Insights

IPOs and Transactions: December 17 - 21

There were 64 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Cc Real Estate Income Fund-T2 w/ Clifford Chance US LLP, Epsilon Energy Ltd w/ DLA Piper LLP, Twin River Worldwide Holdings Inc w/ Dover Downs Gaming & Entertainment, Inc., Twin River Worldwide Holdings Inc w/ Drinker Biddle & Reath LLP, Athena Spinco Inc w/ Fried, Frank, Harris, Shriver & Jacobson LLP, Fundrise Growth Ereit Iii Llc w/ Goodwin Procter LLP, Fundrise Income Ereit Iii Llc w/ Goodwin Procter LLP, Athena Spinco Inc w/ Jones Day, Twin River Worldwide Holdings Inc w/ Jones Day, Rmg Acquisition Corp w/ Latham & Watkins LLP, Yieldstreet Multi-Asset Fund Inc w/ Schulte Roth & Zabel LLP, Athena Spinco Inc w/ Sullivan & Cromwell LLP, Rmg Acquisition Corp w/ Weil, Gotshal & Manges 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
Aeglea BioTherapeutics, Inc. Aeglea Biotherapeutics Inc AGLE S-3 2834 - Pharmaceutical preparations
  • Jefferies LLC
Apex 11 Inc. Apex 11 Inc - 10-12G 6770 - Blank check  
Arnold & Porter Union Acquisition Corp LTN S-4 6770 - Blank check  
BlackRock Fund Advisors Ishares S&P Gsci Commodity-Indexed Trust GSG S-3 6799 - Investors, not elsewhere classified  
Bracewell LLP Western Gas Equity Partners Limited Partnership WGP S-4 4922 - Natural gas transmission  
BSB Bancorp, Inc. People'S United Financial Inc PBCT S-4 6035 - Savings institutions, federally chartered  
Clifford Chance US LLP Cc Real Estate Income Fund-T2 - N-2 -
  • ALPS Distributors, Inc.
Clifford L. Neuman, PC Magellan Gold Corp MAGE S-1 1000 - Metal mining  
Cooley LLP Gossamer Bio Inc - S-1 2834 - Pharmaceutical preparations
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Leerink Partners LLC
  • Barclays Capital Inc. / Evercore Group L.L.C.
Cooley LLP Vaxart Inc VXRT S-3 2836 - Biological products, except diagnostic substances
  • B. Riley FBR, Inc.
CrowdCheck Law LLP Steward Realty Trust Inc - 1-A 6798 - Real estate investment trusts  
Davis Polk & Wardwell LLP Cibus Global Ltd - S-1 -
  • Morgan Stanley & Co. LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Piper Jaffray & Co.
Dechert LLP Edge Therapeutics Inc EDGE S-4 2834 - Pharmaceutical preparations  
Dechert LLP Orasure Technologies Inc OSUR S-3 3841 - Surgical & medical instruments & apparatus  
Disclosure Law Group, PC Wrap Technologies Inc WRTC S-3 3480 - Ordnance & accessories, except vehicles & guided missiles  
DLA Piper LLP Edge Therapeutics Inc EDGE S-4 2834 - Pharmaceutical preparations  
DLA Piper LLP Epsilon Energy Ltd - 10-12B 1311 - Crude petroleum & natural gas  
Dorsey & Whitney LLP Intelgenx Technologies Corp IGX S-1 2834 - Pharmaceutical preparations  
Dover Downs Gaming & Entertainment, Inc. Twin River Worldwide Holdings Inc - S-4 -  
Drinker Biddle & Reath LLP Partners Group Private Equity (Master Fund) Llc - N-2 -
  • Foreside Fund Services, LLC
Drinker Biddle & Reath LLP Twin River Worldwide Holdings Inc - S-4 -  
Ellenoff Grossman & Schole LLP Smaaash Entertainment Inc SMSH S-1 6770 - Blank check
  • Maxim Group LLC
Eversheds Sutherland LLP Members Life Insurance Co - S-1 6311 - Life insurance
  • CUNA Brokerage Services, Inc.
Eversheds Sutherland LLP Members Life Insurance Co - S-1 6311 - Life insurance
  • CUNA Brokerage Services, Inc.
