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By Toppan Merrill on 30 September, 2019
IPOs and Transactions: September 23 - 27

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 Pdc Energy, Inc. w/ Akin Gump Strauss Hauer & Feld LLP, Progyny, Inc. w/ Cooley LLP, Palomar Holdings, Inc. w/ DLA Piper LLP (US), Diamond S Shipping Inc. w/ Jones Day, Jaguar Health, Inc. w/ Reed Smith LLP, Five Star Senior Living Inc. w/ Sullivan & Worcester LLP, C & F Financial Corp w/ Williams Mullen.

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:
Company Name: Ehedge Financial Holding Corp
Form Type: 1-A
Industry: 6199 - Finance Services
Underwriters:
Account/Firm:
Company Name: Rad Diversified Reit, Inc.
Form Type: 1-A
Industry: 6798 - Real Estate Investment Trusts
Underwriters:
Account/Firm: Akin Gump Strauss Hauer & Feld LLP
Company Name: Pdc Energy, Inc. (Symbol: PETD)
Form Type: S-4
Industry: 1311 - Crude Petroleum & Natural Gas
Underwriters:
Account/Firm: ANDREW COLDICUTT, ESQ.
Company Name: No Borders, Inc. (Symbol: NBDR.OB)
Form Type: 1-A
Industry: 6153 - Short-Term Business Credit Institutions
Underwriters:
Account/Firm: Austin Legal Group, APC
Company Name: American International Holdings Corp. (Symbol: AMIH)
Form Type: 1-A
Industry: 1389 - Oil & Gas Field Services, NEC
Underwriters:
Account/Firm: Bell & Peskoe LLP
Company Name: Natur International Corp. (Symbol: NTRU)
Form Type: S-1
Industry: 8082 - Services-Home Health Care Services
Underwriters:
Account/Firm: Bryan Cave Leighton Paisner LLP
Company Name: Wisdomtree Continuous Commodity Index Fund (Symbol: GCC)
Form Type: S-3
Industry: 6221 - Commodity Contracts Brokers & Dealers
Underwriters:
Account/Firm: Carmel, Milazzo & DiChiara LLP
Company Name: Green Stream Holdings Inc.
Form Type: 1-A
Industry: 6500 - Real Estate
Underwriters:
Account/Firm: Clark Wilson LLP
Company Name: Alkaline Water Co Inc (Symbol: WTER)
Form Type: S-3
Industry: 5140 - Wholesale-Groceries & Related Products
Underwriters:
Account/Firm: Clifford Hunt
Company Name: Acqusalut Inc.
Form Type: 1-A
Industry: 5990 - Retail-Retail Stores, NEC
Underwriters:
Account/Firm: Cooley LLP
Company Name: Progyny, Inc.
Form Type: S-1
Industry: 8090 - Services-Misc Health & Allied Services, NEC
Underwriters:
  • J.P. Morgan Securities LLC
  • Goldman Sachs & Co. LLC
  • BofA Securities, Inc. 
Account/Firm: Davis Polk & Wardwell LLP
Company Name: Brp Group, Inc.
Form Type: S-1
Industry: 6411 - Insurance Agents, Brokers & Service
Underwriters:
  • J.P. Morgan Securities LLC
  • BofA Securities, Inc.
  • Jefferies LLC
Account/Firm: DLA Piper LLP (US)
Company Name: Palomar Holdings, Inc. (Symbol: PLMR)
Form Type: S-1
Industry: 6331 - Fire, Marine & Casualty Insurance
Underwriters:
  • Barclays Capital Inc. 
  • J.P. Morgan Securities LLC
  • Keefe, Bruyette & Woods, Inc. 
Account/Firm: Eilers Law Group, P.A.
Company Name: Amarantus Bioscience Holdings, Inc. (Symbol: AMBS)
Form Type: 1-A
Industry: 2834 - Pharmaceutical Preparations
Underwriters:
Account/Firm: Ellenoff Grossman & Schole LLP
Company Name: Mingzhu Logistics Holdings Ltd
Form Type: F-1
Industry: 4700 - Transportation Services
Underwriters:
  • ViewTrade Securities, Inc.
