Category Archives: Top underwriters

IPO Underwriters of the Week: December 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.

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
INTELLICHECK MOBILISA, INC. S-1 Aegis Capital Corp. - -
NAC GLOBAL TECHNOLOGIES, INC. S-1 Alexander Capital, L.P.
RESOURCE CREDIT INCOME FUND N-2 ALPS Distributors, Inc. - -
SUMMIT MATERIALS, INC. S-1 Citigroup Global Markets Inc. Goldman, Sachs & Co. Barclays Capital Inc. / Deutsche Bank Securities Inc. / Merrill Lynch, Pierce, Fenner & Smith Inc. / RBC Capital Markets, LLC / Blackstone Advisory Partners L.P. / BB&T Capital Markets / Stephens Inc. / Sterne, Agee & Leach, Inc. / Stifel, Nicolaus & Company, Inc.
NEW MEDIA INVESTMENT GROUP INC. S-1 Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC -
YULONG ECO-MATERIALS LTD S-1 Cuttone & Co., Inc. Axiom Capital Management, Inc. -
AMP HOLDING INC. S-1 Dawson James Securities, Inc. - -
REVERSE MORTGAGE INVESTMENT TRUST INC. S-11 FBR Capital Markets & Co. - -
AVALANCHE BIOTECHNOLOGIES, INC. S-1 Jefferies LLC Cowen and Company LLC Piper Jaffray & Co. / William Blair & Company, LLC
ASANTE SOLUTIONS, INC. S-1 Leerink Partners LLC Cowen and Company, LLC Wells Fargo Securities, LLC / Oppenheimer & Co., Inc.
BNY MELLON
ALCENTRA MULTI-
STRATEGY CREDIT FUND, INC.
N-2 MBSC Securities Corporation - -
INFRAREIT, INC. S-11 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. RBC Capital Markets, LLC / Morgan Stanley & Co. LLC
ASCENDIS PHARMA A/S F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Leerink Partners LLC Wells Fargo Securities, LLC
METROPOLITAN LIFE INSURANCE CO S-3 MetLife Investors Distribution Company - -
ROCK CREEK PHARMACEUTICALS, INC. S-3 MLV & Co. LLC - -
NEOPHOTONICS CORP S-1 Needham & Company, LLC Craig-Hallum Capital Group LLC -
PATRIOT NATIONAL, INC. S-1 UBS Securities LLC BMO Capital Markets Corp. SunTrust Robinson Humphrey, 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: December 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 +
ITUS CORP S-1 Adaptive Capital LLC ~ ~
TERRAFORM POWER, INC. S-1 Barclays Capital Inc. Goldman, Sachs & Co. Morgan Stanley & Co. LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Macquarie Capital (USA) Inc.
FINTECH ACQUISITION CORP S-1 Cantor Fitzgerald & Co. ~ ~
ABENGOA YIELD PLC F-1 Citigroup Global Markets Inc. ~ ~
SUNEDISON SEMICONDUCTOR LTD S-1 Deutsche Bank Securities Inc. ~ ~
CCH I, LLC S-4 Goldman, Sachs & Co. ~ ~
CHEMICAL FINANCIAL CORP S-4 Monarch Community, Bancorp, Inc. ~ ~
IMMUNOCELLULAR THERAPEUTICS, LTD. S-1 Roth Capital Partners, LLC ~ ~
ANDALAY SOLAR, 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: December 1 – 5

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 +
SILVERSUN TECHNOLOGIES, INC. S-1 Alexander Capital, L.P. ~ ~
AZUL SA F-1 Banco Morgan Stanley S.A. Banco Itaú BBA S.A. Goldman Sachs do Brasil Banco Múltiplo S.A. / Banco Santander (Brasil) S.A. / BB-Banco de Investimento S.A. / Pine Investimentos Distribuidora de Títulos e Valores Mobiliários Ltda. / Deutsche Bank S.A.—Banco Alemão
FLEXION THERAPEUTICS INC S-1 BMO Capital Markets Corp. RBC Capital Markets, LLC ~
ARC GROUP WORLDWIDE, INC. S-1 Brean Capital, LLC ~ ~
RELYPSA INC S-3 Cantor Fitzgerald & Co. ~ ~
ARAMARK S-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC Credit Suisse Securities (USA) LLC  /  Morgan Stanley & Co. LLC
CVSL INC. S-3 MLV & Co. LLC ~ ~
TUNIU CORP F-1 Morgan Stanley & Co. International PLC Credit Suisse Securities (USA) LLC China Renaissance Securities (Hong Kong) Ltd.
WELL POWER, INC. S-1 Premier Venture Partners, LLC ~ ~
STONE RIDGE TRUST II N-2 Quasar Distributors, LLC ~ ~
NETSCOUT SYSTEMS INC S-4 RBC Capital Markets, LLC ~ ~
POTOMAC HOLDING LLC S-4 RBC Capital Markets, LLC ~ ~
TRANSAMERICA ADVISORS LIFE INSURANCE CO S-3 Transamerica Capital, 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: November 24 – 28 (US Thanksgiving 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.

