/ Vinson & Elkins L.L.P., Eyenovia 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.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

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Account / Firm Company Name Symbol Form Type Industry Underwriters
Akin Gump Strauss Hauer & Feld LLP Cimarex Energy Co XEC S-4 1311 - Crude petroleum & natural gas  
Akin Gump Strauss Hauer & Feld LLP Saexploration Holdings Inc SAEX S-3 6770 - Blank check  
Allegaert Berger & Vogel LLP Cardax Inc CDXI S-1 2834 - Pharmaceutical preparations  
Alston & Bird, LLP First Bancshares Inc FBMS S-4 6021 - National commercial banks  
Arnold & Porter Kaye Scholer LLP Cimarex Energy Co XEC S-4 1311 - Crude petroleum & natural gas  
Arnold & Porter Kaye Scholer LLP Enphase Energy Inc ENPH S-3 3674 - Semiconductors & related devices  
Arnold & Porter Kaye Scholer LLP Enphase Energy Inc ENPH S-3 3674 - Semiconductors & related devices  
Baker & McKenzie LLP Oncor Electric Delivery Co Llc - S-4 4911 - Electric services  
BizFilings Bigeon Corp - S-1 -  
Blake, Cassels & Graydon LLP Zymeworks Inc ZYME S-3 2834 - Pharmaceutical preparations  
Clifford Chance US LLP Ready Capital Corp RC S-4 6798 - Real estate investment trusts  
Cooley LLP Biohaven Pharmaceutical Holding Co Ltd BHVN S-1 2834 - Pharmaceutical preparations
  • Goldman Sachs & Co. LLC
  • Piper Jaffray & Co.
Dentons Canada LLP Saban Capital Acquisition Corp SCAC S-4 6770 - Blank check
  • Deutsche Bank Securities Inc.
  • Goldman, Sachs & Co.
Dentons US LLP Mynd Analytics Inc MYND S-1 8090 - Services - miscellaneous health & allied services, not elsewhere classified
  • Aspire Capital Fund, LLC
Dinsmore & Shohl LLP Peoples Bancorp Inc PEBO S-4 6021 - National commercial banks  
Duane Morris LLP Eyenovia Inc EYEN S-1 2834 - Pharmaceutical preparations
  • National Securities Corp.
Ellenoff Grossman & Schole LLP Borqs Technologies Inc BRQS S-3 6770 - Blank check  
Fenimore, Kay, Harrison & Ford, LLP Guaranty Bancshares Inc GNTY S-3 6712 - Offices of bank holding companies  
Fenwick & West LLP Kalvista Pharmaceuticals Inc KALV S-3 2834 - Pharmaceutical preparations  
Foley & Lardner LLP Quad/Graphics Inc QUAD S-4 2750 - Commercial printing  
Fox Rothschild LLP Radiant Logistics Inc RLGT S-3 4731 - Arrangement of transportation of freight & cargo  
Gentry Locke American National Bankshares Inc AMNB S-4 6021 - National commercial banks  
Goodwin Procter LLP Neos Therapeutics Inc NEOS S-3 2834 - Pharmaceutical preparations  
Hallett & Perrin, P.C. Mmex Resources Corp MMEX S-3 7819 - Services - allied to motion picture production  
Holland & Knight LLP Enterprise Financial Services Corp EFSC S-4 6022 - State commercial banks  
Hunter Taubman Fischer & Li LLC Asia Times Holdings Ltd - F-1 8742 - Services - management consulting services
  • Boustead Securities, LLC
Hunton Andrews Kurth LLP Enterprise Financial Services Corp EFSC S-4 6022 - State commercial banks  
K&L Gates LLP Acm Research Inc ACMR S-3 3559 - Special industry machinery, not elsewhere classified  
Kirkland & Ellis LLP Saban Capital Acquisition Corp SCAC S-4 6770 - Blank check
  • Deutsche Bank Securities Inc.
  • Goldman, Sachs & Co.
L3 Technologies, Inc. Harris Corp HRS S-4 3812 - Search, detection, navigation, guidance, aeronautical & nautical systems  
Latham & Watkins LLP Weatherford International Inc WFT S-4 3533 - Oil & gas field machinery & equipment  
Law Office of Azuka L. Uzoh Cannabinoid Biosciences Inc - 1-A -  
Law Offices of Robert Diener Js Beauty Land Network Technology Inc - S-1 5944 - Retail - jewelry stores  
LSC Communications, Inc. Quad/Graphics Inc QUAD S-4 2750 - Commercial printing  
Lucosky Brookman LLP Naturalshrimp Inc MYDR S-1 0921 - Fish hatcheries & preserves
  • GHS Investments LLC
McGuireWoods LLP Dominion Energy Inc DCUD S-4 4911 - Electric services  
Meso Numismatics, Inc. Meso Numismatics Inc - 10-12G -  
Michael W. Sanders, Esq. Houston American Energy Corp HUSA S-3 1311 - Crude petroleum & natural gas  
Ortoli Rosenstadt LLP Asia Times Holdings Ltd - F-1 8742 - Services - management consulting services
  • Boustead Securities, LLC
Owens Realty Mortgage, Inc. Ready Capital Corp RC S-4 6798 - Real estate investment trusts  
Paul Hastings LLP Sorrento Therapeutics Inc SRNE S-3 8731 - Services - commercial physical & biological research  
