Category Archives: Top underwriters

IPO Underwriters of the Week: May 18 – 22

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
GREEN PLAINS PARTNERS LP S-1 Barclays Capital Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. ~
ADAMAS PHARMACEUTICALS INC S-3 Cantor Fitzgerald & Co. ~ ~
GENER8 MARITIME, INC. S-1 Citigroup Global Markets Inc. UBS Securities LLC. ~
STORE CAPITAL CORP S-11 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC Morgan Stanley & Co. LLC
ALARM.COM HOLDINGS, INC. S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Stifel, Nicolaus & Company, Inc. / Raymond James & Associates, Inc. / William Blair & Company, LLC / Imperial Capital, LLC
CONFORMIS INC S-1 J.P. Morgan Securities LLC Deutsche Bank Securities Inc. Wells Fargo Securities, LLC / Canaccord Genuity Inc.
INTERSECT ENT, INC. S-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Leerink Partners LLC / Canaccord Genuity Inc. / William Blair & Company, L.L.C.
NEVRO CORP S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Leerink Partners LLC / JMP Securities LLC
XACTLY CORP S-1 J.P. Morgan Securities LLC Deutsche Bank Securities Inc. UBS Securities LLC / Needham & Company LLC / Oppenheimer & Co. Inc.
DAVE & BUSTER’S ENTERTAINMENT, INC. S-1 Jefferies LLC Piper Jaffray & Co. ~
RICH PHARMACEUTICALS, INC. S-1 LG Capital Funding, LLC ~ ~
HUBILU VENTURE CORP S-1 Mark Salter (Selling Security Holder) ~ ~
VWR CORP S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman, Sachs & Co. J.P. Morgan Securities LLC
BICAPITAL CORP F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. J.P. Morgan Securities LLC
OCULAR THERAPEUTIX, INC S-1 Morgan Stanley & Co. LLC Cowen and Company, LLC RBC Capital Markets, LLC
CATALENT, INC. S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC ~
APPFOLIO INC S-1 Morgan Stanley & Co. LLC Credit Suisse Securities (USA) LLC Pacific Crest Securities / William Blair & Company, L.L.C.
CELYAD S.A. F-1 UBS Securities LLC Piper Jaffray & Co. ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors. Have a great week.

IPO Underwriters of the Week: May 11 – 15

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

700_email-banner_i-ratesConfidential and uncomplicated for M&A. Click here.

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
EMPIRE PETROLEUM PARTNERS, LP S-1 Barclays Capital Inc. Wells Fargo Securities, LLC ~
E-COMPASS ACQUISITION CORP. S-1 Cantor Fitzgerald & Co. ~ ~
SINO MERCURY ACQUISITION CORP. S-4 Cantor Fitzgerald & Co. ~ ~
VITAL THERAPIES INC S-3 Cantor Fitzgerald & Co. ~ ~
CATABASIS PHARMACEUTICALS INC S-1 Citigroup Global Markets Inc. Cowen and Company, LLC Oppenheimer & Co. Inc. / Wedbush Securities Inc.
NIVALIS THERAPEUTICS, INC. S-1 Cowen and Company, LLC Stifel, Nicolaus & Company, Inc. Robert W. Baird & Co. Inc. / H.C. Wainwright & Co., LLC
OCERA THERAPEUTICS, INC. S-3 Cowen and Company, LLC ~ ~
CORINDUS VASCULAR ROBOTICS, INC. S-1 Cowen and Company, LLC Stifel, Nicolaus & Company, Inc. ~
LOANCORE REALTY TRUST, INC. S-11 Deutsche Bank Securities Inc. J.P. Morgan Securities LLC Morgan Stanley & Co. LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Jefferies LLC
GABELLI SECURITIES GROUP, INC. 10-12B G.research, Inc. ~ ~
ULURU INC. S-1 Inter-Mountain Capital Corp. ~ ~
GLAUKOS CORP S-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner and Smith Inc. Goldman, Sachs & Co. / William Blair & Company, L.L.C. / Cantor Fitzgerald & Co.
AXOVANT SCIENCES LTD. S-1 Jefferies LLC Evercore Group, L.L.C. RBC Capital Markets, LLC / JMP Securities LLC / Robert W. Baird & Co. Inc.
MARKIT LTD. F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Barclays Capital Inc. Citigroup Global Markets Inc./ Credit Suisse Securities (USA) LLC / Deutsche Bank Securities Inc. / Goldman, Sachs & Co. / HSBC Securities (USA) Inc. / J.P. Morgan Securities LLC / Morgan Stanley & Co. LLC / UBS Securities LLC / BNP Paribas Securities Cor
LANDMARK APARTMENT TRUST, INC. S-11 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. ~
MINDBODY, INC. S-1 Morgan Stanley & Co. LLC Credit Suisse Securities (USA) LLC UBS Securities LLC / Pacific Crest Securities, a division of KeyBanc Capital Markets Inc. / JMP Securities LLC
AMYRIS, INC. S-3 Nomis Bay Ltd. ~ ~
WORLD MEDIA & TECHNOLOGY CORP. S-1 Power Clouds Inc. ~ ~
BIOTIE THERAPIES CORP. F-1 RBC Capital Markets, LLC Stifel, Nicolaus & Company, Inc. JMP Securities LLC / Roth Capital Partners, LLC
AIM EXPLORATION INC. S-1 Southridge Partners II, LP ~ ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors. Have a great week.

