Insights

IPOs and Transactions: December 3 - 7

There were 37 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Pareteum Corp w/ Cooley LLP, Pareteum Corp w/ iPass Inc., Farmmi Inc w/ Kaufman & Canoles, P.C., Merchants Bancorp w/ Krieg DeVault LLP, Inspire Medical Systems Inc w/ Latham & Watkins LLP, Simply Good Foods Co w/ Perkins Coie LLP, Comtech Telecommunications Corp w/ Proskauer Rose LLP, Inspire Medical Systems Inc w/ Shearman & Sterling LLP, Majesco w/ Sheppard, Mullin, Richter & Hampton LLP, Pareteum Corp w/ Sichenzia Ross Ference LLP, The Rmr Group Inc w/ Skadden, Arps, Slate, Meagher & Flom LLP, Mvb Financial Corp w/ Squire Patton Boggs LLP, U.S. Well Services Inc w/ Winston & Strawn LLP, Waitr Holdings Inc w/ Winston & Strawn 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
American Electric Power Service Corp. Aep Texas Inc - S-4 4911 - Electric services  
Ardent Health Partners, LLC Ardent Health Partners Llc - S-1 8062 - Services - general medic & surgical hospitals, not elsewhere classified
  • Barclays Capital Inc. / Citigroup Global Markets Inc.
  • J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Credit Suisse Securities LLC
  • Goldman Sachs & Co. LLC / RBC Capital Markets, LLC / Loop Capital Markets LLC
Baker Botts L.L.P. Chesapeake Energy Corp CHK S-4 1311 - Crude petroleum & natural gas  
Bass, Berry & Sims PLC Gladstone Capital Corp GLAD N-2 6712 - Offices of bank holding companies  
Bernstein Shur, Sawyer & Nelson Fsi Low Beta Absolute Return Fund - N-2 -  
Bingham Greenebaum Doll LLP First Merchants Corp FRME S-4 6021 - National commercial banks  
Bracewell LLP Lilis Energy Inc LLEX S-3 1311 - Crude petroleum & natural gas  
Capital Bank of New Jersey Oceanfirst Financial Corp OCFC S-4 6035 - Savings institutions, federally chartered  
Cassidy & Associates Global Diversified Marketing Group Inc - S-1 6770 - Blank check  
Cooley LLP Pareteum Corp TEUM S-4 7373 - Services - computer integrated systems design  
Debevoise & Plimpton LLP Axa Equitable Holdings EQH S-4 6411 - Insurance agents, brokers & service  
Dechert LLP Crown Holdings Inc CCK S-4 3411 - Metal cans  
DLA Piper LLP Net 1 Ueps Technologies Inc UEPS S-3 6099 - Functions related to depository banking, not elsewhere classified  
Dorsey & Whitney LLP Bears Holding Sub Inc - S-4 -  
Goodwin Procter LLP Allena Pharmaceuticals Inc ALNA S-3 2836 - Biological products, except diagnostic substances
  • Cowen and Company, LLC
Holland & Knight LLP Bears Holding Sub Inc - S-4 -  
iPass Inc. Pareteum Corp TEUM S-4 7373 - Services - computer integrated systems design  
Jones & Haley, P.C. Predictive Technology Group Inc - 10-12G 5070 - Wholesale - hardware & plumbing & heating equipment & supplies  
Kaufman & Canoles, P.C. Farmmi Inc FAMI F-1 5140 - Wholesale - groceries & related products  
Kirkland & Ellis LLP Encana Corp ECA S-4 1311 - Crude petroleum & natural gas  
Krieg DeVault LLP Merchants Bancorp MBIN S-3 6022 - State commercial banks  
Latham & Watkins LLP Inspire Medical Systems Inc INSP S-1 3841 - Surgical & medical instruments & apparatus
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Leerink Partners LLC / Wells Fargo Securities, LLC
  • Guggenheim Securities, LLC / Stifel, Nicolaus & Company, Inc.
Law Offices of Thomas E. Puzzo, PLLC Applied Biosciences Corp - S-1 3433 - Heating equipment, except electric & warm air furnaces
  • Triton Funds LP
Manatt, Phelps & Phillips, LLP Superconductor Technologies Inc SCON S-3 3663 - Radio & television broadcasting & communications equipment  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Spero Therapeutics Inc SPRO S-3 2834 - Pharmaceutical preparations
  • Cantor Fitzgerald & Co.
Newfield Exploration Company Encana Corp ECA S-4 1311 - Crude petroleum & natural gas  