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
TRAVELCENTERS OF AMERICA LLC S-1 Citigroup Global Markets Inc. RBC Capital Markets, LLC UBS Securities LLC / MLV & Co. LLC
VG LIFE SCIENCES INC. S-1 Dutchess Opportunity Fund, II, LP ~ ~
KITE PHARMA, INC. S-1 Jefferies LLC Credit Suisse Securities (USA) LLC Cowen and Company, LLC / Stifel, Nicolaus & Company, 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: November 17 – 21

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 +
TREVENA INC S-1 Barclays Capital Inc. Cowen and Company, LLC Jefferies LLC / JMP Securities LLC / Needham & Company, LLC
ENGILITY HOLDINGS, INC. S-4 Barclays Capital Inc. ~ ~
ADVANCED DRAINAGE SYSTEMS, INC. S-1 Barclays Capital Inc. Deutsche Bank Securities Inc. ~
ADVANCED ACCELERATOR APPLICATIONS S.A. F-1 Citigroup Global Markets Inc. Jefferies LLC Canaccord Genuity Inc. / JMP Securities LLC
CELSUS THERAPEUTICS PLC. S-1 Cowen and Company, LLC Piper Jaffray & Co. MTS Securities, LLC
PAYLOCITY HOLDING CORP S-1 Deutsche Bank Securities Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. William Blair & Company, L.L.C.
BELLICUM PHARMACEUTICALS, INC S-1 Jefferies LLC Citigroup Global Markets Inc. Piper Jaffray & Co.
BIOHEART, INC. S-1 Magna Equities II, LLC ~ ~
OCULUS INNOVATIVE SCIENCES, INC. S-1 Maxim Group LLC Dawson James Securities, Inc. ~
JD.COM, INC. F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. UBS Securities LLC ~
AQUA QUEST INTERNATIONAL, INC. S-1 Midtown Partners & Co., LLC ~ ~
JUNO THERAPEUTICS, INC. S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC Goldman, Sachs & Co. / Leerink Partners LLC
VOYA RETIREMENT INSURANCE & ANNUITY CO S-3 Voya Financial Partners, LLC ~ ~
ACCESS MIDSTREAM PARTNERS LP S-4 Williams Partners GP 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: November 10 – 14

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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Registrar Form Underwriter 1 Underwriter 2 Underwriter 3 +
INTERNATIONAL MARKET CENTERS, INC. S-11 Barclays Capital Inc. Credit Suisse Securities (USA) LLC Wells Fargo Securities, LLC / Deutsche Bank Securities Inc. / J.P. Morgan Securities LLC
AZURE MIDSTREAM PARTNERS, LP S-1 Citigroup Global Markets Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. -
DYNAVAX TECHNOLOGIES CORP S-3 Cowen and Company, LLC ~ ~
BARINGTON/HILCO ACQUISITION CORP. S-1 EarlyBirdCapital, Inc. ~ ~
ECO-STIM ENERGY SOLUTIONS, INC. S-1 FBR Capital Markets & Co. Roth Capital Partners ~
INTREPID AVIATION LTD S-1 Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc. / Jefferies LLC / RBC Capital Markets, LLC / Wells Fargo Securities, LLC / Credit Agricole Securities (USA) Inc. / BNP Paribas Securities Corp.
HORTONWORKS, INC. S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC RBC Capital Markets, LLC / Pacific Crest Securities LLC / Wells Fargo Securities, LLC / Blackstone Advisory Partners L.P.
SMART SAND PARTNERS LP S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC ~
MOELIS & CO S-1 Goldman, Sachs & Co. Morgan Stanley & Co. LLC Moelis & Company LLC
GOPRO, INC. S-1 J.P. Morgan Securities LLC Barclays Capital Inc. Morgan Stanley & Co. LLC / Citigroup Global Markets Inc. / Allen & Company LLC / Stifel, Nicolaus & Company, Inc. / Robert W. Baird & Co. Inc. / JMP Securities LLC / Piper Jaffray & Co. / Raymond James & Associates, Inc.
EL POLLO LOCO HOLDINGS, INC. S-1 Jefferies LLC Morgan Stanley & Co. LLC Robert W. Baird & Co. Inc. / William Blair & Company, L.L.C. / Stifel, Nicolaus & Company, Inc.
EVOKE PHARMA INC S-3 MLV & Co. LLC ~ ~
NEW RELIC INC S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC Allen & Company LLC / UBS Securities LLC / JMP Securities LLC / Raymond James & Associates, Inc.
ON DECK CAPITAL INC S-1 Morgan Stanley & Co. LLC Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC / Deutsche Bank Securities Inc. / Jefferies LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc. /  Needham & Company, LLC
ENERGOUS CORP S-1 Oppenheimer & Co. Inc. Roth Capital Partners, LLC. National Securities Corp.
COUNTY BANCORP, INC. S-1 Robert W. Baird & Co. Inc. Sterne, Agee & Leach, Inc. ~
UNIQUE FABRICATING, INC. S-1 Taglich Brothers, 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: November 3 – 7