Account/Firm: Ellenoff Grossman & Schole LLP
Company Name: Stable Road Acquisition Corp.
Form Type: S-1
Industry: 6770 - Blank Checks
Underwriters:
  • Cantor Fitzgerald & Co.
Account/Firm: Ellenoff Grossman & Schole LLP
Company Name: Biolife Solutions Inc (Symbol: BLFS)
Form Type: S-3
Industry: 3845 - Electromedical & Electrotherapeutic Apparatus
Underwriters:
Account/Firm: Gibson, Dunn & Crutcher LLP
Company Name: Odonate Therapeutics, Inc. (Symbol: ODT)
Form Type: S-3
Industry: 2834 - Pharmaceutical Preparations
Underwriters:
Account/Firm: Graubard Miller
Company Name: Union Acquisition Corp. Ii
Form Type: S-1
Industry: 6770 - Blank Checks
Underwriters:
  • Cantor Fitzgerald & Co.
Account/Firm: Hart & Hart, LLC
Company Name: Americann, Inc. (Symbol: ACAN)
Form Type: S-1
Industry: 8742 - Services-Management Consulting Services
Underwriters:
Account/Firm: Jones Day
Company Name: Diamond S Shipping Inc. (Symbol: DSSI)
Form Type: S-1
Industry: 4700 - Transportation Services
Underwriters:
Account/Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Company Name: Dermtech, Inc. (Symbol: DMTK)
Form Type: S-3
Industry: 8071 - Services-Medical Laboratories
Underwriters:
Account/Firm: Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.
Company Name: Dermtech, Inc. (Symbol: DMTK)
Form Type: S-3
Industry: 8071 - Services-Medical Laboratories
Underwriters:
Account/Firm: Morris, Manning & Martin, LLP
Company Name: Rw Holdings Nnn Reit, Inc.
Form Type: S-4
Industry: 6798 - Real Estate Investment Trusts
Underwriters:
Account/Firm: Paul, Weiss, Rifkind, Wharton & Garrison LLP
Company Name: Mosaic Acquisition Corp. (Symbol: MOSC)
Form Type: S-4
Industry: 6770 - Blank Checks
Underwriters:
Account/Firm: Reed Smith LLP
Company Name: Jaguar Health, Inc. (Symbol: JAGX)
Form Type: S-1
Industry: 2834 - Pharmaceutical Preparations
Underwriters:
Account/Firm: Ropes & Gray LLP
Company Name: Beam Therapeutics Inc.
Form Type: S-1
Industry: 2836 - Biological Products, (No Disgnostic Substances)
Underwriters:
  • J.P. Morgan Securities LLC
  • Jefferies LLC
  • Barclays Capital Inc.
Account/Firm: Sheppard, Mullin, Richter & Hampton LLP
Company Name: Hoth Therapeutics, Inc. (Symbol: HOTH)
Form Type: S-1
Industry: 2834 - Pharmaceutical Preparations
Underwriters:
Account/Firm: Sheppard, Mullin, Richter & Hampton LLP
Company Name: Jerrick Media Holdings, Inc. (Symbol: JMDA)
Form Type: S-1
Industry: 7819 - Services-Allied To Motion Picture Production
Underwriters:
Account/Firm: Sheppard, Mullin, Richter and Hampton LLP
Company Name: Giga Tronics Inc (Symbol: GIGA)
Form Type: S-1
Industry: 3825 - Instruments For Meas & Testing of Electricity & Elec Signals
Underwriters:
  • Roth Capital Partners, LLC
Account/Firm: Skadden, Arps, Slate, Meagher & Flom LLP
Company Name: Oceanfirst Financial Corp (Symbol: OCFC)
Form Type: S-4
Industry: 6035 - Savings Institution, Federally Chartered
Underwriters:
Account/Firm: Squire Patton Boggs (US) LLP
Company Name: Connectone Bancorp, Inc. (Symbol: CNOB)
Form Type: S-4
Industry: 6022 - State Commercial Banks
Underwriters:
Account/Firm: Sullivan & Worcester LLP
Company Name: Peck Co Holdings, Inc. (Symbol: PECK)
Form Type: S-3
Industry: 4932 - Gas & Other Services Combined
Underwriters:
Account/Firm: Sullivan & Worcester LLP
Company Name: Safe-T Group Ltd.
