Financing/IPO Transactions – March 2020
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The financing and Initial Public Offering transactions for the month of March 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 | ||
| 3/16/2020 | F-1 | Nano Dimension Ltd. | ThinkEquity, a division of Fordham Financial Management, Inc | Zysman, Aharoni, Gayer and Sullivan & Worcester LLP, New York, Loeb & Loeb LLP, New York | N/A | N/A | $13,440,625 | ||
| 3/18/2020 | F-1 | UTime Ltd | ViewTrade Securities, Inc. | Ellenoff Grossman & Schole LLP, New York | N/A | N/A | $24,150,000 | ||
| 3/20/2020 | F-1 | Seanergy Maritime Holdings Corp. | Maxim Group LLC | Watson Farley & Williams LLP, New York, Ellenoff Grossman & Schole LLP | N/A | 25,000,000 | $12,434,375 | ||
| 3/24/2020 | F-1 | Lianluo Smart Ltd | N/A | Conyers Dill & Pearman. | various | 10,990,000 | $7,495,901 | ||
| 3/25/2020 | F-1 | Gan Ltd | B. Riley FBR, Inc. | Walkers (Bermuda) Limited, Sheppard, Mullin, Richter & Hampton LLP, The NBD Group, Inc. | N/A | N/A | $35,000,000 | ||
| 3/27/2020 | F-1 | Can-Fite BioPharma Ltd. | N/A | McDermott Will & Emery LLP, New York, Doron Tikotzky Kantor Gutman, Ness, Amit Gross and Co., Ramat Gan, Israel | $0.0455 |
74,887,490 | $1,084,630.36 | ||
| 3/2/2020 | S-1 | Collective Growth Corp | Cantor Fitzgerald & Co. | Graubard Miller, Ellenoff Grossman & Schole LLP | $10 | 15,000,000 | $150,000,000 | ||
| 3/2/2020 | S-1 | Live Oak Acquisition Corp | Jefferies LLC | Ellenoff Grossman & Schole LLP, Winston & Strawn LLP | $10 | 20,000,000 | $200,000,000 | ||
| 3/2/2020 | S-1 | Allstate Life Insurance Co | Allstate Distributors, L.L.C. | Angela K. Fontana, Vice President, General Counsel and Secretary of Allstate Life | $1 | N/A | $24,317,421 | ||
| 3/3/2020 | S-1 | Roth CH Acquisition I Co | Roth Capital Partners, Craig-Hallum Capital Group | Loeb & Loeb LLP, Graubard Miller | $10 | 7,500,000 | $75,000,000 | ||
| 3/4/2020 | S-1 | Ammo, Inc. | N/A | N/A | various | 16,160,527 | $23,472,862.57 | ||
| 3/5/2020 | S-1 | Tauriga Sciences, Inc. | Tangiers Global, LLC | Rimon Law P.C. | N/A | 76,000,000 | N/A | ||
| 3/6/2020 | S-1 | ProShares Trust II | N/A | Morgan, Lewis & Bockius LLP , Richards, Layton & Finger, P.A | N/A | N/A | $6,854,578,588 | ||
| 3/6/2020 | S-1 | Fortress Value Acquisition Corp. | Bank Securities Inc., Morgan Stanley & Co. LLC and RBC Capital Markets, LLC, | Weil, Gotshal & Manges LLP, New York, Skadden, Arps, Slate, Meagher & Flom LLP, | $10 | 30,000,000 | $300,000,000 | ||
| 3/6/2020 | S-1 | Ayala Pharmaceuticals, Inc. | Citigroup Global Markets Inc. Jefferies LLC | Latham & Watkins LLP, Davis Polk & Wardwell LLP | N/A | N/A | $50,000,000 | ||
| 3/6/2020 | S-1 | Albertsons Companies, Inc. | BofA Securities, Inc., Goldman Sachs & Co. LLC, J.P. Morgan Securities LLC, Citigroup Global Markets Inc. and 14 others | Schulte Roth & Zabel LLP Cahill Gordon & Reindel LLP | N/A | N/A | $200,000,000 | ||
| 3/6/2020 | S-1 | Zentalis Pharmaceuticals, LLC | Morgan Stanley & Co. LLC, Jefferies LLC , SVB Leerink LLC | Latham & Watkins LLP. Cooley LLP | N/A | N/A | $100,000,000 | ||
| 3/6/2020 | S-1 | Lyra Therapeutics, Inc. | BofA Securities, Inc., Jefferies LLC William Blair & Company, L.L.C. | Latham & Watkins LLP, Shearman & Sterling LLP | N/A | N/A | $57,500,000 | ||
| 3/6/2020 | S-1 | WeTrade Group Inc. | N/A | N/A | $3 | 330,337 | $991,011 | ||
| 3/6/2020 | S-1 | CC Neuberger Principal Holdings I | Goldman Sachs & Co. LLC and BofA Securities, Inc. | Kirkland & Ellis LLP, New York, Maples and Calder, Davis Polk & Wardwell LLP | $10 | 30,000,000 | $300,000,000 | ||
