Category Archives: Top underwriters

IPO Underwriters of the Week: July 20 – 24

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 +
NATCORE TECHNOLOGY INC. F-1 Dutchess Opportunity Fund, II, LP LoPresti Law Group, P.C. ~
SHAKE SHACK INC. S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Barclays Capital Inc. / Goldman, Sachs & Co. / Jefferies LLC / William Blair & Company, L.L.C. / Stifel, Nicolaus & Company, Inc.
CITIZENS FINANCIAL GROUP INC/RI S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. ~ ~
VIZIO, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc. Citigroup Global Markets Inc. / BMO Capital Markets Corp. / Piper Jaffray & Co. / Wells Fargo Securities, LLC / Roth Capital Partners, LLC
CITIZENS FINANCIAL GROUP INC/RI S-1 Morgan Stanley & Co. LLC ~ ~
CANNAVEST CORP. S-1 Redwood Management, LLC ~ ~
ANDALAY SOLAR, INC. S-1 Southridge Partners II LP ~ ~
VAN ECK OVERLAND ONLINE FINANCE TRUST N-2 UBS Securities LLC ~ ~
NEW BUSINESS NETHERLANDS N.V. F-1 UBS Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Santander Investment Securities Inc.

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: July 13 – 17

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 +
ARDELYX, INC. S-3 Cantor Fitzgerald & Co. ~ ~
PROVECTUS BIO- PHARMACEUTICALS, INC. S-3 Cantor Fitzgerald & Co. ~ ~
AXALTA COATING SYSTEMS LTD. S-1 Citigroup Global Markets Inc. Goldman, Sachs & Co. Deutsche Bank Securities Inc. / J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. / Credit Suisse Securities (USA) LLC / Jefferies LLC / UBS Securities LLC / Morgan Stanley & Co. LLC / BB&T Capital Markets / Nomura Securities International, Inc. / SMBC Nikko Securities America, Inc. / Academy Securities, Inc.
GORES HOLDINGS, INC. S-1 Deutsche Bank Securities Inc. ~ ~
ELDORADO RESORTS, INC. S-1 J.P. Morgan Securities LLC ~ ~
MEDICAL TRANSCRIPTION BILLING, CORP S-1 Ladenburg Thalmann & Co. Inc. ~ ~
UTAC HOLDINGS LTD. F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC
GREAT WESTERN BANCORP, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc. J.P. Morgan Securities LLC
NUVEEN HIGH INCOME DECEMBER 2018 TARGET TERM FUND N-2 Nuveen Securities, LLC ~ ~
NUVEEN HIGH INCOME DECEMBER 2020 TARGET TERM FUND N-2 Nuveen Securities, LLC ~ ~
NUVEEN HIGH INCOME DECEMBER 2022 TARGET TERM FUND N-2 Nuveen Securities, LLC ~ ~
IFAN FINANCIAL, INC. S-1 SBI Investments, 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: July 6 – 10

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 +
SIGNAL GENETICS, INC. S-3 Cantor Fitzgerald & Co. ~ ~
SUMMIT MATERIALS, INC. S-1 Citigroup Global Markets Inc. Goldman, Sachs & Co. ~
ALBERTSONS COMPANIES, INC. S-1 Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. / Morgan Stanley & Co. LLC / Lazard Frères & Co. LLC
EAGLE POINT CREDIT CO INC. N-2 Incapital LLC ~ ~
OASMIA PHARMACEUTICAL AB F-1 Ladenburg Thalmann & Co. Inc. ~ ~
GENSIGHT BIOLOGICS F-1 Leerink Partners LLC Evercore Group L.L.C. Canaccord Genuity Inc.
KONARED CORP S-1 Lincoln Park Capital Fund LLC ~ ~
HOULIHAN LOKEY, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman, Sachs & Co. UBS Securities LLC / Keefe, Bruyette & Woods, Inc. / Houlihan Lokey Capital, Inc. / Sandler O’Neill & Partners, L.P. / JMP Securities LLC
AIMMUNE THERAPEUTICS, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Credit Suisse Securities (USA) LLC Piper Jaffray & Co.
SRA COMPANIES, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. ~
GLOBAL BLOOD THERAPEUTICS, INC. S-1 Morgan Stanley & Co. LLC Goldman, Sachs & Co. Cowen and Company, LLC / Wedbush Securities Inc.

