Insights

IPOs and Transactions: December 24 - 28

There were 42 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Allied Motion Technologies Inc w/ Bond, Schoeneck & King, PLLC, Bio-Path Holdings Inc w/ Haynes and Boone, LLP, Happynest Reit Inc w/ Herrick, Feinstein LLP, Biohitech Global Inc w/ Kane Kessler, P.C., Ocular Therapeutix Inc w/ Wilmer Cutler Pickering Hale and Dorr LLP, Bio-Path Holdings Inc w/ Winstead PC, Bio-Path Holdings Inc w/ Winstead PC.

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.

Click here and opt-in to receive this weekly summary via email.

Banner-EZOD-380x380protect2 Banner-EZOD-380x380corpculture Banner-EZOD-380x380vi

 

Account / Firm Company Name Symbol Form Type Industry Underwriters
Arcadia Biosciences, Inc. Arcadia Biosciences Inc RKDA S-1 2879 - Pesticides & agricultural chemicals, not elsewhere classified  
Aviation Mining Solutions, Inc. Aviation Mining Solutions Inc - 1-A -  
Bond, Schoeneck & King, PLLC Allied Motion Technologies Inc AMOT S-3 3825 - Instruments for measuring & testing of electricity & electric signals  
Cleary Gottlieb Steen & Hamilton LLP Hs Spinco Inc - S-4 5912 - Retail - drug stores & proprietary stores  
Cooley LLP Cymabay Therapeutics Inc CBAY S-3 2834 - Pharmaceutical preparations  
Cooley LLP Harpoon Therapeutics Inc - S-1 2836 - Biological products, except diagnostic substances
  • Citigroup Global Markets Inc.
  • Leerink Partners LLC
  • Canaccord Genuity LLC / Wedbush Securities Inc.
Cooley LLP Htg Molecular Diagnostics Inc HTGM S-3 3826 - Laboratory analytical instruments  
Cooley LLP Stealth Biotherapeutics Corp - F-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Evercore Group L.L.C.
  • BMO Capital Markets Corp. / Nomura Securities International
Doron Tikotzky Kantor Gutman & Amit Gross Cellect Biotechnology Ltd APOP F-1 2836 - Biological products, except diagnostic substances
  • Alliance Global Partners
  • Dawson James Securities, Inc.
Ellenoff Grossman & Schole LLP Pivotal Acquisition Corp - S-1 6770 - Blank check
  • Cantor Fitzgerald & Co.
  • BTIG, LLC
Ellenoff Grossman & Schole LLP Solarmax Technology Inc - S-1 5200 - Retail - building materials, hardware, garden supply
  • ViewTrade Securities, Inc.
Eversheds Sutherland LLP Members Life Insurance Co - S-1 6311 - Life insurance
  • CUNA Brokerage Services, Inc.
Fenwick & West LLP Achieve Life Sciences Inc ACHV S-3 2835 - In vitro & in vivo diagnostic substances  
Finisar Corporation Ii-Vi Inc IIVI S-4 3827 - Optical instruments & lenses  
Fleming PLLC Workhorse Group Inc WKHS S-3 3711 - Motor vehicles & passenger car bodies  
Foley Hoag LLP Organogenesis Holdings Inc ORGO S-3 6770 - Blank check  
General Counsel, P.C. Andes 7 Inc - S-1 6770 - Blank check  
Goodwin Procter LLP Aerpio Pharmaceuticals Inc ARPO S-3 2834 - Pharmaceutical preparations  
Goodwin Procter LLP Tcr2 Therapeutics Inc - S-1 2836 - Biological products, except diagnostic substances
  • Jefferies LLC
  • Leerink Partners LLC / BMO Capital Markets Corp.
  • Wedbush Securities Inc. / China Renaissance Securities (Hong Kong) Ltd.
Gordon Rees Scully Mansukhani, LLP Dlp Positive Fixed Returns Fund Llc - 1-A 6799 - Investors, not elsewhere classified  
Graubard Miller Pivotal Acquisition Corp - S-1 6770 - Blank check
  • Cantor Fitzgerald & Co.
  • BTIG, LLC
Greenberg Traurig, LLP Roadrunner Transportation Systems Inc RRTS S-1 4731 - Arrangement of transportation of freight & cargo  
Haynes and Boone, LLP Bio-Path Holdings Inc BPTH S-1 5940 - Retail - miscellaneous shopping goods stores
  • H.C. Wainwright & Co., LLC
Haynes and Boone, LLP Pulmatrix Inc PULM S-1 2834 - Pharmaceutical preparations
  • Oppenheimer & Co. Inc.
Herrick, Feinstein LLP Happynest Reit Inc - 1-A 6798 - Real estate investment trusts  
K&L Gates LLP Endra Life Sciences Inc NDRA S-3 3845 - Electromedical & electrotherapeutic apparatus  
K&L Gates LLP Ii-Vi Inc IIVI S-4 3827 - Optical instruments & lenses  
K&L Gates LLP Solarmax Technology Inc - S-1 5200 - Retail - building materials, hardware, garden supply
  • ViewTrade Securities, Inc.
Kane Kessler, P.C. Biohitech Global Inc BHTG S-3 8200 - Services - educational services  
Latham & Watkins LLP Futu Holdings Ltd - F-1 6211 - Security brokers, dealers & flotation companies