OceanFirst Financial Corp. Oceanfirst Financial Corp OCFC S-4 6035 - Savings institutions, federally chartered  
Olshan Frome Wolosky LLP Trans Lux Corp TNLX S-1 3990 - Miscellaneous manufacturing industries  
Paradigm Spine, LLC Bears Holding Sub Inc - S-4 -  
Paul, Weiss, Rifkind, Wharton & Garrison LLP Encana Corp ECA S-4 1311 - Crude petroleum & natural gas  
Perkins Coie LLP Simply Good Foods Co SMPL S-3 2000 - Food & kindred products  
Proskauer Rose LLP Comtech Telecommunications Corp CMTL S-3 3663 - Radio & television broadcasting & communications equipment  
Ropes & Gray LLP Loomis Sayles Alternative Asset Based Solutions Income Fund - N-2 -
  • Natixis Distribution, L.P.
Shearman & Sterling LLP Inspire Medical Systems Inc INSP S-1 3841 - Surgical & medical instruments & apparatus
  • Merrill Lynch, Pierce, Fenner & Smith Inc.
  • Leerink Partners LLC / Wells Fargo Securities, LLC
  • Guggenheim Securities, LLC / Stifel, Nicolaus & Company, Inc.
Sheppard, Mullin, Richter & Hampton LLP Majesco MJCO S-1 7372 - Services - prepackaged software  
Shumaker, Loop & Kendrick, LLP First Merchants Corp FRME S-4 6021 - National commercial banks  
Sichenzia Ross Ference LLP Dpw Holdings Inc DPW S-3 3679 - Electronic components, not elsewhere classified  
Sichenzia Ross Ference LLP Pareteum Corp TEUM S-4 7373 - Services - computer integrated systems design  
Sidley Austin LLP Ardent Health Partners Llc - S-1 8062 - Services - general medic & surgical hospitals, not elsewhere classified
  • Barclays Capital Inc. / Citigroup Global Markets Inc.
  • J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Credit Suisse Securities LLC
  • Goldman Sachs & Co. LLC / RBC Capital Markets, LLC / Loop Capital Markets LLC
Sidley Austin LLP Bears Holding Sub Inc - S-4 -  
Skadden, Arps, Slate, Meagher & Flom LLP Ardent Health Partners Llc - S-1 8062 - Services - general medic & surgical hospitals, not elsewhere classified
  • Barclays Capital Inc. / Citigroup Global Markets Inc.
  • J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Credit Suisse Securities LLC
  • Goldman Sachs & Co. LLC / RBC Capital Markets, LLC / Loop Capital Markets LLC
Skadden, Arps, Slate, Meagher & Flom LLP Oceanfirst Financial Corp OCFC S-4 6035 - Savings institutions, federally chartered  
Skadden, Arps, Slate, Meagher & Flom LLP The Rmr Group Inc RMR S-3 8742 - Services - management consulting services  
Squire Patton Boggs LLP Mvb Financial Corp MVBF S-3 6021 - National commercial banks  
Stevens & Lee Oceanfirst Financial Corp OCFC S-4 6035 - Savings institutions, federally chartered  
Superconductor Technologies Inc. Superconductor Technologies Inc SCON S-3 3663 - Radio & television broadcasting & communications equipment  
V Financial Group, LLC Ezagoo Ltd - S-1 -  
Vinson & Elkins L.L.P. Boardwalk Pipelines Lp BWP S-3 4922 - Natural gas transmission  
Vinson & Elkins L.L.P. Chesapeake Energy Corp CHK S-4 1311 - Crude petroleum & natural gas  
Vinson & Elkins L.L.P. Holly Energy Partners Lp HEP S-3 4610 - Pipelines, except natural gas  
Wachtell, Lipton, Rosen & Katz Chesapeake Energy Corp CHK S-4 1311 - Crude petroleum & natural gas  
WildHorse Resource Development Corp. Chesapeake Energy Corp CHK S-4 1311 - Crude petroleum & natural gas  
Winston & Strawn LLP Belpointe Reit Inc - 1-A 6798 - Real estate investment trusts  
Winston & Strawn LLP U.S. Well Services Inc USWS S-3 6770 - Blank check  
Winston & Strawn LLP Waitr Holdings Inc WTRH S-3 6770 - Blank check  

 

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Toppan Vintage is a leading international financial printing, communications and technology company dedicated to delivering a hassle-free experience with the highest quality accuracy, reliability and value for your organization’s financial printing and communications needs.

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