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: June 29 – July 3 (SEC holiday week)

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 +
NEP GROUP, INC. S-1 Barclays Capital Inc. Morgan Stanley & Co. LLC Jefferies LLC / Macquarie Capital (USA) Inc. / RBC Capital Markets, LLC / Nomura Securities International, Inc. / Stifel, Nicolaus & Company, Inc.
CONIFER HOLDINGS, INC. S-1 BMO Capital Markets Corp. Raymond James & Associates, Inc. ~
BIODELIVERY SCIENCES INTERNATIONAL INC S-3 Cantor Fitzgerald & Co. ~ ~
DBV TECHNOLOGIES S.A. F-1 Citigroup Global Markets Inc. Morgan Stanley & Co. LLC Barclays Capital Inc. / Leerink Partners LLC / H.C. Wainwright & Co.
CURIS INC S-3 Cowen and Company, LLC ~ ~
ATARA BIOTHERAPEUTICS, INC. S-1 Goldman, Sachs & Co. Citigroup Global Markets Inc. Canaccord Genuity Inc. / JMP Securities LLC / SunTrust Robinson Humphrey, Inc.
ZYNERBA PHARMECEUTICALS, INC. S-1 Jefferies LLC Piper Jaffray & Co. Canaccord Genuity Inc. / Oppenheimer & Co. Inc.
NEURODERM LTD. F-1 Jefferies LLC Cowen and Company, LLC ~
UNIVISION HOLDINGS, INC. S-1 Morgan Stanley & Co. LLC Goldman, Sachs & Co. Deutsche Bank Securities Inc.
ANDALAY SOLAR, INC. S-1 Southridge Partners II LP ~ ~
LIBERTY STAR URANIUM & METALS CORP. S-1 Tangiers Investment Group, 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: June 22 – 26

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 +
ATOSSA GENETICS INC S-1 Aspire Capital Fund, LLC ~ ~
FREEPORT-MCMORAN OIL & GAS INC. S-1 Barclays Capital Inc. ~ ~
BENITEC BIOPHARMA LTD/ADR F-1 BMO Capital Markets Corp. Maxim Group LLC Roth Capital Partners, LLC
THERAVANCE BIOPHARMA, INC. S-3 Cantor Fitzgerald & Co. ~ ~
VERACYTE, INC. S-3 Cantor Fitzgerald & Co. ~ ~
ORESSA LTD F-1 Citigroup Global Markets Inc. ~ ~
COMMUNICATIONS SALES & LEASING, INC. S-11 Citigroup Global Markets Inc. ~ ~
SUNRUN INC. S-1 Credit Suisse Securities (USA) LLC Goldman, Sachs & Co. Morgan Stanley & Co. LLC / Merrill Lynch, Pierce, Fenner & Smith  Inc. / RBC Capital Markets, LLC / KeyBanc Capital Markets Inc. / SunTrust Robinson Humphrey, Inc.
AMERICAN FARMLAND CO S-11 Deutsche Bank Securities Inc. Raymond James & Associates, Inc. FBR Capital Markets & Co. / Janney Montgomery Scott LLC
AMPLIFY SNACK BRANDS, INC S-1 Goldman, Sachs & Co. Jefferies LLC Credit Suisse Securities (USA) LLC / SunTrust Robinson Humphrey, Inc. / William Blair & Company, L.L.C. / Piper Jaffray & Co.
INCAPITAL TRUST PRODUCTS II LLC S-3 Incapital LLC ~ ~
LM FUNDING AMERICA, INC. S-1 International Assets Advisory, LLC ~ ~
DIGICEL GROUP LTD F-1 J.P. Morgan Securities LLC UBS Securities LLC Citigroup Global Markets Inc. / Barclays Capital Inc. / Credit Suisse Securities (USA) LLC
PLANET FITNESS, INC. S-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Jefferies LLC / Credit Suisse Securities (USA) LLC / Guggenheim Securities, LLC / Robert W. Baird & Co. Inc. / William Blair & Company, L.L.C. / Piper Jaffray & Co. / Cowen and Company, LLC
GLOBANT S.A. F-1 J.P. Morgan Securities LLC Citigroup Global Markets Inc. Jefferies LLC / William Blair & Company, L.L.C. / Cowen and Company, LLC / LOYAL3 Securities, Inc.
GC AESTHETICS PLC F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc. Cowen and Company, LLC / William Blair & Company, L.L.C.
SANGUI BIOTECH INTERNATIONAL INC S-1 Tarpon Bay Partners, LLC ~ ~
HENNESSY CAPITAL ACQUISITION CORP II S-1 UBS Securities LLC Cantor Fitzgerald & Co. BMO Capital Markets Corp.