  • Goldman Sachs L.L.C.
  • UBS Securities LLC
  • Credit Suisse Securities LLC
Latham & Watkins LLP Harpoon Therapeutics Inc - S-1 2836 - Biological products, except diagnostic substances
  • Citigroup Global Markets Inc.
  • Leerink Partners LLC
  • Canaccord Genuity LLC / Wedbush Securities Inc.
Latham & Watkins LLP Merus N.V. MRUS F-1 2834 - Pharmaceutical preparations  
Loeb & Loeb LLP Fit Boxx Holdings Ltd - F-1 5940 - Retail - miscellaneous shopping goods stores
  • WestPark Capital, Inc.
Lowenstein Sandler LLP Delmar Pharmaceuticals Inc DMPI S-3 2834 - Pharmaceutical preparations  
Lowenstein Sandler LLP Zomedica Pharmaceuticals Corp - S-3 2834 - Pharmaceutical preparations  
McDermott Will & Emery LLP Cellect Biotechnology Ltd APOP F-1 2836 - Biological products, except diagnostic substances
  • Alliance Global Partners
  • Dawson James Securities, Inc.
McMurdo Law Group, LLC Cyty Capital Solutions Inc - S-1 -  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Pulmatrix Inc PULM S-1 2834 - Pharmaceutical preparations
  • Oppenheimer & Co. Inc.
Morgan, Lewis & Bockius LLP Hs Spinco Inc - S-4 5912 - Retail - drug stores & proprietary stores  
NautaDutilh N.V. Merus N.V. MRUS F-1 2834 - Pharmaceutical preparations  
O'Melveny & Myers LLP Ii-Vi Inc IIVI S-4 3827 - Optical instruments & lenses  
O'Neal Law Office Northwest Oil & Gas Trading Company Inc - S-1 -  
Proskauer Rose LLP Hs Spinco Inc - S-4 5912 - Retail - drug stores & proprietary stores  
Ropes & Gray LLP Calamos Convertible & High Income Fund CHY N-2 6199 - Finance services  
Ropes & Gray LLP Calamos Convertible Opportunities & Income Fund CHI N-2 6199 - Finance services  
Schiff Hardin LLP Fit Boxx Holdings Ltd - F-1 5940 - Retail - miscellaneous shopping goods stores
  • WestPark Capital, Inc.
Sichenzia Ross Ference LLP Cellect Biotechnology Ltd APOP F-1 2836 - Biological products, except diagnostic substances
  • Alliance Global Partners
  • Dawson James Securities, Inc.
Silverman Shin & Byrne PLLC Hemispherx Biopharma Inc HEB S-1 2836 - Biological products, except diagnostic substances  
Simpson Thacher & Bartlett LLP Kkr Real Estate Finance Trust Inc KREF S-3 6798 - Real estate investment trusts  
Skadden, Arps, Slate, Meagher & Flom LLP Futu Holdings Ltd - F-1 6211 - Security brokers, dealers & flotation companies
  • Goldman Sachs L.L.C.
  • UBS Securities LLC
  • Credit Suisse Securities LLC
Smoke Cartel, Inc. Smoke Cartel Inc - S-1 6200 - Security & commodity brokers, dealers, exchanges & services
  • Tangiers Global, LLC
Tad Mailander, Esq. Marijuana Co Of America Inc CVRG S-1 7389 - Services - business services, not elsewhere classified
  • K&J Funds, LLC
Tingle Merrett LLP Zomedica Pharmaceuticals Corp - S-3 2834 - Pharmaceutical preparations  
Weintraub Chediak Coleman Grodin Law Corp. Arcadia Biosciences Inc RKDA S-1 2879 - Pesticides & agricultural chemicals, not elsewhere classified  
Williams Securities Law Firm, P.A. Shiftpixy Inc PIXY S-3 7361 - Services - employment agencies  
Wilmer Cutler Pickering Hale and Dorr LLP Ocular Therapeutix Inc OCUL S-3 2834 - Pharmaceutical preparations  
Wilmer Cutler Pickering Hale and Dorr LLP Stealth Biotherapeutics Corp - F-1 2834 - Pharmaceutical preparations
  • Jefferies LLC
  • Evercore Group L.L.C.
  • BMO Capital Markets Corp. / Nomura Securities International
Wilmer Cutler Pickering Hale and Dorr LLP Tcr2 Therapeutics Inc - S-1 2836 - Biological products, except diagnostic substances
  • Jefferies LLC
  • Leerink Partners LLC / BMO Capital Markets Corp.
  • Wedbush Securities Inc. / China Renaissance Securities (Hong Kong) Ltd.
Winstead PC Bio-Path Holdings Inc BPTH S-1 5940 - Retail - miscellaneous shopping goods stores  
Winstead PC Bio-Path Holdings Inc BPTH S-1 5940 - Retail - miscellaneous shopping goods stores
  • H.C. Wainwright & Co., LLC

 

Toppan Merrill

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.

Show more posts from author

Subscribe to the Toppan Vite Blog

Most Popular Articles

2018 SEC REPORTING RULES GUIDEBOOKS - PRE-ORDER FREE SET

Order now.  

2018 SEC FILING CALENDAR - DOWNLOAD NOW

Download the 2018 SEC Filing Calendar here.  

2018 MUTUAL FUND & ETF FILING DATES - DOWNLOAD NOW

Download the 2018 Mutual Fund & ETF Filing Dates here.  

Latest Blogs