|
Date |
Form
Type |
Company Name |
Underwriter |
Legal Counsel |
Price |
Shares |
Offering Amount |
|
|
|
|
|
|
|
|
|
|
4/10/2020 |
F-1 |
Safe-T Group Ltd. |
A.G.P./Alliance Global Partners |
Zysman, Aharoni, Gayer and Sullivan & Worcester LLP, New York, Lipa Meir & Co., Tel Aviv, Israel, Sichenzia Ross Ference LLP |
N/A |
N/A |
$24,725,000 |
|
4/14/2020 |
F-1 |
Int’l General Ins Holdings Ltd. |
N/A |
Conyers Dill & Pearman Limited, Hamilton, Freshfields Bruckhaus Deringer US LLP |
$11.50
$6.025
—
$11.50 |
17,250,000
39,107,382
4,500,000
4,500,000 |
$198,375,000
$235,621,977
—
$51,750,000 |
|
4/16/2020 |
F-1 |
Origin Agritech Ltd |
Oasis Capital |
Golenbock Eiseman Assor Bell & Pesko, Maples & Calder |
$3.37 |
2,647,680 |
$8,923,287.60 |
|
4/17/2020 |
F-1 |
Kingsoft Cloud Holdings Ltd |
J.P. Morgan Securities LLC, UBS Securities LLC and Credit Suisse Securities (USA) LLC |
Davis Polk & Wardwell LLP, Kirkland & Ellis International LLP, Conyers Dill & Pearman, Fangda Partners, Han Kun Law Offices |
N/A |
N/A |
$100,000,000 |
|
4/24/2020 |
F-1 |
Skillful Craftsman Education… Ltd |
The Benchmark Company, LLC. |
Ellenoff Grossman & Schole LLP, Schiff Hardin LLP, Maples and Calder, V&T Law Firm |
$5.50
$6.60 |
3,450,000
172,500 |
$18,975,000
$1,138,500 |
|
4/24/20 20 |
F-1 |
ADC Therapeutics SA |
Morgan Stanley & Co. LLC, BofA Securities, Inc. and Cowen and Company, LLC |
Homburger AG, Zurich, Davis Polk & Wardwell LLP, New York, Cooley LLP, New York, Lenz & Staehelin, Geneva |
N/A |
N/A |
$100,000,000 |
|
4/24/20 20 |
F-1 |
Ebang International Holdings Inc. |
AMTD Global Markets Limited and Loop Capital Markets LLC |
Wilson Sonsini Goodrich & Rosati, Kirkland & Ellis International LLP, Conyers Dill & Pearman, Jingtian & Gongcheng, King & Wood Mallesons, Conyers Dill & Pearman |
N/A |
N/A |
$100,000,000 |
|
4/29/20 20 |
F-1 |
Auris Medical Holding Ltd. |
LPC |
Conyers Dill & Pearman Limited, Bermuda, Lowenstein Sandler LLP, New York |
$0.84 |
1,500,000 |
$1,260,000 |
|
4/1/2020 |
S-1 |
SenesTech, Inc. |
N/A |
Perkins Coie LLP, Portland, |
$2.88
$3.7563 |
176,372
13,228 |
$507,951.36
$49,688.34 |
|
4/3/2020 |
S-1 |
Hoth Therapeutics, Inc. |
Laidlaw |
Sheppard, Mullin, Richter & Hampton LLP, New York, |
$2.87 |
70,000 |
$200,900 |
|
4/3/2020 |
S-1 |
Brickell Biotech, Inc. |
N/A |
Mayer Brown LLP, New York, |
$1.19 |
2,598,829 |
$3,092,607 |
|
4/3/2020 |
S-1 |
Arconic Corp |
N/A |
Richards, Layton & Finger, P.A., Wilmington, |
$6.99 |
1,250,000 |
$8,737,500 |
|
4/6/2020 |
S-1 |
Jaguar Health, Inc. |
N/A |
Reed Smith LLP, Palo Alto, |
$0.436
$0.81 |
4,587,155
1,431,460 |
$1,999,999.58
$1,159,482.60 |
|
4/7/2020 |
S-1 |
Cortexyme, Inc. |
N/A |
Orrick, Herrington & Sutcliffe LLP, Menlo Park, |
$35.61 |
2,500,000 |
$89,025,000 |
|
4/7/2020 |
S-1 |
Elvictor Group, Inc. |
N/A |
William R. Eilers, Esq. |
$0.40 |
1,658,605 |
$663,442 |
|
4/8/2020 |
S-1 |
Avinger Inc |
