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Bradley H. Smith
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I am the Director of Marketing at Vintage / PR Newswire, with a 12 year history in Investor Relations. I will be using Seeking Alpha to announce client news - specially when they are presenting online at RetailInvestorConferences.com. These are live, real-time online roadshow TOTALLY free and... More
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  • IPOs And Transactions: April 14 – 18 0 comments
    Apr 22, 2014 3:19 PM | about stocks: ARIS, CAPR, COB, ELTP, ENSV, ETP, FBMS, FIGO, GALE, HASI, HBKA, HQH, HQL, IMNP, MOBQ, NGHC, ONCS, ORC, PALL, PEIX, RIVR, RMCP, RNIN, SNWV, SPEX, UNTY, VGR, XWES, XXII

    There were 52 transactions filed with the SEC last week.

    Congratulations to all of the corporations and law firms that selected our transactions services last week including Taggares Agriculture Corp w/ Dickinson Wright PLLC, Capricor Therapeutics Inc. w/ Paul Hastings LLP and 22nd Century Group Inc. w/ Foley & Lardner LLP. We appreciate that they selected to work with us and we're pleased that they found us both accurate and affordable.

    Registrant

    Symbol

    Form

    Exchange

    Law firm/ advisor

    FS ENERGY & POWER FUND II

     

    N-2

     

    Alston & Bird LLP

    FIRST BANCSHARES INC /MS/

    FBMS

    S-4

    Nasdaq

    Ambrecht Jackson LLP

    COMMUNITYONE BANCORP

    COB

    S-3

    Nasdaq

    Arnold & Porter LLP

    RIVER VALLEY BANCORP

    RIVR

    S-1

    Nasdaq

    Barnes & Thornburg LLP

    ENSERVCO CORP

    ENSV

    S-3

    NYSE

    Burns Figa & Will, P.C.

    FIGO VENTURES, INC.

    FIGO

    S-1

    OTC

    Cane Clark, LLP

    HANNON ARMSTRONG SUSTAINABLE INFRASTRUCTURE CAPITAL, INC.

    HASI

    S-11

    NYSE

    Clifford Chance US LLP

    LIVE OAK BANCSHARES, INC.

     

    S-1

     

    Covington & Burling LLP

    ZOOSK, INC

     

    S-1

     

    Davis Polk & Wardwell LLP

    FS ENERGY & POWER FUND II

     

    N-2

     

    Dechert LLP

    H&Q HEALTHCARE INVESTORS

    HQH

    N-2

    NYSE

    Dechert LLP

    H&Q LIFE SCIENCES INVESTORS

    HQL

    N-2

    NYSE

    Dechert LLP

    TAGGARES AGRICULTURE CORP.

     

    S-1

     

    Dickinson Wright PLLC

    CONTRAFECT CORP

     

    S-1

     

    Ellenoff, Grossman & Schole LLP

    ZOOSK, INC

     

    S-1

     

    Fenwick & West LLP

    22ND CENTURY GROUP, INC.

    XXII

    S-3

    NYSE

    Foley & Lardner LLP

    HANNON ARMSTRONG SUSTAINABLE INFRASTRUCTURE CAPITAL, INC.

    HASI

    S-11

    NYSE

    Fried, Frank, Harris, Shriver & Jacobson LLP

    TCW DIRECT LENDING LLC

     

    10-12G

     

    Fried, Frank, Harris, Shriver & Jacobson LLP

    ARI NETWORK SERVICES INC /WI

    ARIS

    S-3

    Nasdaq

    Godfrey & Kahn, S.C.

    VYRIX PHARMACEUTICALS, INC.

     

    S-1

     

    Goodwin Procter LLP

    ZAFGEN, INC.

     

    S-1

     

    Goodwin Procter LLP

    ANGION BIOMEDICA CORP.

     

    S-1

     

    Greenberg Traurig, LLP

    NEW CENTURY RESOURCE

     

    10-12G

     

    Heston Nielson, Esq.

    ORCHID ISLAND CAPITAL, INC.

    ORC

    S-3

    NYSE

    Hunton & Williams LLP

    TOUCAN INTERACTIVE CORP

     

    S-1

     

    John T. Root, Jr., Atty.

    FIRST BANCSHARES INC /MS/

    FBMS

    S-4

    Nasdaq

    Jones Walker LLP

    ETFS PALLADIUM TRUST

    PALL

    S-3

    NYSE

    Katten Muchin Rosenman LLP

    LORILAY CORP.

     

    S-1

     

    Law Offices of Thomas E. Puzzo, PLLC

    TERRA TECH CORP.

    TRTCE

    S-3

    OTC

    Law Offices of Thomas E. Puzzo, PLLC

    NATIONAL GENERAL HOLDINGS CORP.

    NGHC

    S-1

    Nasdaq

    Locke Lord LLP

    FIRST FOUNDATION INC.

     

    S-1

    Nasdaq

    Manatt, Phelps & Phillips, LLP

    LIGHTSTONE VALUE PLUS REAL ESTATE INVESTMENT TRUST III, INC.

     

    S-11

     

    Martin A. Hewitt, Atty.