IPO Underwriters of the Week: May 4 – 8

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

700_email-banner_i-ratesConfidential and uncomplicated for M&A. Click here.

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.Have a great week.

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
OVERSEAS SHIPHOLDING GROUP INC S-1 Goldman, Sachs & Co. Jefferies LLC ~
GWG LIFE, LLC S-1 Halen Capital Management, Inc. Axiom Capital Management, Inc. ~
EVOLENT HEALTH, INC. S-1 J.P. Morgan Securities LLC Goldman, Sachs & Co. ~
ECPM HOLDINGS, LLC S-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. William Blair & Company, L.L.C. / Stifel, Nicolaus & Company, Inc.
TERRAFORM GLOBAL, INC. S-1 J.P. Morgan Securities LLC Barclays Capital Inc. Citigroup Global Markets Inc. / Morgan Stanley & Co. LLC
AVEO PHARMACEUTICALS INC S-3 MLV & Co. LLC ~ ~
FITBIT INC S-1 Morgan Stanley & Co. LLC Deutsche Bank Securities Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. / SunTrust Robinson Humphrey, Inc. / Piper Jaffray & Co. / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc. / William Blair & Company, L.L.C.
WINGSTOP INC. S-1 Morgan Stanley & Co. LLC Jefferies LLC Robert W. Baird & Co. Inc. / Goldman, Sachs & Co. / Barclays Capital Inc. / Wells Fargo Securities, LLC
TERRAFORM POWER, INC. S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC Barclays Capital Inc.

IPO Underwriters of the Week: April 27 – May 1 / plus Virtual Data Room video

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.


Confidential and uncomplicated for M&A. Click here.

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
ALION SCIENCE & TECHNOLOGY CORP S-1 Credit Suisse Securities (USA) LLC Jefferies LLC Wells Fargo Securities, LLC
VOYA INSURANCE & ANNUITY CO S-3 Directed Services LLC ~ ~
PACIFIC DATAVISION, INC. S-1 FBR Capital Markets & Co. ~ ~
ADEPTUS HEALTH INC. S-1 Goldman, Sachs & Co. ~ ~
INC RESEARCH HOLDINGS, INC. S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC Jefferies LLC
AFFIMED N.V. F-1 Jefferies LLC Leerink Partners LLC BMO Capital Markets Corp.
NUVEEN HIGH INCOME 2020 TARGET TERM FUND N-2 Nuveen Securities, LLC ~ ~
MCBC HOLDINGS, INC. S-1 Robert W. Baird & Co. Inc. Raymond James & Associates, Inc. Wells Fargo Securities, LLC
VOYA RETIREMENT INSURANCE & ANNUITY CO S-3 Voya Financial Partners, LLC ~ ~
VOYA INSURANCE & ANNUITY CO S-3 Voya Financial, Inc. ~ ~
VOYA RETIREMENT INSURANCE & ANNUITY CO S-3 Voya Financial, Inc. ~ ~
VOYA PRIME RATE TRUST N-2 Voya Investments Distributor, LLC ~ ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.
Have a great week.

IPO Underwriters of the Week: April 20 – 24 / plus video: M&A experts panel

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
AXA EQUITABLE LIFE INSURANCE CO S-3 AXA Advisors, LLC AXA Distributors, LLC ~
NEPHROGENEX, INC. S-1 Canaccord Genuity Inc. JMP Securities LLC ~
ELECTRUM SPECIAL ACQUISITION CORP S-1 Cantor Fitzgerald & Co. ~ ~
WHEELER REAL ESTATE INVESTMENT TRUST, INC. S-3 Compass Point Research & Trading, LLC ~ ~
ALDEYRA THERAPEUTICS, INC. S-1 Cowen and Company, LLC Canaccord Genuity Inc. Janney Montgomery Scott LLC / Laidlaw & Company (UK) Ltd.
PAVMED INC. S-1 CRT Capital Group LLC ~ ~
PEOPLE’S UTAH BANCORP S-1 D.A. Davidson & Co. Sandler O’Neill & Partners, L.P. FIG Partners, LLC
VOYA RETIREMENT INSURANCE & ANNUITY CO S-3 Directed Services LLC ~ ~
UNION SECURITY INSURANCE CO S-1 Hartford Securities Distribution, Inc. ~ ~
UNION SECURITY LIFE INSURANCE CO OF NEW YORK S-1 Hartford Securities Distribution, Inc. ~ ~
FOGO DE CHAO, INC. S-1 Jefferies LLC J.P. Morgan Securities LLC Credit Suisse Securities (USA) LLC / Deutsche Bank Securities Inc. / Piper Jaffray & Co. / Wells Fargo Securities, LLC
AURIS MEDICAL HOLDING AG F-1 Leerink Partners LLC JMP Securities LLC Needham & Company, LLC
VISUALANT INC S-1 Maxim Group LLC The Benchmark Company LLC ~
PERSEON CORP S-1 Maxim Group LLC ~ ~
GPM PETROLEUM LP S-1 Raymond James & Associates, Inc. ~ ~
VOYA PRIME RATE TRUST N-2 Voya Investments Distributor, LLC ~ ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.

