toppan merrill
  • Solutions
     
    SOLUTIONS
    • Capital Markets Transactions
    • Regulatory Disclosure for Corporations
    • Regulatory Disclosure for
      Investment Management Companies
    • Financial Services Marketing & Communications
    • Health Insurance Marketing & Communications
    APPLICATIONS
    • IPO / Equity Offerings & Debt Offerings
    • Mergers & Acquisitions
    • Periodic & Interim Reporting
    • Annual Meeting and Proxy Solutions
    • Shareholder Communications
    • Periodic & Interim Reporting
    • Form Filings
    • Sales Enablement
    • Enrollment & Welcome Kits
    • Fact Sheets & Marketing Materials
    • Policies & Contracts
    • Shareholder Communications
    • Mandated Communications
    • Welcome Kits & ID Cards
    • Statements & Mailings
    • Member Communications
    SERVICES
    • Due Diligence – Virtual Data Rooms
    • Document Content Management
    • Document Formatting
    • EDGAR & XBRL Filings
    • SEDAR Filings
    • Print & Distribution
    • Conference Facilities
    • Global Translation Services
    • Document Content Management
    • Document Design & Formatting
    • Print & Distribution
    • XBRL & EDGAR Disclosure for US-GAAP and IFRS Filers
    • SEDAR Filings
    • Proxy Statements and Annual Reports
    • Corporate Sustainability Reporting (CSR)
    • Section 16 Filings
    • Content Management
    • Publishing
    • Composition
    • Print & Distribution
    • EDGAR & XBRL Filings
    • Compliance Center
    • Content Management
    • Dynamic Publishing
    • Storefront
    • Microsites
    • Electronic Delivery
    • Workflow Management
    • Print & Distribution
    • Fulfillment Services
    • Insights & Analytics
    • ADA Services
    • Content Management
    • Dynamic Publishing
    • Storefront
    • Microsites
    • Electronic Delivery
    • Workflow Management
    • Print & Distribution
    • Fulfillment Services
    • Insights & Analytics
    • ADA Services
  • Products
     
    TOPPAN MERRILL
    ConnectTM

    Connect helps drive client engagement and streamline personalized, compliant communications from printing to leading-edge digital solutions.

    TOPPAN MERRILL
    BridgeTM

    A seamless SaaS solution built on the Microsoft® Office® platform, Bridge is an intuitive technology that makes disclosure content management easier, faster and more accurate.

  • Insights
  • About Us
  • Contact
  • Client Login
     
     
     
    • Toppan Merrill Bridge™
    • Content Control
    • My Workspace
    • Form N-MFP Online
    • Toppan Merrill Document Delivery
    • Toppan Merrill Insurance Solutions
    • Section16Direct
    • SEC Connect
  • EN
toppan merrill
  • Solutions
    • Capital Markets Transactions
    • Regulatory Disclosure for Corporations
    • Regulatory Disclosure for
      Investment Management Companies
    • Financial Services Marketing & Communications
    • Health Insurance Marketing & Communications
  • Products
    • ConnectTM
    • BridgeTM
  • Insights
  • About Us
  • Contact
  • Client Login
    • Toppan Merrill BridgeTM
    • Content Control
    • My Workspace
    • Form N-MFP Online
    • Toppan Merrill Document Delivery
    • Toppan Merrill Insurance Solutions
    • Section16Direct
  • EN
 
Insights & Analysis
The latest reports, whitepapers, brochures and case studies to gain actionable insight on industry trends,
best practices and successful strategies to help you expand possible in your business.
Click below to filter by industries
  • Capital Markets & Compliance
    for Corporations
  • Investment Management Compliance
    & Marketing
  • Health Insurance Marketing
    & Communications
 

  • home
Blogs
By Toppan Merrill on 18 November, 2019
IPOs and Transactions: November 11 - 15

There were 39 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Eagle Pharmaceuticals, Inc. w/ Cooley LLP, Braemar Hotels & Resorts Inc. w/ DLA Piper LLP (US), Nextcure, Inc. w/ Hogan Lovells US LLP, Siouxland Renewable Holdings, Llc w/ Kutak Rock LLP, Electromedical Technologies, Inc w/ Mailander Law Office, Inc., Oneconnect Financial Technology Co., Ltd. w/ Steen & Hamilton LLP, Williams Industrial Services Group Inc. w/ Thompson Hine LLP, Aberdeen Standard Global Infrastructure Public Private Income Fund w/ Willkie Farr & Gallagher LLP.