| 3/9/2020 | S-1 | Chardan Healthcare Acq 2 Corp. | Chardan Capital Markets, LLC | Loeb & Loeb LLP, Kirkland & Ellis LLP | $10 | 8,500,000 | $85,000,000 | ||
| 3/9/2020 | S-1 | Bemis Company, Inc. Amcor Finance (USA), Inc. |
N/A | Armstrong Teasdale, Ogier (Jersey) LLP, Gilbert + Tobin, Sydney, | N/A | N/A | N/A | ||
| 3/11/2020 | S-1 | Dakota Coin Authority | N/A | N/A | $0.10 | 1,000,000,000 | $100,000,000 | ||
| 3/11/2020 | S-1 | Bionano Genomics, Inc | Oppenheimer & Co. Inc. | Cooley LLP, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., New York | $0.85 | 17,648,000 | $15,000,800 | ||
| 3/11/2020 | S-1 | Blue State Corp. | N/A | Randall Lanham, | $0.02 | 2,700,000 | $54,000 | ||
| 3/11/2020 | S-1 | Boomer Holdings, Inc. | N/A | McCarter & English LLP, | $2.75 | 4,583,752 | $12,605,318 | ||
| 3/12/2020 | S-1 | Stark Focus Group, Inc. | N/A | Lotz & Company of Vancouver | $0.05 | 1,950,830 | $97,514.50 | ||
| 3/12/2020 | S-1 | Tiaa Real Estate Account | N/A | Meredith J. Kornreich, Senior Managing Director, General Counsel, TIAA Financial Solutions, Dechert LLP | N/A | N/A | $5,263,242,230 | ||
| 3/13/2020 | S-1 | Body & Mind Inc. | N/A | McMillan LLP | $0.23 | 173,048 | $39,801 | ||
| 3/13/2020 | S-1 | Brilliant Acquisition Corp | EarlyBirdCapital, Inc | Raiti PLLC, New York, Conyers Dill & Pearman, British Virgin Islands, Grabard Miller, New York | $10 | 4,000,000 | $40,000,000 | ||
| 3/13/2020 | S-1 | Carrier Global Corp | N/A | Ariel David, Esq., Vice President, Legal & Secretary of Carrier | $16.66 | 10,000,000 | $166,642,917 | ||
| 3/13/2020 | S-1 | Cyclacel Pharmaceuticals, Inc. | Roth Capital Partners | Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., New York, Ellenoff Grossman & Schole LLP, New York | N/A | N/A | $20,000,000 | ||
| 3/13/2020 | S-1 | United States Commodity Index Funds Trust | N/A | Richards, Layton & Finger, P.A. Eversheds Sutherland (US) LLP | $1 | 27,700,000 | $277,000,000 | ||
| 3/16/2020 | S-1 | Keros Therapeutics, Inc. | Jefferies LLC, SVB Leerink LLC and Piper Sandler & Co. | Cooley LLP, Boston, Massachusetts, Latham & Watkins LLP | N/A | N/A | $86,250,000 | ||
| 3/17/2020 | S-1 | Teucrium Commodity Trust | N/A | N/A | $13.65 | 10,000,000 | $136,500,000 | ||
| 3/17/2020 | S-1 | Sustainable Opportunities Acquisition Corp. | Citigroup Global Markets Inc | Kirkland & Ellis LLP, New York, Maples and Calder, Davis Polk & Wardwell LLP | $10 | 30,000,000 | $300,000,000 | ||
| 3/18/2020 | S-1 | Deep Green Waste & Recycling, Inc | N/A | McMurdo Law Group, LLC | $0.04 | 27,206,637 | $1,088,265 | ||
| 3/19/2020 | S-1 | 4Less Group, Inc. | N/A | Frederick M. Lehrer, Esquire of Frederick M. Lehrer, P. A | $0.15 | 1,000,000 | $19.47 | ||
| 3/20/2020 | S-1 | Iterum Therapeutics plc | N/A | Wilmer Cutler Pickering Hale and Dorr LLP, | N/A | N/A | $8,400,000 | ||
| 3/20/2020 | S-1 | Marrone Bio Innovations Inc | N/A | Morrison & Foerster LLP of San Francisco, | $0.84 | 152,641,473 | $128,218,837.32 |
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| 3/23/2020 | S-1 | United States Gasoline Fund, LP | N/A | Eversheds Sutherland (US) LLP, | N/A | 64,450,000 | N/A | ||
| 3/24/2020 | S-1 | Simplicity Esports & Gaming Co | N/A | Anthony L.G., PLLC | N/A | 725,000 | $500,000 | ||
| 3/25/2020 | S-1 | Novus Therapeutics, Inc. | N/A | Gibson, Dunn & Crutcher LLP | $0.32 | 7,243,135 | $2,317,804 | ||
| 3/25/2020 | S-1 | Alta Equipment Group Inc. | N/A | Winston & Strawn LLP, New York | various | 27,816,645 | $172,123,869.50 | ||