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: June 15 – 19

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 +
CHIASMA, INC S-1 Barclays Capital Inc. Cowen and Company, LLC William Blair & Company, L.L.C. / Oppenheimer & Co. Inc.
BIOCARDIA, INC. S-1 Cantor Fitzgerald & Co. Roth Capital Partners, LLC Maxim Group LLC
JM GLOBAL HOLDING CO S-1 Cantor Fitzgerald & Co. ~ ~
OPTEX SYSTEMS HOLDINGS INC S-1 Chardan Capital Markets, LLC ~ ~
BOWIE RESOURCE PARTNERS LP S-1 Citigroup Global Markets Inc. Morgan Stanley & Co. LLC Deutsche Bank Securities Inc. / UBS Securities LLC / Credit Suisse Securities (USA) LLC / Stifel, Nicolaus & Company, Inc. /  Brean Capital, LLC
AEGLEA BIOTHERAPEUTICS, INC. S-1 Cowen and Company, LLC UBS Securities LLC BMO Capital Markets Corp. / Wedbush Securities Inc.
INNOLIGHT TECHNOLOGY CORP F-1 Credit Suisse Securities (USA) LLC Barclays Capital Inc. ~
JUPAI HOLDINGS LTD F-1 Credit Suisse Securities (USA) LLC China Renaissance Securities (Hong Kong) Ltd. ~
OOMA INC S-1 Credit Suisse Securities (USA) LLC Merrill Lynch, Pierce, Fenner & Smith Inc. JMP Securities LLC / William Blair & Company, L.L.C. / Wunderlich Securities, Inc.
PLATFORM SPECIALTY PRODUCTS CORP S-3 Credit Suisse Securities (USA) LLC Barclays Capital Inc. UBS Securities LLC / Citigroup Global Markets Inc.
OLLIE’S BARGAIN OUTLET HOLDINGS, INC. S-1 J.P. Morgan Securities LLC Jefferies LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Credit Suisse Securities (USA) LLC / Piper Jaffray & Co. / KeyBanc Capital Markets Inc. / RBC Capital Markets, LLC
NABRIVA THERAPEUTICS AG F-1 Leerink Partners LLC RBC Capital Markets, LLC Needham & Company, LLC / Wedbush Securities Inc.
WHEELER REAL ESTATE INVESTMENT TRUST, INC. S-4 Maxim Group LLC Compass Point Research & Trading, LLC
CONKWEST, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. Jefferies LLC / Piper Jaffray & Co. / MLV & Co. LLC
POSEIDON CONTAINERS HOLDINGS CORP. F-1 Morgan Stanley & Co. LLC Deutsche Bank Securities Inc. UBS Securities LLC
VTV THERAPEUTICS INC. S-1 Piper Jaffray & Co. Stifel, Nicolaus & Company, Inc. Canaccord Genuity Inc. / Janney Montgomery Scott LLC
RIVERBANC MULTIFAMILY INVESTORS, INC. S-11 Robert W. Baird & Co. Inc. Keefe, Bruyette & Woods, Inc. ~
DELCATH SYSTEMS, INC. S-1 Roth Capital Partners, LLC ~ ~
LIVE OAK BANCSHARES, INC. S-1 Sandler O’Neill & Partners, L.P. Keefe Bruyette & Woods, Inc. SunTrust Robinson Humphrey, Inc.
NEOS THERAPEUTICS, INC. S-1 UBS Securities LLC BMO Capital Markets Corp. RBC Capital Markets, LLC / JMP Securities 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: June 8 – 12

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 +
BOXLIGHT CORP S-1 Aegis Capital Corp. ~ ~
ONCOMED PHARMACEUTICALS INC S-3 Cantor Fitzgerald & Co. ~ ~
ROYAL RESOURCES PARTNERS LP S-1 Credit Suisse Securities (USA) LLC ~ ~
GLOBAL PARTNER ACQUISITION CORP. S-1 Deutsche Bank Securities Inc. ~ ~
BLUE BUFFALO PET PRODUCTS, INC. S-1 J.P. Morgan Securities LLC Citigroup Global Markets Inc. Barclays Capital Inc. / Deutsche Bank Securities Inc. / Morgan Stanley & Co. LLC / Wells Fargo Securities, LLC / LOYAL3 Securities, Inc.
PATHEON HOLDINGS COOPERATIEF U.A. S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Jefferies LLC / UBS Securities LLC
PRONAI THERAPEUTICS INC S-1 Jefferies LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Wedbush Securities Inc. / SunTrust Robinson Humphrey, Inc.
NEW BANCORP, INC. S-1 Keefe, Bruyette & Woods ~ ~
CERECOR INC. S-1 Maxim Group LLC ~ ~
EFACTOR GROUP CORP. S-1 Maxim Group LLC ~ ~
INTEC PHARMA LTD. F-1 Maxim Group LLC Roth Capital Partners, LLC ~
OM ASSET MANAGEMENT PLC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Morgan Stanley & Co. LLC Citigroup Global Markets Inc. / Credit Suisse Securities (USA) LLC
LIGHTBRIDGE CORP S-3 MLV & Co. LLC ~ ~
RAPID7 INC S-1 Morgan Stanley & Co. LLC Barclays Capital Inc. Pacific Crest Securities / William Blair & Company, L.L.C. / Raymond James & Associates, Inc. / Cowen and Company, LLC
AQUA METALS, INC. S-1 National Securities Corporation ~ ~
PIERIS PHARMACEUTICALS, INC. S-1 Oppenheimer & Co. Inc. JMP Securities LLC Trout Capital LLC
CROSS SHORE DISCOVERY FUND N-2 Unified Financial Securities, Inc. ~ ~
FUTURE EDUCATION GROUP INC. S-1 Wellington & Shields Co., LLC ~ ~

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

Have a great week.