We appreciate that they selected to work with us and benefited from our decades of industry experience delivering leading-edge solutions for simplifying the entire deal process.

Please contact us here if you need help supporting a mission-critical deal, with peace of mind.

Subscribe to our Community for more information on SEC updates, capital markets, compliance, corporate governance and investor relations solutions.

 

Account/Firm: Ballard Spahr LLP
Company Name: Opgen Inc (Symbol: OPGN)
Form Type: S-4
Industry: 8071 - Services-Medical Laboratories
Underwriters:
Account/Firm: Cooley LLP
Company Name: Aethlon Medical Inc (Symbol: AEMD)
Form Type: S-1
Industry: 3826 - Laboratory Analytical Instruments
Underwriters:
  • H.C. Wainwright & Co., LLC
Account/Firm: Cooley LLP
Company Name: Equillium, Inc. (Symbol: EQ)
Form Type: S-3
Industry: 2834 - Pharmaceutical Preparations
Underwriters:
Account/Firm: Cooley LLP
Company Name: Si-Bone, Inc. (Symbol: SIBN)
Form Type: S-3
Industry: 3841 - Surgical & Medical Instruments & Apparatus
Underwriters:
Account/Firm: Cooley LLP
Company Name: Sophiris Bio Inc. (Symbol: SPHS)
Form Type: S-1
Industry: 2834 - Pharmaceutical Preparations
Underwriters:
Account/Firm: Cooley LLP
Company Name: Tracon Pharmaceuticals, Inc. (Symbol: TCON)
Form Type: S-1
Industry: 2836 - Biological Products, (No Disgnostic Substances)
Underwriters:
Account/Firm: Cooley LLP
Company Name: Eagle Pharmaceuticals, Inc. (Symbol: EGRX)
Form Type: S-3
Industry: 2834 - Pharmaceutical Preparations
Underwriters:
Account/Firm: Davis Polk & Wardwell LLP
Company Name: Cdp Holdings, Ltd
Form Type: F-1
Industry: 7374 - Services-Computer Processing & Data Preparation
Underwriters:
  • BofA Securities, Inc.
  • Citigroup Global Markets Inc.
  • Haitong International Securities Company Limited
Account/Firm: Davis Polk & Wardwell LLP
Company Name: Reynolds Consumer Products Inc.
Form Type: S-1
Industry: 2673 - Plastics, Foil & Coated Paper Bags
Underwriters:
  • Credit Suisse Securities (USA) LLC
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
Account/Firm: Davis Polk & Wardwell LLP
Company Name: Shockwave Medical, Inc. (Symbol: SWAV)
Form Type: S-1
Industry: 3841 - Surgical & Medical Instruments & Apparatus
Underwriters:
  • Morgan Stanley & Co. LLC
  • BofA Securities, Inc.
Account/Firm: Davis Polk & Wardwell LLP
Company Name: Xp Inc.
Form Type: F-1
Industry: 6211 - Security Brokers, Dealers & Flotation Companies
Underwriters:
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Morgan Stanley & Co. LLC
Account/Firm: Dechert LLP
Company Name: Angel Oak Dynamic Financial Strategies Income Term Trust
Form Type: N-2
Industry:
Underwriters:
Account/Firm: DLA Piper LLP (US)
Company Name: Braemar Hotels & Resorts Inc. (Symbol: AHP)
Form Type: S-3
Industry: 6798 - Real Estate Investment Trusts
Underwriters:
Account/Firm: Fenwick & West LLP
Company Name: Amyris, Inc. (Symbol: AMRS)
Form Type: S-1
Industry: 2860 - Industrial Organic Chemicals
Underwriters:
Account/Firm: Fenwick & West LLP
Company Name: Bill.Com Holdings, Inc.
Form Type: S-1
Industry: 7372 - Services-Prepackaged Software
Underwriters:
  • Goldman Sachs & Co. LLC
  • BofA Securities, Inc
  • Jefferies LLC
Account/Firm: Foster Garvey P.C.
Company Name: Oriental Culture Holding Ltd
Form Type: F-1
Industry: 7380 - Services-Miscellaneous Business Services
Underwriters:
  • ViewTrade Securities, Inc.
Account/Firm: Fox Rothschild LLP
Company Name: Gpaq Acquisition Holdings, Inc.
Form Type: S-4
Industry:
Underwriters:
Account/Firm: Gibson, Dunn & Crutcher LLP
Company Name: Urovant Sciences Ltd. (Symbol: UROV)
Form Type: S-3
Industry: 2834 - Pharmaceutical Preparations
Underwriters:
Account/Firm: Greenberg Traurig, LLP
Company Name: Betterware De Mexico, S.A. De C.V.
Form Type: F-1
Industry: 5961 - Retail-Catalog & Mail-Order Houses
Underwriters:
Account/Firm: Hogan Lovells US LLP
Company Name: Nextcure, Inc. (Symbol: NXTC)
Form Type: S-1