    WIRELESS RONIN TECHNOLOGIES INC

    RNIN

    S-4

    OTC

    Maslon Edelman Borman & Brand, LLP

    GENERAL FINANCE CORP

    GFNCP

    S-3

    Nasdaq

    Mayer Brown LLP

    IMMUNE PHARMACEUTICALS INC

    IMNP

    S-1

    OTC

    Mintz, Levin, Cohn, Ferris, Glovsky and Popeo P.C.

    ANGION BIOMEDICA CORP.

     

    S-1

     

    Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.

    WORLD ENERGY SOLUTIONS, INC.

    XWES

    S-3

    Nasdaq

    Mirick, O'Connell, DeMallie & Lougee LLP

    ONCOSEC MEDICAL INC

    ONCS

    S-3

    OTC

    Morrison & Foerster LLP

    MOBIQUITY TECHNOLOGIES, INC.

    MOBQ

    S-1

    OTC

    Morse & Morse, PLLC

    METHES ENERGIES INTERNATIONAL LTD

    MEILU

    S-3

    Nasdaq

    Morse, Zelnick, Rose & Lander, LLP

    VECTOR GROUP LTD

    VGR

    S-4

    NYSE

    O'Melveny & Myers LLP

    CAPRICOR THERAPEUTICS, INC.

    CAPR

    S-1

    OTC

    Paul Hastings LLP

    GENERAL FINANCE CORP

    GFNCP

    S-3

    Nasdaq

    Paul Hastings LLP

    IMMUNE PHARMACEUTICALS INC

    IMNP

    S-1

    OTC

    Pearl Cohen Zedek Latzer Baratz

    DS HEALTHCARE GROUP, INC.

    DSKXE

    S-3

    Nasdaq

    Pearlman Schneider LLP

    DS HEALTHCARE GROUP, INC.

    DSKXE

    S-3

    Nasdaq

    Pearlman Schneider LLP

    ROCKY HOLDING, INC.

     

    S-4

     

    Perkins Coie LLP

    LIGHTSTONE VALUE PLUS REAL ESTATE INVESTMENT TRUST III, INC.

     

    S-11

     

    Proskauer Rose LLP

    WIRELESS RONIN TECHNOLOGIES INC

    RNIN

    S-4

    OTC

    Reed L. Benson, Esq.

    ZAFGEN, INC.

     

    S-1

     

    Ropes & Gray LLP

    CONTRAFECT CORP

     

    S-1

     

    Shearman & Sterling LLP

    SPHERIX INC

    SPEX

    S-3

    Nasdaq

    Sichenzia Ross Friedman Ference LLP

    VYRIX PHARMACEUTICALS, INC.

     

    S-1

     

    Sichenzia Ross Friedman Ference LLP

    ELITE PHARMACEUTICALS INC /NV/

    ELTP

    S-3

    OTC

    Silverman Shin Byrne & Gilchrest PLLC

    CHUKONG HOLDINGS LTD

     

    F-1

     

    Simpson Thacher & Bartlett

    CHUKONG HOLDINGS LTD

     

    F-1

     

    Skadden, Arps, Slate, Meagher & Flom LLP

    DAYTON POWER & LIGHT CO

    DAYTL

    S-4

    OTC

    Skadden, Arps, Slate, Meagher & Flom LLP

    SANUWAVE HEALTH, INC.

    SNWV

    S-1

    OTC

    Smith, Gambrell & Russell, LLP

    FIRST FOUNDATION INC.

     

    S-1

    Nasdaq

    Stradling Yocca Carlson & Rauth, P.C.

    TAGGARES AGRICULTURE CORP.

     

    S-1

     

    Summit Law Group, PLLC

    TCW DIRECT LENDING LLC

     

    10-12G

     

    Sutherland Asbill & Brennan LLP

    REVOLUTIONS MEDICAL CORP

    RMCP

    S-1

    OTC

    Szaferman Lakind Blumstein & Blader, PC

    DYNEX CAPITAL INC

    DXPRA

    S-3

    NYSE

    Troutman Sanders LLP

    PACIFIC ETHANOL, INC.

    PEIX

    S-3

    Nasdaq

    Troutman Sanders LLP

    GALENA BIOPHARMA, INC.

    GALE

    S-3

    Nasdaq

    TroyGould PC

    RIVER VALLEY BANCORP

    RIVR

    S-1

    Nasdaq

    Vedder Price P.C.

    ENERGY TRANSFER PARTNERS, L.P.

    ETP

    S-3

    NYSE

    Vinson & Elkins, L.L.P.

    ROCKY HOLDING, INC.

     

    S-4

     

    Weil, Gotshal & Manges LLP

    HIGHLANDS BANKSHARES INC /VA/

    HBKA

    S-1

    OTC

    Williams Mullen

    GABELLI EQUITY TRUST INC

    GABFR

    N-2

    NYSE

    Willkie Farr & Gallagher LLP

    UNITY BANCORP INC /NJ/

    UNTY

    S-1

    Nasdaq

    Windels Marx Lane & Mittendorf, LLP

    ROCKY HOLDING, INC.

     

    S-4

     

    Womble Carlyle Sandridge & Rice, LLP

    LIVE OAK BANCSHARES, INC.

     

    S-1

     

    Wyrick Robbins Yates & Ponton LLP

    Click here to review the week's underwriters.

    Have a great week.

    x

    Disclosure: I have no positions in any stocks mentioned, and no plans to initiate any positions within the next 72 hours.

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