On October 15, 2021, Lightning eMotors was sued for violations of the federal securities laws in the District of Colorado on behalf of investors who purchased securities of Lightning eMotors, Inc between May 7, 2021 and August 16, 2021. On May 6, 2021, the merger between the Company (f/k/a GigCapital3) and Lightning Systems was completed with the Company changing its name GigCapital3, Inc. to Lightning eMotors, Inc.

On October 14, 2021, InnovAge Holding was sued for violations of the federal securities laws in the District of Colorado on behalf of investors who purchased shares issued in connection with the Company’s March 2021 initial public offering (“IPO”). In March 2021, InnovAge completed its IPO, selling approximately 18,995,901 shares of common stock at a price of $21.00 per share. On September 21, 2021, after the market closed, InnovAge revealed that the Centers for Medicare and Medicaid Services (“CMS”) had “determined to freeze new enrollments at [the Company’s] Sacramento center based on deficiencies detected in [a recent] audit.” It stated that these “deficiencies relate to failures to provide covered services, provide accessible and adequate services, manage participants’ medical situations, and oversee use of specialists, among others.”

On October 12, 2021, Goldman Sachs Group and Morgan Stanley were sued for violations of the federal securities laws in the Southern District of New York on behalf of investors who purchased or otherwise acquired Vipshop Holdings Ltd. shares (NYSE: VIPS) contemporaneously with Defendants’ unlawful trades from March 22, 2021 through and including March 29, 2021.

On October 6, 2021, Bristol-Myers Squibb Motors was sued for violations of the federal securities laws in the Southern District of New York on behalf of investors who received Contingent Value Rights (“CVRs”) (NYSE: BMY.RT) in exchange for their shares of Celgene Corporation (NASDAQ: CELG) pursuant to BMS’ acquisition of Celgene on November 20, 2019.

On October 05, 2021, Nano-X Imaging was sued for violations of the federal securities laws in the Eastern District of New York on behalf of investors who purchased the Company’s securities between June 17, 2021 and August 18, 2021.

On September 30, 2021, Hyzon Motors was sued for violations of the federal securities laws in the Western District of New York on behalf of investors who purchased the Company’s securities between February 9, 2021 and September 27, 2021. On July 16, 2021, the merger between the Company and Decarbonization Plus Acquisition Corporation was completed with Decarbonization changing its name to Hyzon Motors Inc., and on July 19, 2021, Hyzon common stock began trading under the ticker symbol “HYZN” and Hyzon warrants began trading under the ticker symbol “HYZNW.” Before the merger, Hyzon Motors securities traded under the ticker symbols “DCRBU” for Units, “DCRB” for common stock, and “DCRBW” for warrants.

On September 24, 2021, AppHarvest was sued for violations of the federal securities laws in the Southern District of New York on behalf of investors who purchased the Company’s securities between May 17, 2021 and August 10, 2021. On August 11, 2021, the Company announced its 2Q 2021 financial results, disclosing a $32.0 million net loss and lowered its full year sales guidance to $7M to $9M, from a prior range of $20M to $25M, due to “operational headwinds with the ramp up to full production at the company’s first CEA facility, including labor and productivity challenges related to the training and development of the new workforce and historically low market prices for tomatoes.”

On September 24, 2021, PolarityTE was sued for violations of the federal securities laws in the District of Utah on behalf of investors who purchased the Company’s securities between April 30, 2020 and August 23, 2021. On August 24, 2021, the Company disclosed that the Drug Application for its product, SkinTE, had been placed on hold by the U.S. Food and Drug Administration because certain Chemistry, Manufacturing, and Control items needed to be addressed prior to proceeding with a pivotal study.

This action stems from a proposed transaction announced on January 4, 2021, pursuant to which Boston Private Financial Holdings, Inc. would merge into SVB Financial Group, Inc. ("SVB"), with SVB continuing as the surviving corporate entity.

On April 9, 2021, the Company filed its initial registration statement on Form S-1 with the SEC, which forms part of the Registration Statement. On April 26, 2021, the Company filed its final amendment to the Registration Statement with the SEC on Form S-1/A, which forms part of the Registration Statement. The Registration Statement was declared effective on May 4, 2021. On May 6, 2021, the Company filed its prospectus on Form 424B4 with the SEC, which forms part of the Registration Statement. In the IPO, the Company sold 6,451,613 shares of common stock, plus an additional 3,871,050 shares of common stock pursuant to the underwriter’s option to purchase additional shares at a price of $16.00 per share.