Fenwick & West LLP Aeglea Biotherapeutics Inc AGLE S-3 2834 - Pharmaceutical preparations
  • Jefferies LLC
Fried, Frank, Harris, Shriver & Jacobson LLP Athena Spinco Inc - 10-12B -  
Fried, Frank, Harris, Shriver & Jacobson LLP Forbes Energy Services Ltd FES S-1 1389 - Oil & gas field services, not elsewhere classified  
Gibson, Dunn & Crutcher LLP Denbury Resources Inc DNR S-4 1311 - Crude petroleum & natural gas  
Goodwin Procter LLP Fundrise Growth Ereit Iii Llc - 1-A 6798 - Real estate investment trusts  
Goodwin Procter LLP Fundrise Income Ereit Iii Llc - 1-A 6798 - Real estate investment trusts  
Goodwin Procter LLP Motus Gi Holdings Inc MOTS S-1 3841 - Surgical & medical instruments & apparatus
  • Piper Jaffray & Co.
Gossamer Bio, Inc. Gossamer Bio Inc - S-1 2834 - Pharmaceutical preparations
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Leerink Partners LLC
  • Barclays Capital Inc. / Evercore Group L.L.C.
Gracin & Marlow, LLP Youngevity International Inc YGYI S-3 5961 - Retail - catalog & mail-order houses  
Greenberg Traurig, LLP Agrofresh Solutions Inc AGFS S-3 6770 - Blank check  
Gutiérrez Bergman Boulris, PLLC Celsius Holdings Inc CELH S-3 1000 - Metal mining  
Inuvo, Inc. Conversionpoint Holdings Inc - S-4 -  
John D. Thomas P.C. Hoverink Biotechnologies Inc - S-1 6770 - Blank check  
Jones Day Athena Spinco Inc - 10-12B -  
Jones Day Cibus Global Ltd - S-1 -
  • Morgan Stanley & Co. LLC
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Piper Jaffray & Co.
Jones Day Great Elm Capital Group Inc GEC S-3 7372 - Services - prepackaged software  
Jones Day Niocorp Developments Ltd - S-3 1000 - Metal mining  
Jones Day Twin River Worldwide Holdings Inc - S-4 -  
Jones Walker LLP Pacific Drilling S.A. PACD F-1 1381 - Drilling oil & gas wells  
K&L Gates LLP Nextdecade Corp NEXT S-3 6770 - Blank check  
K&L Gates, LLP Principal Diversified Select Real Asset Fund - N-2 -
  • Principal Funds Distributor, Inc.
Kirkland & Ellis LLP Clear Channel Holdings Inc - S-4 -  
Kirkland & Ellis LLP Jiayin Group Inc - F-1 6199 - Finance services
  • Roth Capital Partners, LLC
  • Shenwan Hongyuan Securities (H.K.) Ltd.
Latham & Watkins LLP Bandwidth Inc BAND S-3 7372 - Services - prepackaged software  
Latham & Watkins LLP Gossamer Bio Inc - S-1 2834 - Pharmaceutical preparations
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Leerink Partners LLC
  • Barclays Capital Inc. / Evercore Group L.L.C.
Latham & Watkins LLP Rmg Acquisition Corp - S-1 6770 - Blank check
  • Deutsche Bank Securities Inc.
Legg Mason & Co., LLC Clarion Partners Real Estate Income Fund Inc - N-2 -
  • Legg Mason Investor Services, LLC
Linklaters LLP Union Acquisition Corp LTN S-4 6770 - Blank check  
Loeb & Loeb LLP Wealthbridge Acquisition Ltd - S-1 6770 - Blank check
  • Chardan Capital Markets, LLC
Lowenstein Sandler LLP Cytodyn Inc CYDY S-3 2834 - Pharmaceutical preparations  
Lowenstein Sandler LLP Motus Gi Holdings Inc MOTS S-1 3841 - Surgical & medical instruments & apparatus
  • Piper Jaffray & Co.