Industry: 2834 - Pharmaceutical Preparations
Underwriters:
  • Morgan Stanley & Co. LLC
  • BofA Securities, Inc. 
  • Piper Jaffray & Co. 
Account/Firm: John E. Lux, Esq
Company Name: Gd Entertainment & Technology, Inc.
Form Type: 1-A
Industry: 7200 - Services-Personal Services
Underwriters:
Account/Firm: John E. Lux, Esq.
Company Name: Exxe Group, Inc.
Form Type: 1-A
Industry:
Underwriters:
Account/Firm: Jones Day
Company Name: Athersys, Inc / New (Symbol: ATHX)
Form Type: S-3
Industry: 2834 - Pharmaceutical Preparations
Underwriters:
Account/Firm: Kirkland & Ellis LLP
Company Name: Nesco Holdings, Inc. (Symbol: NSCO)
Form Type: S-3
Industry: 7359 - Services-Equipment Rental & Leasing, NEC
Underwriters:
Account/Firm: Kutak Rock LLP
Company Name: Siouxland Renewable Holdings, Llc
Form Type: 1-A
Industry:
Underwriters:
Account/Firm: Locke Lord LLP
Company Name: Comstock Resources Inc (Symbol: CRK)
Form Type: S-3
Industry: 1311 - Crude Petroleum & Natural Gas
Underwriters:
Account/Firm: Mailander Law Office, Inc.
Company Name: Electromedical Technologies, Inc
Form Type: S-1
Industry: 3841 - Surgical & Medical Instruments & Apparatus
Underwriters:
Account/Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Company Name: Kbl Merger Corp. Iv (Symbol: KBLM)
Form Type: S-4
Industry: 6770 - Blank Checks
Underwriters:
Account/Firm: Olshan Frome Wolosky LLP
Company Name: Powerfleet, Inc. (Symbol: PWFL)
Form Type: S-3
Industry: 3669 - Communications Equipment, NEC
Underwriters:
Account/Firm: Polsinelli PC
Company Name: Nuzee, Inc. (Symbol: NUZE)
Form Type: S-1
Industry: 5900 - Retail-Miscellaneous Retail
Underwriters:
  • The Benchmark Company, LLC
Account/Firm: Reed Smith LLP
Company Name: Aberdeen Standard Precious Metals Basket Etf Trust
Form Type: S-3
Industry: 6221 - Commodity Contracts Brokers & Dealers
Underwriters:
Account/Firm: Robinson & Cole LLP
Company Name: Odyssey Semiconductor Technologies, Inc.
Form Type: S-1
Industry:
Underwriters:
Account/Firm: Ropes & Gray LLP
Company Name: Logicbio Therapeutics, Inc. (Symbol: LOGC)
Form Type: S-3
Industry: 2836 - Biological Products, (No Disgnostic Substances)
Underwriters:
Account/Firm: Skadden, Arps, Slate, Meagher & Flom LLP
Company Name: Envista Holdings Corp (Symbol: NVST)
Form Type: S-4
Industry: 3843 - Dental Equipment & Supplies
Underwriters:
Account/Firm: Steen & Hamilton LLP
Company Name: Oneconnect Financial Technology Co., Ltd.
Form Type: F-1
Industry: 7370 - Services-Computer Programming, Data Processing, Etc.
Underwriters:
  • Morgan Stanley & Co. LLC
  • Goldman Sachs (Asia) L.L.C. 
  • J.P. Morgan Securities LLC
Account/Firm: Thompson Hine LLP
Company Name: Williams Industrial Services Group Inc. (Symbol: WLMS)
Form Type: S-1
Industry: 1600 - Heavy Construction Other Than Bldg Const - Contractors
Underwriters:
Account/Firm: White & Case LLP
Company Name: Lantheus Holdings, Inc. (Symbol: LNTH)
Form Type: S-4
Industry: 2835 - In Vitro & In Vivo Diagnostic Substances
Underwriters:
Account/Firm: Willkie Farr & Gallagher LLP
Company Name: Aberdeen Standard Global Infrastructure Public Private Income Fund
Form Type: N-2
Industry:
Underwriters:
Account/Firm: Wilson Sonsini Goodrich & Rosati, P.C.
Company Name: Establishment Labs Holdings Inc. (Symbol: ESTA)
Form Type: S-3
Industry: 3842 - Orthopedic, Prosthetic & Surgical Appliances & Supplies
Underwriters:
Account / Firm Company Name Symbol Form Type Industry Underwriters
Ballard Spahr LLP Opgen Inc OPGN S-4 8071 - Services-Medical Laboratories  
Cooley LLP Aethlon Medical Inc AEMD S-1 3826 - Laboratory Analytical Instruments
  • H.C. Wainwright & Co., LLC
Cooley LLP Equillium, Inc. EQ S-3 2834 - Pharmaceutical Preparations  
Cooley LLP Si-Bone, Inc. SIBN S-3 3841 - Surgical & Medical Instruments & Apparatus  
Cooley LLP Sophiris Bio Inc. SPHS S-1 2834 - Pharmaceutical Preparations  
Cooley LLP Tracon Pharmaceuticals, Inc. TCON S-1 2836 - Biological Products, (No Disgnostic Substances)  