Aegis Capital Corp |
Dorsey & Whitney, LLP, Salt Lake City, Sichenzia Ross Ference LLP, New York |
N/A |
N/A |
$5,750,000 |
|
4/8/2020 |
S-1 |
Hygge Integrated Brands Corp. |
N/A |
N/A |
$0.025 |
971,000 |
$24,275 |
|
4/8/2020 |
S-1 |
Toughbuilt Industries, Inc |
Maxim Group LL |
Jolie Kahn, Esq. Ellenoff Grossman & Schole LLP, New York |
N/A |
N/A |
$32,995,800 |
|
4/8/2020 |
S-1 |
Outlook Therapeutics, Inc. |
N/A |
Cooley LLP |
$0.575 |
4,331,103 |
$2,490,384.23 |
|
4/9/2020 |
S-1 |
Energy Focus, Inc/DE |
N/A |
Paul Hastings LLP, New York, |
$0.674
$0.9988
$0.2950 |
3,441,803
240,926
1,721,023 |
$2,319,775.23
$240,636.89
$507,701.79 |
|
4/9/2020 |
S-1 |
Modular Medical, Inc. |
N/A |
Gusrae Kaplan Nusbaum PLLC, New York, |
$25.00 |
2,000,000 |
$50,000,000 |
|
4/9/2020 |
S-1 |
Allianz Life Insurance Co of North America |
Allianz Life Financial Services, LLC (ALFS) |
N/A |
N/A |
$2,000,000,000 |
$4,070,000,000 |
|
4/9/2020 |
S-1 |
Allianz Life Insurance Company of New York |
Allianz Life Financial Services, LLC (ALFS) |
N/A |
N/A |
N/A |
$2,285,000,000 |
|
4/9/2020 |
S-1 |
Cel Sci Corp |
HART & HART, LLC |
N/A |
$9.75 |
100,000 |
$975,000 |
|
4/10/2020 |
S-1 |
Immunovant, Inc. |
SVB Leerink LLC, UBS Securities LLC and SunTrust Robinson Humphrey, Inc. |
Cooley LLP, Palo Alto, Latham & Watkins LLP, New York, |
N/A |
6,500,000 |
$116,161,500 |
|
4/10/2020 |
S-1 |
Quanta Inc |
N/A |
Nelson Mullins Riley & Scarborough LLP, |
$0.11 |
11,000,000 |
$1,210,000 |
|
4/10/2020 |
S-1 |
Simplicity Esports & Gaming Co |
ThinkEquity, |
Anthony L.G., PLLC, Littman Krooks LLP |
N/A |
N/A |
$23,934,375 |
|
4/10/2020 |
S-1 |
Citius Pharmaceuticals, Inc. |
N/A |
Wyrick Robbins Yates & Ponton, LLP, Raleigh |
$1.02
$1.275 |
6,298,673
440,907 |
$6,424,646.46
$562,156.43 |
|
4/10/2020 |
S-1 |
Great West Life & Annuity Ins Co |
GWFS Equities |
Eversheds Sutherland (US) LLP |
N/A |
N/A |
N/A |
|
4/10/2020 |
S-1 |
1st FRANKLIN FINANCIAL Corp |
N/A |
Jones Day, Atlanta, Georgia. |
N/A |
$50,000,000 SERIES 1 VARIABLE RATE SUBORDINATED DEBENTURES
$700,000,000 Senior Demand Notes |
N/A |
|
4/10/2020 |
S-1 |
Biolargo, Inc. |
Lincoln Park |
Wilson & Bradshaw, LLP. |
$0.20 |
44,714,286 |
$8,942,857 |
|
4/13/2020 |
S-1 |
APPlife Digital Solutions Inc |
GHS |
Brunson Chandler & Jones, PLLC |
$0.19 |
5,000,000 |
$950,000 |
|
4/13/2020 |
S-1 |
MTBC, Inc. |
B. Riley FBR, Inc. |
Song, P.C., New York, Morgan Lewis & Bockius, LLP |
$25 |
N/A |
$17,250,000 |
|
4/15/2020 |
S-1 |
Starguide Group, Inc. |
Self |
N/A |
$0.03 |
5,000,000 |
$150,000 |
|
4/15/2020 |
S-1 |
SG Blocks, Inc. |
ThinkEquity |
Gracin & Marlow, LLP, New York, Ellenoff Grossman & Schole LLP, New York |
N/A |
N/A |
$8,487,500 |
|
4/15/2020 |
S-1 |
DEAC NV Merger Corp. |
N/A |
Greenberg Traurig, LLP, Winston & Strawn LLP, New York |
$14
$11.50 |
44,725,831
3,000,000 |
$584,161,634
$34,500,000 |
|
4/16/2020 |
S-1 |
Ra Medical Systems, Inc. |
N/A |
