U.S. Securities and Exchange Commission

KBRA Assigns Preliminary Ratings to Freddie Mac’s STACR 2021-DNA3

Thursday, April 15, 2021 - 9:15pm

Additional information regarding KBRA policies, methodologies, rating scales and disclosures are available at www.kbra.com .\nKroll Bond Rating Agency, LLC (KBRA) is a full-service credit rating agency registered with the U.S. Securities and Exchange Commission as an NRSRO.

Key Points: 
  • Additional information regarding KBRA policies, methodologies, rating scales and disclosures are available at www.kbra.com .\nKroll Bond Rating Agency, LLC (KBRA) is a full-service credit rating agency registered with the U.S. Securities and Exchange Commission as an NRSRO.
  • Kroll Bond Rating Agency Europe Limited is registered as a CRA with the European Securities and Markets Authority.
  • Kroll Bond Rating Agency UK Limited is registered as a CRA with the UK Financial Conduct Authority pursuant to the Temporary Registration Regime.
  • KBRA is also recognized by the National Association of Insurance Commissioners as a Credit Rating Provider.\nView source version on businesswire.com: https://www.businesswire.com/news/home/20210415006041/en/\n'

SOAC Files Registration Statement on S-4 in Connection with Proposed Combination with DeepGreen Metals, Explorer of the World's Largest Undeveloped Resource of Battery Metals for EVs

Thursday, April 15, 2021 - 1:00pm

DeepGreen is exploring a new, scalable source of battery metals in the form of polymetallic nodules which are found in the Clarion Clipperton Zone of the Pacific Ocean.

Key Points: 
  • DeepGreen is exploring a new, scalable source of battery metals in the form of polymetallic nodules which are found in the Clarion Clipperton Zone of the Pacific Ocean.
  • Once the registration statement has been declared effective by the SEC, the final definitive proxy statement/prospectus will be mailed to shareholders of SOAC prior to its shareholder vote on the proposed transaction.
  • In connection with the proposed Business Combination, SOAC has filed with the U.S. Securities and Exchange Commission\xe2\x80\x99s (\xe2\x80\x9cSEC\xe2\x80\x9d) a Registration Statement on Form S-4, including a preliminary proxy statement/prospectus.
  • SOAC and DeepGreen caution readers not to place undue reliance upon any forward-looking statements, which speak only as of the date made.

Upstart Announces Closing of Follow-on Offering and Full Exercise of the Underwriters’ Option to Purchase Additional Shares

Thursday, April 15, 2021 - 5:59am

b'Upstart Holdings, Inc. (Nasdaq: UPST) announced today the closing of its follow-on offering of its common stock at a price to the public of $120.00 per share, which includes 2,000,000 shares offered and sold by Upstart and the full exercise of the underwriters\xe2\x80\x99 option to purchase an additional 300,000 shares from Upstart.\nUpstart intends to use the net proceeds from this offering for general corporate purposes.\nGoldman Sachs & Co. LLC, BofA Securities and Citigroup acted as lead book-running managers for this offering.

Key Points: 
  • b'Upstart Holdings, Inc. (Nasdaq: UPST) announced today the closing of its follow-on offering of its common stock at a price to the public of $120.00 per share, which includes 2,000,000 shares offered and sold by Upstart and the full exercise of the underwriters\xe2\x80\x99 option to purchase an additional 300,000 shares from Upstart.\nUpstart intends to use the net proceeds from this offering for general corporate purposes.\nGoldman Sachs & Co. LLC, BofA Securities and Citigroup acted as lead book-running managers for this offering.
  • Jefferies and Barclays also acted as book-running managers.
  • JMP Securities and Piper Sandler acted as co-managers for this offering.\nA registration statement relating to this offering was declared effective by the Securities and Exchange Commission on April 8, 2021.
  • This offering was made only by means of a prospectus.

The Rise of Fractionalized Ownership in the Reg A+ World – The Dalmore Group

Wednesday, April 14, 2021 - 4:02pm

b'Business has been booming for The Dalmore Group\xe2\x80\x99s private and public Reg A+ business.

Key Points: 
  • b'Business has been booming for The Dalmore Group\xe2\x80\x99s private and public Reg A+ business.
  • Several clients have already raised their full goal amounts, and some are now publicly traded and listed in the US and Canada.
  • That\xe2\x80\x99s the world of fractionalized ownership in assets that has been unlocked by Reg A+ investing.
  • And, along with that opportunity, Dalmore has also helped Series Issuers build secondary trading solutions for their investors.

RumbleOn, Inc. Closes $39.86 Million Public Offering of Class B Common Stock

Tuesday, April 13, 2021 - 9:05pm

Riley Securities acted as sole book-running manager for the offering.

Key Points: 
  • Riley Securities acted as sole book-running manager for the offering.
  • Akerman LLP served as legal counsel to RumbleOn and Nelson Mullins Riley & Scarborough LLP served as legal counsel to the underwriters.\nA shelf registration statement relating to the shares of Class B Common Stock offered was filed with the U.S. Securities and Exchange Commission (SEC) on Form S-3 (Reg.
  • 333-234340) and was declared effective by the SEC on October 31, 2019 and a registration statement on Form S-3MEF (Reg.
  • The prospectus supplement relating to this offering is dated April 8, 2021.