Lowenstein Sandler LLP Zomedica Pharmaceuticals Corp - S-3 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
Luse Gorman, PC People'S United Financial Inc PBCT S-4 6035 - Savings institutions, federally chartered  
Maslon LLP Precision Therapeutics Inc SKLN S-3 3842 - Orthopedic, prosthetic & surgical appliances & supplies  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo P.C. Livexlive Media Inc LIVX S-3 5812 - Retail - eating places  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Arsanis Inc ASNS S-4 2836 - Biological products, except diagnostic substances  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Molecular Templates Inc THLD S-3 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
Mitchell Silberberg & Knupp LLP Sysorex Inc - S-1 7371 - Services - computer programming services  
Morgan, Lewis & Bockius LLP Proteon Therapeutics Inc PRTO S-3 2836 - Biological products, except diagnostic substances  
Morrison & Foerster LLP Catalyst Biosciences Inc CBIO S-3 2834 - Pharmaceutical preparations  
Morrison & Foerster LLP Pain Therapeutics Inc PTIE S-1 2834 - Pharmaceutical preparations  
PDS Biotechnology Corp. Edge Therapeutics Inc EDGE S-4 2834 - Pharmaceutical preparations  
Penn Virginia Corp. Denbury Resources Inc DNR S-4 1311 - Crude petroleum & natural gas  
Porter Hedges LLP Par Pacific Holdings Inc PARR S-3 1311 - Crude petroleum & natural gas  
Porter Wright Morris & Arthur LLP Conversionpoint Holdings Inc - S-4 -  
Proskauer Rose LLP Clarion Partners Real Estate Income Fund Inc - N-2 -
  • Legg Mason Investor Services, LLC
Richards, Layton & Finger, PA Western Gas Equity Partners Limited Partnership WGP S-4 4922 - Natural gas transmission  
Scarinci & Hollenbeck, LLC. Wealthbridge Acquisition Ltd - S-1 6770 - Blank check
  • Chardan Capital Markets, LLC
Schulte Roth & Zabel LLP Yieldstreet Multi-Asset Fund Inc - N-2 -  
Sheppard, Mullin, Richter & Hampton LLP Plumas Bancorp PLBC S-3 6153 - Short-term business credit institutions, except agricultural  
Shulman Rogers Invo Bioscience Inc IVOB S-1 3841 - Surgical & medical instruments & apparatus  
Simpson Thacher & Bartlett LLP Clarion Partners Real Estate Income Fund Inc - N-2 -
  • Legg Mason Investor Services, LLC
Simpson Thacher & Bartlett LLP Jiayin Group Inc - F-1 6199 - Finance services
  • Roth Capital Partners, LLC
  • Shenwan Hongyuan Securities (H.K.) Ltd.
Simpson Thacher & Bartlett LLP People'S United Financial Inc PBCT S-4 6035 - Savings institutions, federally chartered  
Skadden, Arps, Slate, Meagher & Flom LLP Denbury Resources Inc DNR S-4 1311 - Crude petroleum & natural gas  
Skadden, Arps, Slate, Meagher & Flom LLP Ishares S&P Gsci Commodity-Indexed Trust GSG S-3 6799 - Investors, not elsewhere classified  
Sullivan & Cromwell LLP Athena Spinco Inc - 10-12B -  
The Lonergan Law Firm, LLC Pacific Ventures Group Inc PACV S-1 6331 - Fire, marine & casualty insurance  
Thompson Hine LLP Sg Blocks Inc SGBX S-3 5039 - Wholesale - construction materials, not elsewhere classified  
Tingle Merrett LLP Zomedica Pharmaceuticals Corp - S-3 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
Troutman Sanders LLP Conversionpoint Holdings Inc - S-4 -  
V Financial Group, LLC Mu Global Holding Ltd - S-1 -  
Vinson & Elkins L.L.P. Quintana Energy Services Inc QES S-1 1389 - Oil & gas field services, not elsewhere classified  
Vinson & Elkins L.L.P. Western Gas Equity Partners Limited Partnership WGP S-4 4922 - Natural gas transmission  
Vinson & Elkins LLP Denbury Resources Inc DNR S-4 1311 - Crude petroleum & natural gas  
Waller Lansden Dortch & Davis, LLP Capstar Financial Holdings Inc CSTR S-3 6022 - State commercial banks  
Weil, Gotshal & Manges LLP Rmg Acquisition Corp - S-1 6770 - Blank check
  • Deutsche Bank Securities Inc.
Weyland Tech, Inc. Weyland Tech Inc STOA S-1 7389 - Services - business services, not elsewhere classified (SIC)
  • RedDiamond Partners LLC
Wilmer Cutler Pickering Hale and Dorr LLP Arsanis Inc ASNS S-4 2836 - Biological products, except diagnostic substances  
Wilson Sonsini Goodrich & Rosati, P.C. Clear Channel Holdings Inc - S-4 -  
Wrap Technologies, Inc. Wrap Technologies Inc WRTC S-3 3480 - Ordnance & accessories, except vehicles & guided missiles  

 

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