Financing/IPO Transactions – March 2020

By |
EDT

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
 
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

 

Share via
Copy link
Powered by Social Snap