| 3/27/2020 | S-1 | YIELD10 Bioscience, Inc. | N/A | Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., Boston | various | 2,156,250 | $14,339,062.50 | ||
| 3/27/2020 | S-1 | Precipio, Inc. | Lincoln Park | Sichenzia Ross Ference LLP, New York | N/A | N/A | $1,239,000 | ||
| 3/30/2020 | S-1 | ShiftPixy, Inc. | A.G.P./Alliance Global Partners | Bailey, Stock, Harmon, Cottam, Lopez LLP, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., New York, Zysman, Aharoni, Gayer and Sullivan & Worcester LLP, New York | N/A | N/A | $24,265,000 | ||
| 3/30/2020 | S-1 | GWG Holdings, Inc. | N/A | Mayer Brown LLP | $1,000 | 2,000,000 | $2,000,000,000 | ||
| 3/30/2020 | S-1 | ScoutCam Inc. | N/A | The Crone Law Group, P.C | various | 21,965,325 | $11,250,639 | ||
| 3/30/2020 | S-1 | Nationwide Life Insurance Co | N/A | Nationwide’s Office of General Counsel. | N/A | N/A | $175,675,504 | ||
| 3/30/2020 | S-1 | Equillium, Inc. | Lincoln Park | Cooley LLP, | $2.69 | 5,065,374 | $13,625,856.06 | ||
| 3/31/2020 | S-1 | Harbor Custom Development, Inc. | ThinkEquity, a division of Fordham Financial Management, Inc. | FitzGerald Yap Kreditor LLP, Irvine, Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., New York | N/A | N/A | N/A | ||
| 3/31/2020 | S-1 | VistaGen Therapeutics, Inc. | Lincoln Park | Disclosure Law Group, a Professional Corporation, San Diego | $0.46 | 9,592,607 | $4,412,599.22 | ||
| 3/2/2020 | 1-A | Infuzed Brands Inc. | N/A | Greenberg Traurig LLP and Segev LLP | $0.40 | 106,500,000 | $ 49,700,000 | ||
| 3/2/2020 | 1-A | CCCB Bancorp, Inc. | N/A | Stevens & Lee, P.C. | N/A | 1,665,667 | N/A | ||
| 3/3/2020 | 1-A | Energy & Water Development Corp | N/A | di Santo Law PLLC | $1 | 20,000,000 | $20,000,000 | ||
| 3/3/2020 | 1-A | Legion Works, Inc. | N/A | Trowbridge Sidoti | $0.50 | 57,000,000 | $49,875,000 | ||
| 3/3/2020 | 1-A | Cityzenith Holdings, Inc. | N/A | Carman Lehnhof Israelsen | $1.15 | 17,491,304 | N/A | ||
| 3/5/2020 | 1-A | Concreit Fund I LLC | N/A | Sosnow & Associates, PLLC | $1 | 50,000,000 | $50,000,000 | ||
| 3/5/2020 | 1-A | Zimmerman BioPharma Holding, Inc. | N/A | Jackson L. Morris | $0.18 | 70,000,000 | $12,600,000 | ||
| 3/6/2020 | 1-A | Beyond Wellness Int’l, Inc. | N/A | Peter Berkman, Esq. | $3 | 2,000,000 | $6,000,000 | ||
| 3/9/2020 | 1-A | Zenlabs Holdings Inc | N/A | Austin Legal Group, APC | $1.20 | 17,000,000 | $20,400,000 | ||
| 3/10/2020 | 1-A | Joyner Capital LP | N/A | N/A | $100 | 500,000 | $50,000,000 | ||
| 3/12/2020 | 1-A | T Stamp Inc | SI Securities, LLC | CrowdCheck Law LLP | $7.79 | 718,870 | $ 5,600,000 | ||
| 3/12/2020 | 1-A | Startengine Crowdfunding, Inc. | N/A | CrowdCheck Law LLP | $11.25 | 4,444,444 | $41,000,000 | ||
| 3/13/2020 | 1-A | Collectable Sports Assets, LLC | N/A | Nelson Mullins Riley & Scarborough LLP | $49.90 | 5,778 | $284,000 | ||
| 3/13/2020 | 1-A | Remembrance Group, Inc. | Digital Offering LLC | Bevilacqua PLLC | $10 | 1,200,000 | $12,000,000 | ||
| 3/18/2020 | 1-A | DLP Positive Note Fund LLC | N/A | Levine Garfinkel & Eckersley | N/A | N/A | $50,000 | ||
| 3/18/2020 | 1-A | Investment Grade R.E. Income Fund, LP | N/A | FitzGerald Yap Kreditor LLP | $1,000 | 40,000 | $40,000,000 | ||
| 3/24/2020 | 1-A | Xalles Holdings Inc. | N/A | William R Eilers | $0.5025 | 5,970,149 | $3,000,000 | ||
| 3/30/2020 | 1-A | Clickstream Corporation | N/A | TroyGould PC | $0.02 | 100,000,000 | $2,000,000 | ||
| 3/31/2020 | 1-A | Solutions Vending International, Inc. | N/A | Alliance Legal Partners, Inc. / KF Law | $0.55 | 9,090,909 | $5,000,000 | ||
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