Pearlman Law Group LLP Level Brands Inc LEVB S-3 2844 - Perfumes, cosmetics & other toilet preparations  
Pillsbury Winthrop Shaw Pittman LLP Upland Software Inc UPLD S-3 7372 - Services - prepackaged software  
Proskauer Rose LLP Suburban Propane Partners Lp SPH S-4 5900 - Retail - miscellaneous retail  
Resolute Energy Corp. Cimarex Energy Co XEC S-4 1311 - Crude petroleum & natural gas  
Robinson Brog Leinwand Greene Genovese & Gluck P.C. Xg Technology Inc XGTI S-3 4800 - Communications  
Ropes & Gray LLP Biohaven Pharmaceutical Holding Co Ltd BHVN S-1 2834 - Pharmaceutical preparations
  • Goldman Sachs & Co. LLC
  • Piper Jaffray & Co.
Ropes & Gray LLP Gores Metropoulos Inc - S-1 6770 - Blank check
  • Deutsche Bank Securities Inc.
  • Credit Suisse Securities LLC
Schiff Hardin LLP Nisource Inc NI S-4 4931 - Electric & other services combined  
Schiff Hardin LLP Nisource Inc NI S-4 4931 - Electric & other services combined  
Silver, Freedman, Taff & Tiernan LLP First Bancshares Inc FBMS S-4 6021 - National commercial banks  
Simpson Thacher & Bartlett LLP Harris Corp HRS S-4 3812 - Search, detection, navigation, guidance, aeronautical & nautical systems  
Skadden, Arps, Slate, Meagher & Flom LLP Saban Capital Acquisition Corp SCAC S-4 6770 - Blank check
  • Deutsche Bank Securities Inc.
  • Goldman, Sachs & Co.
Skadden, Arps, Slate, Meagher & Flom LLP Zymeworks Inc ZYME S-3 2834 - Pharmaceutical preparations  
Sorrento Therapeutics, Inc. Sorrento Therapeutics Inc SRNE S-3 8731 - Services - commercial physical & biological research  
Stikeman Elliott LLP Saban Capital Acquisition Corp SCAC S-4 6770 - Blank check
  • Deutsche Bank Securities Inc.
  • Goldman, Sachs & Co.
Stoll Keenon Ogden PLLC Peoples Bancorp Inc PEBO S-4 6021 - National commercial banks  
Sullivan & Cromwell LLP Harris Corp HRS S-4 3812 - Search, detection, navigation, guidance, aeronautical & nautical systems  
Sullivan & Cromwell LLP Quad/Graphics Inc QUAD S-4 2750 - Commercial printing  
The Lonergan Law Firm LLC Cannapowder Inc SMGY S-1 3829 - Measuring & controlling devices, not elsewhere classified  
The NBD Group, Inc. B. Riley Financial Inc RILY S-3 7389 - Services - business services, not elsewhere classified  
Trinity Capital Corp. Enterprise Financial Services Corp EFSC S-4 6022 - State commercial banks  
Upland Software, Inc. Upland Software Inc UPLD S-3 7372 - Services - prepackaged software  
Vinson & Elkins L.L.P. Berry Petroleum Corp BRY S-1 1311 - Crude petroleum & natural gas  
Vinson & Elkins L.L.P. Dominion Energy Inc DCUD S-4 4911 - Electric services  
Vinson & Elkins L.L.P. Jagged Peak Energy Llc JAG S-4 1311 - Crude petroleum & natural gas  
Vinson & Elkins L.L.P. Ready Capital Corp RC S-4 6798 - Real estate investment trusts  
Vivi Holdings, Inc. Vivi Holdings Inc - 10-12G 7374 - Services - computer processing & data preparation  
Weil, Gotshal & Manges LLP Gores Metropoulos Inc - S-1 6770 - Blank check
  • Deutsche Bank Securities Inc.
  • Credit Suisse Securities LLC
Williams Mullen American National Bankshares Inc AMNB S-4 6021 - National commercial banks  
Wyrick Robbins Yates & Ponton LLP Eyenovia Inc EYEN S-1 2834 - Pharmaceutical preparations
  • National Securities Corp.

 

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Toppan Merrill, a leader in financial printing and communication solutions, is part of the Toppan Printing Co., Ltd., the world's leading printing group, headquartered in Tokyo with approximately US$14 billion in annual sales. Toppan Merrill has been a pioneer and trusted partner to the financial, legal and corporate communities for five decades, providing secure, innovative solutions to complex content and communications requirements. Through proactive partnerships, unparalleled expertise, continuous innovation and unmatched service, Toppan Merrill delivers a hassle-free experience for mission-critical content for capital markets transactions, financial reporting and regulatory disclosure filings, and marketing and communications solutions for regulated and non-regulated industries. With global expertise in major capital markets, Toppan Merrill delivers unmatched service around the world.

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