Form Type: F-1
Industry: 7372 - Services-Prepackaged Software
Underwriters:
  • A.G.P./Alliance Global Partners
Account/Firm: Sullivan & Cromwell LLP
Company Name: Ecmoho Ltd
Form Type: F-1
Industry: 5961 - Retail-Catalog & Mail-Order Houses
Underwriters:
  • UBS Securities LLC
  • China International Capital Corporation Hong Kong Securities Limited
Account/Firm: Sullivan & Worcester LLP
Company Name: Five Star Senior Living Inc. (Symbol: NASDAQ:FVE)
Form Type: S-1
Industry: 8051 - Services-Skilled Nursing Care Facilities
Underwriters:
Account/Firm: The NBD Group, Inc.
Company Name: B. Riley Financial, Inc. (Symbol: GAMR)
Form Type: S-3
Industry: 7389 - Services-Business Services, NEC
Underwriters:
Account/Firm: The Newman Law Firm, PLLC
Company Name: Clean Energy Technologies, Inc. (Symbol: CETY)
Form Type: 1-A
Industry: 3672 - Printed Circuit Boards
Underwriters:
Account/Firm: Torys LLP
Company Name: Brookfield Infrastructure Corp
Form Type: F-1
Industry: 4923 - Natural Gas Transmisison & Distribution
Underwriters:
Account/Firm: Vinson & Elkins L.L.P.
Company Name: Mitcham Industries Inc (Symbol: MIND)
Form Type: S-3
Industry: 7359 - Services-Equipment Rental & Leasing, NEC
Underwriters:
Account/Firm: Williams Mullen
Company Name: C & F Financial Corp (Symbol: CFFI)
Form Type: S-4
Industry: 6022 - State Commercial Banks
Underwriters:
Account/Firm: Wyrick Robbins Yates & Ponton LLP
Company Name: Cerecor Inc. (Symbol: CERC)
Form Type: S-3
Industry: 2834 - Pharmaceutical Preparations
Underwriters:
Account / Firm Company Name Symbol Form Type Industry Underwriters
  Ehedge Financial Holding Corp   1-A 6199 - Finance Services  
  Rad Diversified Reit, Inc.   1-A 6798 - Real Estate Investment Trusts  
Akin Gump Strauss Hauer & Feld LLP Pdc Energy, Inc. PETD S-4 1311 - Crude Petroleum & Natural Gas  
ANDREW COLDICUTT, ESQ. No Borders, Inc. NBDR.OB 1-A 6153 - Short-Term Business Credit Institutions  
Austin Legal Group, APC American International Holdings Corp. AMIH 1-A 1389 - Oil & Gas Field Services, NEC  
Bell & Peskoe LLP Natur International Corp. NTRU S-1 8082 - Services-Home Health Care Services  
Bryan Cave Leighton Paisner LLP Wisdomtree Continuous Commodity Index Fund GCC S-3 6221 - Commodity Contracts Brokers & Dealers  
Carmel, Milazzo & DiChiara LLP Green Stream Holdings Inc.   1-A 6500 - Real Estate  
Clark Wilson LLP Alkaline Water Co Inc WTER S-3 5140 - Wholesale-Groceries & Related Products  
Clifford Hunt Acqusalut Inc.   1-A 5990 - Retail-Retail Stores, NEC  
Cooley LLP Progyny, Inc.   S-1 8090 - Services-Misc Health & Allied Services, NEC
  • J.P. Morgan Securities LLC
  • Goldman Sachs & Co. LLC
  • BofA Securities, Inc. 
Davis Polk & Wardwell LLP Brp Group, Inc.   S-1 6411 - Insurance Agents, Brokers & Service
  • J.P. Morgan Securities LLC
  • BofA Securities, Inc.
  • Jefferies LLC
DLA Piper LLP (US) Palomar Holdings, Inc. PLMR S-1 6331 - Fire, Marine & Casualty Insurance
  • Barclays Capital Inc. 
  • J.P. Morgan Securities LLC
  • Keefe, Bruyette & Woods, Inc. 