Have a great week

IPO Underwriters of the Week: April 13 – 17 / plus video: M&A expert panel answer 12 questions

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
LINCOLN BENEFIT LIFE CO S-1 Allstate Distributors, L.L.C ALFS, Inc. ~
BACTERIN INTERNATIONAL HOLDINGS, INC. S-1 Aspire Capital Fund, LLC `
PFENEX INC. S-1 Barclays Capital Inc. Evercore Group L.L.C. William Blair & Company, L.L.C
LIGHTBEAM ELECTRIC CO S-1 BMO Capital Markets Corp. Macquarie Capital (USA) Inc. RBC Capital Markets, LLC / Roth Capital Partners, LLC
GP INVESTMENTS ACQUISITION CORP. S-1 Citigroup Global Markets Inc. ~ ~
FANTEX, INC. S-1 Fantex Brokerage Services, LLC ~ ~
FRESHPET, INC. S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC ~
BAOZUN INC. F-1 Morgan Stanley & Co. International plc Credit Suisse Securities (USA) LLC Merrill Lynch, Pierce, Fenner & Smith Inc.
GALAPAGOS NV F-1 Morgan Stanley & Co. LLC Credit Suisse Securities (USA) LLC Cowen and Company, LLC / Nomura Securities International, Inc. / Bryan, Garnier & Co.
SHOPIFY INC. F-1 Morgan Stanley & Co. LLC Credit Suisse Securities (USA) LLC RBC Dominion Securities Inc. / Pacific Crest Securities, a division of KeyBanc Capital Markets Inc. / Raymond James & Associates, Inc. / Canaccord Genuity Inc.
INVUITY, INC. S-1 Piper Jaffray & Co. Leerink Partners LLC Stifel, Nicolaus & Company, Inc. / William Blair & Company, L.L.C.

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.

Have a great week.

IPO Underwriters of the Week: April 6 – 10 / plus M&A webinar invitation

Congratulations to the corporations and underwriters that worked with our transaction services team. Whether in-house, your-house or 100% virtual… click here to discover why we are the intelligent value for both traditional and confidential IPOs.

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Registants Form Underwriter 1 Underwriter 2 Underwriter 3 +
PGA HOLDINGS, INC. S-1 Barclays Capital Inc. Goldman, Sachs & Co. William Blair & Company, L.L.C. / Wells Fargo Securities, LLC
FENIX PARTS, INC. S-1 BMO Capital Markets Corp. Stifel, Nicolaus & Company, Inc.
ENTERGY NEW ORLEANS INC S-3 Citigroup Global Markets Inc. ~ ~
ACHAOGEN INC S-3 Cowen and Company, LLC ~ ~
BIOPHARMX CORP S-1 CRT Capital Group LLC Feltl and Company Newport Coast Securities, Inc.
GAMCO INVESTORS, INC. S-3 G.distributors, LLC ~ ~
ATYR PHARMA INC S-1 J.P. Morgan Securities LLC Citigroup Global Markets Inc. BMO Capital Markets Corp. / William Blair & Company, L.L.C.
SAGE THERAPEUTICS, INC. S-1 J.P. Morgan Securities LLC Goldman, Sachs & Co. Leerink Partners LLC / Cowen & Company
IMMUNE DESIGN CORP. S-1 Jefferies LLC Leerink Partners LLC Cowen and Company, LLC / Wells Fargo Securities, LLC
CLEVELAND BIOLABS INC S-1 Ladenburg Thalmann & Co. Inc. ~ ~
DELMAR PHARMACEUTICALS INC. S-1 Maxim Group LLC Roth Capital Partners, LLC ~
AVONDALE ACQUISITION CORP. S-1 Maxim Group LLC Ladenburg Thalmann & Co. Inc. ~
ADAPTIMMUNE THERAPEUTICS PLC F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Cowen and Company, LLC. Leerink Partners LLC / Guggenheim Securities, LLC
BOJANGLES’, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Wells Fargo Securities, LLC Jefferies LLC / Barclays Capital Inc. / Goldman, Sachs & Co. / Piper Jaffray & Co. / William Blair & Company, L.L.C. / KeyBanc Capital Markets Inc. / RBC Capital Markets, LLC
CORMEDIX INC. S-3 MLV & Co. LLC ~ `
TRIBUNE MEDIA CO S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC Goldman, Sachs & Co. / Deutsche Bank Securities Inc.
INNOCOLL AG F-1 Piper Jaffray & Co. ~ ~
SEEN ON SCREEN TV INC. S-1 Premier Venture Partners, LLC ~ ~
SCYNEXIS INC S-1 RBC Capital Markets, LLC Canaccord Genuity Inc. JMP Securities LLC / Needham & Company, LLC
OXFORD CITY FOOTBALL CLUB, INC. S-1 Tarpon Bay Partners, LLC ~ ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors.

Have a great week.