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IPOs And Transactions: April 14 – 18

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 to enlarge

Click here to review the week's underwriters.

Have a great week.

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