Astrotech Announces Closing of $37.3 Million Bought Deal Offering of Common Stock and Full Exercise of Option to Purchase Additional Shares

Monday, April 12, 2021 - 10:07pm

The gross proceeds to the Company from the offering were approximately $37.3 million, before deducting underwriting discounts and commissions and offering expenses payable by Astrotech.\nH.C.

Key Points: 
  • The gross proceeds to the Company from the offering were approximately $37.3 million, before deducting underwriting discounts and commissions and offering expenses payable by Astrotech.\nH.C.
  • 333-253835) filed with the Securities and Exchange Commission (SEC) and declared effective on March 15, 2021 and the accompanying prospectus contained therein.
  • The offering of the securities was made only by means of a prospectus, including a prospectus supplement, forming a part of the effective registration statement.
  • The Company assumes no obligation to update these forward-looking statements.\nView source version on businesswire.com: https://www.businesswire.com/news/home/20210412005951/en/\n'

Peter D. Goldstein Named Chief Legal Officer & David M. Goldman Named General Counsel 

Monday, April 12, 2021 - 9:23pm

Peter had most recently been the General Counsel and Chief Compliance Officer at Buckingham Capital Management since December 2011 after a seven-year stint as the Director of Regulatory Affairs at GAMCO.

Key Points: 
  • Peter had most recently been the General Counsel and Chief Compliance Officer at Buckingham Capital Management since December 2011 after a seven-year stint as the Director of Regulatory Affairs at GAMCO.
  • Earlier in his career, Peter was a litigation partner with Dorsey & Whitney in New York.
  • He subsequently joined the Securities & Exchange Commission where he was a Branch Chief in the Enforcement Division.
  • Peter was the Associate General Counsel of GAMCO Investors, Inc. from 1997 through 2000 before joining Goldman Sachs in late 2000.

GMS Announces Proposed Senior Notes Offering

Monday, April 12, 2021 - 1:39pm

b'GYP Holdings III Corp. (the \xe2\x80\x9cCompany\xe2\x80\x9d), an indirect wholly-owned subsidiary of GMS Inc. (NYSE: GMS) (\xe2\x80\x9cGMS\xe2\x80\x9d), announced today that it launched an offering to sell $300.0 million aggregate principal amount of its senior notes due 2029 (the \xe2\x80\x9cSenior Notes\xe2\x80\x9d) in a private offering in reliance upon an exemption from the registration requirements of the Securities Act of 1933, as amended (the \xe2\x80\x9cSecurities Act\xe2\x80\x9d), subject to market and other conditions.\nThe Senior Notes will be senior unsecured obligations of the Company.

Key Points: 
  • b'GYP Holdings III Corp. (the \xe2\x80\x9cCompany\xe2\x80\x9d), an indirect wholly-owned subsidiary of GMS Inc. (NYSE: GMS) (\xe2\x80\x9cGMS\xe2\x80\x9d), announced today that it launched an offering to sell $300.0 million aggregate principal amount of its senior notes due 2029 (the \xe2\x80\x9cSenior Notes\xe2\x80\x9d) in a private offering in reliance upon an exemption from the registration requirements of the Securities Act of 1933, as amended (the \xe2\x80\x9cSecurities Act\xe2\x80\x9d), subject to market and other conditions.\nThe Senior Notes will be senior unsecured obligations of the Company.
  • These risks and uncertainties include, but are not limited to, market conditions affecting the offering.
  • Undue reliance should not be placed on such forward-looking statements, as such statements speak only as of the date on which they are made and neither GMS nor the Company undertakes any obligation to update such statements, except as required by law.
  • Additional information regarding these and other risks is contained in GMS\xe2\x80\x99s filings with the Securities and Exchange Commission.\nView source version on businesswire.com: https://www.businesswire.com/news/home/20210412005547/en/\n'

Esports Technologies, Inc. Announces Pricing of Initial Public Offering

Thursday, April 15, 2021 - 1:32am

In addition, a copy of the final prospectus, when available, relating to the offering may be obtained via the SEC\'s website at www.sec.gov .\nA registration statement relating to these securities was filed with the Securities and Exchange Commission and was declared effective on April 14, 2021.

Key Points: 
  • In addition, a copy of the final prospectus, when available, relating to the offering may be obtained via the SEC\'s website at www.sec.gov .\nA registration statement relating to these securities was filed with the Securities and Exchange Commission and was declared effective on April 14, 2021.
  • We operate a licensed online gambling platform, gogawi.com, which is an esports/sportsbook focused on bettors located in Asia and Latin America.
  • We offer real money betting on esports events from around the world in a secure environment.
  • These statements include, but are not limited to, statements relating to the expected trading commencement and closing dates.

Lizhi Inc. Announces Closing Of $30.0 Million Registered Direct Offering

Tuesday, April 13, 2021 - 9:15pm

: 333-254782) which was originally filed with the U.S. Securities and Exchange Commission (the "SEC") onMarch 26, 2021and declared effective onApril 2, 2021.

Key Points: 
  • : 333-254782) which was originally filed with the U.S. Securities and Exchange Commission (the "SEC") onMarch 26, 2021and declared effective onApril 2, 2021.
  • The offering was made only by means of a prospectus, including a prospectus supplement, forming a part of the effective registration statement.
  • A prospectus supplement and the accompanying prospectus relating to the offering were filed with the SEC and available on the SEC\'s website at http://www.sec.gov .
  • LIZHI envisions a global audio ecosystem a place where everyone can be connected through voices and across cultures.