Cooley LLP Eagle Pharmaceuticals, Inc. EGRX S-3 2834 - Pharmaceutical Preparations  
Davis Polk & Wardwell LLP Cdp Holdings, Ltd   F-1 7374 - Services-Computer Processing & Data Preparation
  • BofA Securities, Inc.
  • Citigroup Global Markets Inc.
  • Haitong International Securities Company Limited
Davis Polk & Wardwell LLP Reynolds Consumer Products Inc.   S-1 2673 - Plastics, Foil & Coated Paper Bags
  • Credit Suisse Securities (USA) LLC
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
Davis Polk & Wardwell LLP Shockwave Medical, Inc. SWAV S-1 3841 - Surgical & Medical Instruments & Apparatus
  • Morgan Stanley & Co. LLC
  • BofA Securities, Inc.
Davis Polk & Wardwell LLP Xp Inc.   F-1 6211 - Security Brokers, Dealers & Flotation Companies
  • Goldman Sachs & Co. LLC
  • J.P. Morgan Securities LLC
  • Morgan Stanley & Co. LLC
Dechert LLP Angel Oak Dynamic Financial Strategies Income Term Trust   N-2    
DLA Piper LLP (US) Braemar Hotels & Resorts Inc. AHP S-3 6798 - Real Estate Investment Trusts  
Fenwick & West LLP Amyris, Inc. AMRS S-1 2860 - Industrial Organic Chemicals  
Fenwick & West LLP Bill.Com Holdings, Inc.   S-1 7372 - Services-Prepackaged Software
  • Goldman Sachs & Co. LLC
  • BofA Securities, Inc
  • Jefferies LLC
Foster Garvey P.C. Oriental Culture Holding Ltd   F-1 7380 - Services-Miscellaneous Business Services
  • ViewTrade Securities, Inc.
Fox Rothschild LLP Gpaq Acquisition Holdings, Inc.   S-4    
Gibson, Dunn & Crutcher LLP Urovant Sciences Ltd. UROV S-3 2834 - Pharmaceutical Preparations  
Greenberg Traurig, LLP Betterware De Mexico, S.A. De C.V.   F-1 5961 - Retail-Catalog & Mail-Order Houses  
Hogan Lovells US LLP Nextcure, Inc. NXTC S-1 2834 - Pharmaceutical Preparations
  • Morgan Stanley & Co. LLC
  • BofA Securities, Inc. 
  • Piper Jaffray & Co. 
John E. Lux, Esq Gd Entertainment & Technology, Inc.   1-A 7200 - Services-Personal Services  
John E. Lux, Esq. Exxe Group, Inc.   1-A    
Jones Day Athersys, Inc / New ATHX S-3 2834 - Pharmaceutical Preparations  
Kirkland & Ellis LLP Nesco Holdings, Inc. NSCO S-3 7359 - Services-Equipment Rental & Leasing, NEC  
Kutak Rock LLP Siouxland Renewable Holdings, Llc   1-A    
Locke Lord LLP Comstock Resources Inc CRK S-3 1311 - Crude Petroleum & Natural Gas  
Mailander Law Office, Inc. Electromedical Technologies, Inc   S-1 3841 - Surgical & Medical Instruments & Apparatus  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Kbl Merger Corp. Iv KBLM S-4 6770 - Blank Checks  
Olshan Frome Wolosky LLP Powerfleet, Inc. PWFL S-3 3669 - Communications Equipment, NEC  
Polsinelli PC Nuzee, Inc. NUZE S-1 5900 - Retail-Miscellaneous Retail
  • The Benchmark Company, LLC
Reed Smith LLP Aberdeen Standard Precious Metals Basket Etf Trust   S-3 6221 - Commodity Contracts Brokers & Dealers  
Robinson & Cole LLP Odyssey Semiconductor Technologies, Inc.   S-1    
Ropes & Gray LLP Logicbio Therapeutics, Inc. LOGC S-3 2836 - Biological Products, (No Disgnostic Substances)  
Skadden, Arps, Slate, Meagher & Flom LLP Envista Holdings Corp NVST S-4 3843 - Dental Equipment & Supplies  
Steen & Hamilton LLP Oneconnect Financial Technology Co., Ltd.   F-1 7370 - Services-Computer Programming, Data Processing, Etc.
  • Morgan Stanley & Co. LLC
  • Goldman Sachs (Asia) L.L.C. 
  • J.P. Morgan Securities LLC
Thompson Hine LLP Williams Industrial Services Group Inc. WLMS S-1 1600 - Heavy Construction Other Than Bldg Const - Contractors  
White & Case LLP Lantheus Holdings, Inc. LNTH S-4 2835 - In Vitro & In Vivo Diagnostic Substances  
Willkie Farr & Gallagher LLP Aberdeen Standard Global Infrastructure Public Private Income Fund   N-2    
Wilson Sonsini Goodrich & Rosati, P.C. Establishment Labs Holdings Inc. ESTA S-3 3842 - Orthopedic, Prosthetic & Surgical Appliances & Supplies  
Share on twitter Share on linkedin Share on facebook
New SEC Proposal to Modernize Filing Fee Disclosure and Payment Methods
100% XBRL Coverage Has Transformed SEC Review and Enforcement