Wilson Sonsini Goodrich & Rosati, Professional Corporation, San Diego, Ellenoff Grossman & Schole, LLP, New York, |
N/A |
N/A |
$25,050,000 |
|
4/15/2020 |
S-1 |
Allstate Life Insurance Co |
Morgan Stanley & Co. Inc. |
Angela K. Fontana, Vice President, General Counsel and Secretary of Allstate Life |
$1 |
$152,341,977 |
$152,341,977 |
|
4/16/2020 |
S-1 |
Bridgeway National Corp. |
N/A |
Gutiérrez Bergman Boulris, PLLC, Coral Gables, |
$.05 |
100,000,000 |
$5,000,000 |
|
4/16/2020 |
S-1 |
Lantern Pharma Inc. |
ThinkEquity |
Lewis Brisbois Bisgaard & Smith LLP, Los Angeles, Blank Rome LLP, New York |
N/A |
N/A |
$28,750,000 |
|
4/16/2020 |
S-1 |
Cemtrex Inc |
N/A |
N/A |
$1.07 |
1,783,317 |
$1,908,149.19 |
|
4/16/2020 |
S-1 |
Intellinetics, Inc. |
N/A |
McDonald Carano LLP, Reno, Nevada |
$3 |
2,519,490 |
$7,558,470 |
|
4/16/2020 |
S-1 |
NutriBand Inc. |
N/A |
Michael Paige Law PLLC |
$12 |
166,828 |
$2,001,936 |
|
4/20/2020 |
S-1 |
Atlas Technical Consultants, Inc. |
Macquarie Capital |
Kirkland & Ellis LLP |
$11.50
$8.70
$11.50 |
23,750,000
27,780,345
3,750,000 |
$273,125,000
$241,689,001
$37,500,000 |
|
4/20/2020 |
S-1 |
Grocery Outlet Holding Corp. |
Morgan Stanley & Co. LLC and BofA Securities, Inc. |
Simpson Thacher & Bartlett LLP, Palo Alto, Davis Polk & Wardwell LLP, Menlo Park |
$33.46 |
11,500,000 |
$384,790,000 |
|
4/20/2020 |
S-1 |
Tradeweb Markets Inc. |
J.P. Morgan Securities LLC, Barclays Capital Inc., Citigroup Global Markets Inc., Goldman Sachs & Co. LLC and Morgan Stanley & Co. LLC |
Fried, Frank, Harris, Shriver & Jacobson LLP, New York, Davis Polk & Wardwell LLP, New York |
$53.75 |
12,592,500 |
$676,846,875 |
|
4/21/2020 |
S-1 |
Parkervision Inc |
N/A |
Graubard Miller, New York |
$0.32 |
16,809,295 |
$5,378,974 |
|
4/22/2020 |
S-1 |
1847 Goedeker Inc. |
ThinkEquity |
Bevilacqua PLLC, Washington, DC. Sichenzia Ross Ference LLP, New York |
N/A |
N/A |
$12,218,750 |
|
4/23/2020 |
S-1 |
B Riley Principal Merger Corp II |
B. Riley FBR, Inc. |
Winston & Strawn LLP, New York, Ellenoff Grossman & Schole LLP, New York |
$10 |
20,000,000 |
$200,000,000 |
|
4/24/2020 |
S-1 |
Docs, Inc. |
N/A |
Law Offices of Thomas C. Cook, Ltd. |
$0.10 |
2,000,000 |
$200,000 |
|
4/27/2020 |
S-1 |
My Size, Inc. |
N/A |
McDermott Will & Emery LLP, New York, Ellenoff Grossman & Schole LLP, New York |
N/A |
N/A |
$3,000,000 |
|
4/28/2020 |
S-1 |
Q BioMed Inc. |
N/A |
Ortoli Rosenstadt LLP. |
$2.03 |
5,000,000 |
$10,150,000 |
|
4/28/2020 |
S-1 |
Jaws Acquisition Corp. |
Credit Suisse Securities (USA) LLC |
Kirkland & Ellis LLP, New York, Maples and Calder, Skadden, Arps, Slate, Meagher & Flom LLP, Palo Alto, California |
$10 |
40,000,000 |
$400,000,000 |
|
4/28/2020 |
S-1 |
Novus Capital Corp |
EarlyBirdCapital, Inc. |
Blank Rome LLP, New York, Graubard Miller, New York |
$10 |
10,000,000 |
$100,000,000 |
|
4/29/2020 |
S-1 |
American Virtual Cloud Techs, Inc |
EBC |