Eilers Law Group, P.A. Amarantus Bioscience Holdings, Inc. AMBS 1-A 2834 - Pharmaceutical Preparations  
Ellenoff Grossman & Schole LLP Mingzhu Logistics Holdings Ltd   F-1 4700 - Transportation Services
  • ViewTrade Securities, Inc.
Ellenoff Grossman & Schole LLP Stable Road Acquisition Corp.   S-1 6770 - Blank Checks
  • Cantor Fitzgerald & Co.
Ellenoff Grossman & Schole LLP Biolife Solutions Inc BLFS S-3 3845 - Electromedical & Electrotherapeutic Apparatus  
Gibson, Dunn & Crutcher LLP Odonate Therapeutics, Inc. ODT S-3 2834 - Pharmaceutical Preparations  
Graubard Miller Union Acquisition Corp. Ii   S-1 6770 - Blank Checks
  • Cantor Fitzgerald & Co.
Hart & Hart, LLC Americann, Inc. ACAN S-1 8742 - Services-Management Consulting Services  
Jones Day Diamond S Shipping Inc. DSSI S-1 4700 - Transportation Services  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Dermtech, Inc. DMTK S-3 8071 - Services-Medical Laboratories  
Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C. Dermtech, Inc. DMTK S-3 8071 - Services-Medical Laboratories  
Morris, Manning & Martin, LLP Rw Holdings Nnn Reit, Inc.   S-4 6798 - Real Estate Investment Trusts  
Paul, Weiss, Rifkind, Wharton & Garrison LLP Mosaic Acquisition Corp. MOSC S-4 6770 - Blank Checks  
Reed Smith LLP Jaguar Health, Inc. JAGX S-1 2834 - Pharmaceutical Preparations  
Ropes & Gray LLP Beam Therapeutics Inc.   S-1 2836 - Biological Products, (No Disgnostic Substances)
  • J.P. Morgan Securities LLC
  • Jefferies LLC
  • Barclays Capital Inc.
Sheppard, Mullin, Richter & Hampton LLP Hoth Therapeutics, Inc. HOTH S-1 2834 - Pharmaceutical Preparations  
Sheppard, Mullin, Richter & Hampton LLP Jerrick Media Holdings, Inc. JMDA S-1 7819 - Services-Allied To Motion Picture Production  
Sheppard, Mullin, Richter and Hampton LLP Giga Tronics Inc GIGA S-1 3825 - Instruments For Meas & Testing of Electricity & Elec Signals
  • Roth Capital Partners, LLC
Skadden, Arps, Slate, Meagher & Flom LLP Oceanfirst Financial Corp OCFC S-4 6035 - Savings Institution, Federally Chartered  
Squire Patton Boggs (US) LLP Connectone Bancorp, Inc. CNOB S-4 6022 - State Commercial Banks  
Sullivan & Worcester LLP Peck Co Holdings, Inc. PECK S-3 4932 - Gas & Other Services Combined  
Sullivan & Worcester LLP Safe-T Group Ltd.   F-1 7372 - Services-Prepackaged Software
  • A.G.P./Alliance Global Partners
Sullivan & Cromwell LLP Ecmoho Ltd   F-1 5961 - Retail-Catalog & Mail-Order Houses
  • UBS Securities LLC
  • China International Capital Corporation Hong Kong Securities Limited
Sullivan & Worcester LLP Five Star Senior Living Inc. NASDAQ:FVE S-1 8051 - Services-Skilled Nursing Care Facilities  
The NBD Group, Inc. B. Riley Financial, Inc. GAMR S-3 7389 - Services-Business Services, NEC  
The Newman Law Firm, PLLC Clean Energy Technologies, Inc. CETY 1-A 3672 - Printed Circuit Boards  
Torys LLP Brookfield Infrastructure Corp   F-1 4923 - Natural Gas Transmisison & Distribution  
Vinson & Elkins L.L.P. Mitcham Industries Inc MIND S-3 7359 - Services-Equipment Rental & Leasing, NEC  
Williams Mullen C & F Financial Corp CFFI S-4 6022 - State Commercial Banks  
Wyrick Robbins Yates & Ponton LLP Cerecor Inc. CERC S-3 2834 - Pharmaceutical Preparations  
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