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.


toppanmerrill.com


Show more posts from author

Subscribe to the Toppan Merrill Blog

Blog Categories

  • Capital Markets & Compliance for Corporations
  • Investment Management Compliance & Marketing
  • Health Insurance Marketing & Communications

Most Popular Articles

2019 COMPLIANCE CALENDAR

2019-Calendar-Digital-PM_Page_01
 
Download

2019 SEC FILING CALENDAR

sec filing calendar one page

Download

2019 SEC REPORTING RULES: 10-K, 10-Q, 8-K &SD

sec 10k guidebook cover

Download

2019 SEC REPORTING RULES FOR PROXY STATEMENTS

sec guidebook proxy cover

Download

2019 MUTUAL FUND & ETF FILING CALENDAR WITH FYE DEADLINES

Download

Latest Blogs

ToppanMerrill logo

Expand Possible.

twitter linkedin

Solutions

  • Capital Markets Transactions
  • Regulatory Disclosures for Corporations
  • Regulatory Disclosures for Investment Management Companies
  • Financial Services Marketing & Communications
  • Health Insurance Marketing & Communications
  • Election Services

Technologies

  • Toppan Merrill Connect™
  • Toppan Merrill Bridge™

Insights

  • Blog
  • SEC Resources
  • EDGAR Resources
  • XBRL Resources

About Toppan Merrill

  • About Toppan Merrill
  • Operating Principles
  • Careers

Get In Touch

  • Contact Us

TERMS OF USE | PRIVACY NOTICE | TOPPAN MERRILL SERVICES AGREEMENT | TOPPAN MERRILL SUPPLIERS | GLOSSARY

© Toppan Merrill 2019

ToppanMerrill logo
Expand Possible.
` twitter linkedin
Solutions
  • Capital Markets Transactions
  • Regulatory Disclosures for Corporations
  • Regulatory Disclosures for Investment Management Companies
  • Financial Services Marketing & Communications
  • Health Insurance Marketing & Communications
  • Election Services
Technologies
  • Toppan Merrill ConnecTM
  • Toppan Merrill BridgeTM
INSIGHTS
  • Blog
  • SEC Resources
  • EDGAR Resources
  • XBRL Resources
About Toppan Merrill
  • About Toppan Merrill
  • Operating Principles
  • Careers
Get In Touch
  • Contact Us

TERMS OF USE | PRIVACY NOTICE | TOPPAN MERRILL SERVICES AGREEMENT | TOPPAN MERRILL SUPPLIERS | GLOSSARY

© Toppan Merrill 2019