Greenberg Traurig, LLP. |
$1.64 |
8,189,490 |
$13,430,763.60 |
|
4/29/2020 |
S-1 |
CHF Solutions, Inc. |
N/A |
Honigman LLP, Kalamazoo, Michigan. |
$0.42 |
6,726,506 |
$2,825,133 |
|
4/30/2020 |
S-1 |
Applied Energetics, Inc. |
N/A |
Masur Griffitts Avidor LLP |
$0.30 |
57,827,000 |
$17,348,100 |
|
4/30/2020 |
S-1 |
UAS Drone Corp. |
N/A |
Sullivan & Worcester LLP, New York |
$0.374 |
18,264,448 |
$6,830,903.41 |
|
4/30/2020 |
S-1 |
Digirad Corp |
Maxim Group LLC (“Maxim”) |
Olshan Frome Wolosky LLP, New York, Loeb & Loeb LLP, New York |
N/A |
N/A |
$5,908,125 |
|
4/30/2020 |
S-1 |
Aerkomm Inc. |
Invest Securities SA |
Sherman & Howard LLC |
N/A |
N/A |
$43,192,000 |
|
4/2/2020 |
1-A |
Masterworks 009, LLC |
SDDCO Brokerage Advisors LLC |
Anthony L.G., PLLC |
$20 |
82,500 |
$1,650,000 |
|
4/2/2020 |
1-A |
Novo Integrated Sciences, Inc. |
Dalmore Group, LLC |
Anthony L.G., PLLC |
$2 |
15,000,000 |
$30,000,000 |
|
4/2/2020 |
1-A |
BacTech Environmental Corp |
N/A |
Andrew Coldicutt, Esq |
$0.0001 |
100,000,000 |
$1,000,000 |
|
4/3/2020 |
1-A |
Groundfloor Finance Inc. |
N/A |
Manatt, Phelps & Phillips, LLP; Robbins Ross Alloy Belinfante Littlefield LLC |
N/A |
526,315 |
$9,210,512.50 |
|
4/6/2020 |
1-A |
Masterworks 010, LLC |
SDDCO Brokerage Advisors LLC |
Anthony L.G., PLLC |
$20 |
38,500 |
$770,000 |
|
4/7/2020 |
1-A |
Fast Casual Concepts, Inc. |
N/A |
BrannellyLaw PLLC |
$0.1000 |
50,000,000 |
$5,000,000 |
|
4/9/2020 |
1-A |
Legacy Teak, LLC |
N/A |
N/A |
N/A |
160 |
$6,880 |
|
4/10/2020 |
1-A |
Cloudastructure, Inc. |
N/A |
CrowdCheck Law, LLP / Wilson Sonsini Goodrich & Rosati |
$1 |
N/A |
$50,000,000 |
|
4/13/2020 |
1-A |
Infinex Ventures Inc |
N/A |
N/A |
$0.1800 |
N/A |
$5,000,000 |
|
4/13/2020 |
1-A |
SStarTradeTech Inc. |
N/A |
Eilers Law Group, P.A. |
$0.4000 |
$20,000,000 |
$50,000,000 |
|
4/14/2020 |
1-A |
Dragonize Studio’s & Institute, Inc. |
N/A |
N/A |
$1 |
20,000,000 |
N/A |
|
4/17/2020 |
1-A |
Cytonics Corp |
N/A |
Anthony L.G., PLLC |
$2 |
9,500,000 |
$19,000,000 |
|
4/16/2020 |
1-A |
Starstream Entertainment, Inc. |
N/A |
Donnell E. Suares, Esq. |
$0.0010 |
300,000,000 |
$3,000,000 |
|
4/17/2020 |
1-A |
Masterworks 011, LLC |
SDDCO Brokerage Advisors LLC |
Anthony L.G., PLLC |
$20 |
49,500 |
$990,000 |
|
4/20/2020 |
1-A |
SavvyShares LLC |
N/A |
Sheppard, Mullin, Richter & Hampton, LLP |
$0.2500 |
200,000,000 |
$50,000,000 |
|
4/24/2020 |
1-A |
Hemp Naturals, Inc. |
N/A |
N/A |
$0.9990 |
N/A |
$2,000,000 |
|
4/24/2020 |
1-A |
Masterworks 012, LLC |
SDDCO Brokerage Advisors LLC |
Anthony L.G., PLLC |
$20 |
60,500 |
$1,210,000 |
|
4/27/2020 |
1-A |
Haibo Sym, Inc. |
N/A |
Frank J Hariton |
$1.500 |
7,000,000 |
$10,500,000 |
|
4/28/2020 |
1-A |
Grass Qozf, Inc. |
N/A |
Business Legal Advisors, LLC |
$2 |
25,000,000 |
$50,000,000 |
|
4/29/2020 |
1-A |
LiveWire Ergogenics, Inc. |
N/A |
Eilers Law Group, P.A. |
$0.0150 |
1,333,333,334 |
$2,000,000 |