Financing/IPO Transactions – April 2020
The financing and Initial Public Offering transactions for the month of April 2020 are posted below. These transactions were filed as S-1, F-1, and 1-A filings. To learn more about our IPO services, contact us.
| 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 |
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