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IPOs and Transactions: December 31 - January 4

There were 22 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Black Creek Industrial Reit Iv Inc w/ Greenberg Traurig, LLP, Leaping Group Co. Ltd w/ Hunter Taubman Fischer & Li LLC, Leaping Group Co. Ltd w/ Ortoli Rosenstadt 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
Asterias Biotherapeutics, Inc. Biotime Inc BTX S-4 2836 - Biological products, except diagnostic substances  
CHF Solutions, Inc. Chf Solutions Inc SSH S-1 3845 - Electromedical & electrotherapeutic apparatus
  • Ladenburg Thalmann & Co. Inc.
Cooley LLP Aptevo Therapeutics Inc APVO S-3 2834 - Pharmaceutical preparations
  • Lincoln Park Capital Fund, LLC
Cooley LLP Biotime Inc BTX S-4 2836 - Biological products, except diagnostic substances  
Cooley LLP Poseida Therapeutics Inc - S-1 2836 - Biological products, except diagnostic substances
  • Citigroup Global Markets Inc.
  • Credit Suisse Securities LLC
  • Wells Fargo Securities, LLC
DCA Asset Management, Inc. Dca Asset Management Inc - 10-12G 6770 - Blank check  
Dentons US LLP Biotime Inc BTX S-4 2836 - Biological products, except diagnostic substances  
Disclosure Law Group, PC Super League Gaming Inc - S-1 7900 - Services - amusement & recreation services
  • Northland Securities, Inc.
  • Lake Street Capital Markets, LLC
  • National Securities Corp.
Drinker Biddle & Reath LLP Feg Absolute Access Fund I Llc - N-2 -  
Drinker Biddle & Reath LLP Tyme Technologies Inc TYME S-3 2834 - Pharmaceutical preparations  
Ellenoff Grossman & Schole LLP Chf Solutions Inc SSH S-1 3845 - Electromedical & electrotherapeutic apparatus
  • Ladenburg Thalmann & Co. Inc.
Ellenoff Grossman & Schole LLP Powerbridge Technologies Co. Ltd - F-1 7371 - Services - computer programming services
  • Maxim Group LLC
  • The Benchmark Company, LLC
Faegre Baker Daniels LLP Super League Gaming Inc - S-1 7900 - Services - amusement & recreation services
  • Northland Securities, Inc.
  • Lake Street Capital Markets, LLC
  • National Securities Corp.
Goodwin Procter LLP Scpharmaceuticals Inc SCPH S-3 2834 - Pharmaceutical preparations  
Greenberg Traurig, LLP Black Creek Industrial Reit Iv Inc - S-11 6798 - Real estate investment trusts
  • Black Creek Capital Markets, LLC
Griffin Capital Essential Asset REIT II, Inc. Griffin Capital Essential Asset Reit Ii Inc - S-4 6798 - Real estate investment trusts  
Haynes and Boone, LLP Nanovibronix Inc NAOV S-3 3842 - Orthopedic, prosthetic & surgical appliances & supplies  
Honigman Miller Schwartz and Cohn LLP Chf Solutions Inc SSH S-1 3845 - Electromedical & electrotherapeutic apparatus
  • Ladenburg Thalmann & Co. Inc.
Hunter Taubman Fischer & Li LLC Leaping Group Co. Ltd - F-1 7310 - Services - advertising
  • Boustead Securities, LLC
Hunter Taubman Fischer & Li, LLC Powerbridge Technologies Co. Ltd - F-1 7371 - Services - computer programming services
  • Maxim Group LLC
  • The Benchmark Company, LLC
Hunter Taubman Fischer &Li, LLC Bison Capital Acquisition Corp BCAC S-4 6770 - Blank check
  • EarlyBirdCapital, Inc.
John E. Lux, Esq. For The Earth Corp - 1-A 3841 - Surgical & medical instruments & apparatus  
K&L Gates LLP Cue Biopharma Inc CUE S-3 2834 - Pharmaceutical preparations  
Latham & Watkins LLP Obalon Therapeutics Inc OBLN S-1 3841 - Surgical & medical instruments & apparatus
  • Lincoln Park Capital Fund, LLC
Latham & Watkins LLP Poseida Therapeutics Inc - S-1 2836 - Biological products, except diagnostic substances
  • Citigroup Global Markets Inc.
  • Credit Suisse Securities LLC
  • Wells Fargo Securities, LLC
Libertas Law Group, Inc. Reed'S Inc REED S-3 2086 - Bottled & canned soft drinks & carbonated waters  
Morris, Manning & Martin, LLP Griffin Capital Essential Asset Reit Ii Inc - S-4 6798 - Real estate investment trusts  
Nelson Mullins Riley & Scarborough LLP Griffin Capital Essential Asset Reit Ii Inc - S-4 6798 - Real estate investment trusts  
Ogier Bison Capital Acquisition Corp BCAC S-4 6770 - Blank check
  • EarlyBirdCapital, Inc.
Ortoli Rosenstadt LLP Avalon Globocare Corp AVCO S-3 8742 - Services - management consulting services  
Ortoli Rosenstadt LLP Leaping Group Co. Ltd - F-1 7310 - Services - advertising
  • Boustead Securities, LLC
Poseida Therapeutics, Inc. Poseida Therapeutics Inc - S-1 2836 - Biological products, except diagnostic substances
  • Citigroup Global Markets Inc.
  • Credit Suisse Securities LLC
  • Wells Fargo Securities, LLC
Robert O. Knutson, Attorney at Law Fision Corp - S-1 6770 - Blank check  
Sidley Austin LLP Bison Capital Acquisition Corp BCAC S-4 6770 - Blank check
  • EarlyBirdCapital, Inc.
Trombly Business Law, P.C. Precision Optics Corp PEYE S-1 3845 - Electromedical & electrotherapeutic apparatus  

 

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