On September 14, 2021, The Boston Beer Company was sued for violations of the federal securities laws in the Southern District of New York on behalf of investors who purchased shares during the Class Period between April 22, 2021 and September 8, 2021. On July 22, 2021, post-market, the Company disclosed a reduced full year 2021 guidance, from a prior range of earnings per share of between $22 and $26 to between $18 and $22 due to softer-than-expected sales in the hard seltzer category and overall beer industry and also that it had “overestimated the growth of the hard seltzer category in the second quarter.” On September 8, 2021, post-market, the Company withdrew its 2021 financial guidance due decelerating sales of hard seltzer products, and also stated that it “expects to incur hard seltzer-related inventory write-offs, shortfall fees payable to 3rd party brewers, and other costs” for the remainder of fiscal 2021. On this news, the Company’s share price fell $21.09, or 3.7%, to close at $538.31 per share on September 9, 2021, on unusually heavy trading volume. Then, on September 8, 2021, post-market, the Company withdrew its 2021 financial guidance due decelerating sales of hard seltzer products, and also stated that it “expects to incur hard seltzer-related inventory write-offs, shortfall fees payable to 3rd party brewers, and other costs” for the remainder of fiscal 2021. On this news, the Company’s share price fell $21.09, or 3.7%, to close at $538.31 per share on September 9, 2021, on unusually heavy trading volume.

On September 14, 2021, Waterdrop was sued for violations of the federal securities laws in the Southern District of New York on behalf of investors who purchased the Company’s American Depository Shares (“ADS”) issued in connection with its May 2021 initial public stock offering (the “IPO”). On September 8, 2021, the Company disclosed operating losses for the quarter ended June 30, 2021 totaling RMB815.4 million (US$126.3 million), compared with an operating profit of RMB7.2 million for the same period of 2020 due to the Company’s operating costs and expenses during the quarter increasing by RMB1,081.1 million, or 160.5% year over year, to RMB1,754.7 million (US$271.8 million) from RMB673.6 million for the same period of 2020.

On September 13, 2021, Longeveron was sued for violations of the federal securities laws in the Southern District of Florida on behalf of investors who purchased the Company’s American Depository Shares (“ADS”) issued in connection with its February 2021 initial public stock offering (the “IPO”). On or about February 12, 2021, pursuant to its IPO Registration Statement, Longeveron's Class A common stock began trading on the Nasdaq Capital Market ("NASDAQ").

On September 03, 2021, loanDepot, Inc. was sued for violations of the federal securities laws in the Central District Court of California on behalf of investors who purchased shares pursuant or traceable to the Company’s Registration Statement and Prospectus (together, the “Offering Documents”) issued in connection with the Company’s February 16, 2021 initial public offering (“IPO”). By August 17, 2021, loanDepot’s stock had declined 42% from its IPO after it disclosed disappointing Q2 2021 results and provided significantly lower guidance for its business.

On August 31, 2021, Contango was sued for violations of the federal securities laws in the District Court of Nevada as a result of a proposed transaction announced on June 8, 2021, pursuant to which Contango Oil & Gas Company will combine with Independence Energy LLC “(the Parties”) in an all-stock transaction.  On June 7, 2021, the parties entered into a Transaction Agreement (the “Transaction Agreement”), pursuant to which each share of Contango common stock will be converted into the right to receive 0.2 of a share of the new publicly-traded holding company, New PubCo. (the “Transaction Consideration”). Upon consummation of the Proposed Transaction, former owners of Parent will own approximately 75% of OpCo, 100% of the total outstanding NewPubCo Class B common stock and approximately 75% of the total outstanding New PubCo Class A common stock and NewPubCo Class B common stock taken together.

On August 31, 2021, Spectrum Pharmaceuticals was sued for violations of the federal securities laws in the District Court of Nevada on behalf of investors who purchased shares during the Class Period between December 27, 2018 and August 5, 2021. On August 6, 2021, Spectrum announced receipt of a Complete Response Letter (“CRL”) from the FDA regarding the Biologics License Application for its drug treatment, ROLONTIS. The CRL cited deficiencies related to manufacturing and indicated that a reinspection of the Company’s manufacturing facility will be necessary.

On August 27, 2021, Katapult Holdings, Inc., f/k/a FinServ Acquisition Corp. was sued for violations of the federal securities laws in the Southern District Court of New York on behalf of investors who purchased securities during the Class Period between December 18, 2020 and August 10, 2021. On August 10, 2021, Katapult disclosed poor financial results for the second quarter of 2021, eliminated its prior financial guidance, and revealed that it lacked visibility into its consumers buying behaviors.

On August 27, 2021, HyreCar Inc. was sued for violations of the federal securities laws in the Central District Court of California on behalf of investors who purchased securities during the Class Period between May 14, 2021 and August 10, 2021. On August 10, 2021, the Company disclosed deeply disappointing results for the quarterly period ended June 30, 2021, including net losses of $9.3 million compared to losses of $3.8 million in the same period the prior year.

On August 27, 2021, Cassava Sciences was sued for violations of the federal securities laws in the Western District Court of Texas on behalf of investors who purchased shares during the Class Period between February 2, 2021 and August 24, 2021. On August 24, 2021 it was disclosed that the U.S. Food and Drug Administration (“FDA”) had received a so-called Citizen Petition commencing an administrative action to “halt two ongoing trials of the drug Simufilam [the Company’s lead therapeutic product candidate]. . . pending a thorough audit by the FDA.” A subsequent complaint expanded the Class Period to between September 14, 2020 and August 27, 2021.

Generac Holdings Inc. purports to be a leading global designer and manufacturer of a wide range of energy technology solutions, which provides power generation equipment and other power products serving the residential, light commercial and industrial markets.