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 +
ALLSTATE LIFE INSURANCE CO S-3 Allstate Distributors, L.L.C. ~ ~
PLATFORM SPECIALTY PRODUCTS CORP S-1 Barclays Capital Inc. Nomura Securities International, Inc. Credit Suisse Securities (USA) LLC / UBS Securities LLC
RICE MIDSTREAM PARTNERS LP S-1 Barclays Capital Inc. ~ ~
TERRYVILLE MINERAL & ROYALTY PARTNERS LP S-1 Barclays Capital Inc. ~ ~
KRAIG BIOCRAFT LABORATORIES, INC S-1 Calm Seas Capital, LLC ~ ~
AERIE PHARMACEUTICALS INC S-3 Cantor Fitzgerald & Co. ~ ~
CYMABAY THERAPEUTICS, INC. S-3 Cantor Fitzgerald & Co. ~ ~
ZOGENIX, INC. S-3 Cantor Fitzgerald & Co. ~ ~
CONTINENTAL BUILDING PRODUCTS, INC. S-1 Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC RBC Capital Markets, LLC / Barclays Capital Inc. / Deutsche Bank Securities Inc.
INOTEK PHARMACEUTICALS CORP S-1 Cowen and Company, LLC Piper Jaffray & Co. Canaccord Genuity Inc. / Nomura Securities International, Inc.
CREDIT SUISSE FIRST BOSTON MORTGAGE SECURITIES CORP S-3 Credit Suisse Securities (USA) LLC ~ ~
AUTOHOME INC. F-1 Deutsche Bank Securities Inc. Goldman Sachs (Asia) L.L.C. ~
ENDURANCE INTERNATIONAL GROUP HOLDINGS, INC. S-3 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC ~
ZOE’S KITCHEN, INC. S-1 Jefferies LLC Piper Jaffray & Co. Robert W. Baird & Co. Inc. / William Blair & Company, L.L.C.  / Stephens Inc. / Stifel, Nicolaus & Company, Inc.
JAMES RIVER GROUP HOLDINGS, LTD. S-1 Keefe, Bruyette & Woods, Inc. UBS Securities LLC FBR Capital Markets & Co. / BMO Capital Markets Corp. / KeyBanc Capital Markets Inc. / SunTrust Robinson Humphrey, Inc. / Scotia Capital (USA) Inc.
DOMINOVAS ENERGY CORP S-1 Kodiak Capital Group, LLC ~ ~
FDO HOLDINGS, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman, Sachs & Co. Barclays Capital Inc. / J.P. Morgan Securities LLC / Jefferies LLC / Credit Suisse Securities (USA) LLC / Wells Fargo Securities, LLC / Houlihan Lokey Capital, Inc.
SORRENTO THERAPEUTICS, INC. S-3 MLV & Co. LLC ~ ~
ALLSTATE LIFE INSURANCE CO S-3 Morgan Stanley & Co. Inc. ~ ~
MOMO INC. F-1 Morgan Stanley & Co. International PLC Credit Suisse Securities (USA) LLC J.P. Morgan Securities LLC / China Renaissance Securities (Hong Kong) Limited
NUVEEN TECHNOLOGY OPPORTUNITIES FUND N-2 Nuveen Securities ~ ~

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

Have a great week.