Category Archives: Top underwriters

IPO Underwriters of the Week: August 24 – 28

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+
ADVANCED INHALATION THERAPIES (AIT) LTD. F-1 Aegis Capital Corp. ~ ~
MIRNA THERAPEUTICS, INC. S-1 Citigroup Global Markets Inc. Leerink Partners LLC Oppenheimer & Co. Inc. / Cantor Fitzgerald & Co.
GWG HOLDINGS, INC. S-1 Emerson Equity LLC ~ ~
ACELITY HOLDINGS, INC. S-1 J.P. Morgan Securities LLC Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. / Morgan Stanley & Co. LLC / Barclays Capital Inc. / Credit Suisse Securities (USA) LLC / RBC Capital Markets, LLC / UBS Securities LLC
SBT BANCORP, INC. S-1 Keefe, Bruyette & Woods, Inc. ~ ~
CORTENDO AB F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Stifel, Nicolaus & Company, Inc. JMP Securities LLC / Roth Capital Partners, LLC / Arctic Securities AS
CYTOMX THERAPEUTICS, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Jefferies LLC Cowen and Company, LLC / Oppenheimer & Co. Inc.
ANADIGICS INC S-3 MLV & Co. LLC ~ ~
GERON CORP S-3 MLV & Co., LLC ~ ~
ALLEGIANCE BANCSHARES, INC. S-1 Robert W. Baird & Co. Inc. Stephens Inc. Keefe, Bruyette & Woods, Inc. / Sandler O’Neill & Partners, L.P.

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: August 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 +
ACLARIS THERAPEUTICS, INC. S-1 Jefferies LLC Citigroup Global Markets Inc. William Blair & Company, L.L.C.
ADS WASTE HOLDINGS, INC. S-1 Deutsche Bank Securities Inc. Credit Suisse Securities (USA) LLC Barclays Capital Inc. / Merrill Lynch, Pierce, Fenner & Smith Inc. / Macquarie Capital (USA) Inc. / Morgan Stanley & Co. LLC / UBS Securities LLC / Wells Fargo Securities, LLC / First Analysis Securities Corp.
BREATHE ECIG CORP. S-1 FirstFire Global Opportunities Fund LLC ~ ~
COPSYNC, INC. S-1 Maxim Group LLC ~ ~
GENIUS BRANDS INTERNATIONAL, INC. S-1 Chardan Capital Markets, LLC ~ ~
MEDEQUITIES REALTY TRUST, INC. S-11 FBR Capital Markets & Co. J.P. Morgan Securities LLC Citigroup Global Markets Inc. / KeyBanc Capital Markets Inc. / RBC Capital Markets, LLC
PACIFIC SPECIAL ACQUISITION CORP. S-1 EarlyBirdCapital, Inc. ~ ~
PETCO HOLDINGS INC S-1 Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC / Credit Suisse Securities (USA) LLC / Deutsche Bank Securities Inc. / Morgan Stanley & Co. LLC / Wells Fargo Securities, LLC
REGENXBIO INC. S-1 Morgan Stanley & Co. LLC Merrill Lynch, Pierce, Fenner & Smith  Inc. Piper Jaffray & Co. / Chardan Capital Markets, LLC
SITEONE LANDSCAPE SUPPLY, INC. S-1 Deutsche Bank Securities Inc. Goldman, Sachs & Co. UBS Securities LLC
SURGERY PARTNERS, INC. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman, Sachs & Co. Jefferies LLC / Citigroup Global Markets Inc. / Morgan Stanley & Co. LLC / Credit Suisse Securities (USA) LLC / Raymond James & Associates, Inc. / RBC Capital Markets, LLC / Stifel, Nicolaus & Company Inc.
SYNCARDIA SYSTEMS INC S-1 Roth Capital Partners, LLC ~ ~
VIRNETX HOLDING CORP S-3 Cowen and Company, 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(s): August 3 – 14

This is a two-week summer edition.

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 +
ALTERNATIVE SECURITIES MARKET, LLC 1-A Alternative Securities Markets Group Corporation ~ ~
CAPNIA, INC. S-1 Aspire Capital Fund, LLC ~ ~
CPI CARD GROUP INC. S-1 BMO Capital Markets Corp. Goldman, Sachs & Co. CIBC World Markets Inc.
CAREDX, INC. S-3 Cantor Fitzgerald & Co. ~ ~
BOULEVARD ACQUISITION CORP. II S-1 Citigroup Global Markets Inc. ~ ~
AETNA INC /PA/ S-4 Citigroup Global Markets Inc. ~ ~
PACE HOLDINGS CORP. S-1 Deutsche Bank Securities Inc. Citigroup Global Markets Inc. ~
DOUBLE EAGLE ACQUISITIONS CORP. S-1 Deutsche Bank Securities Inc. Merrill, Lynch, Pierce, Fenner & Smith Inc. ~
PROPHASE LABS, INC. S-3 Dutchess Opportunity Fund II, LP ~ ~
CPG YORK EVENT DRIVEN STRATEGIES, LLC N-2 Foreside Fund Services, LLC ~ ~
PENUMBRA INC S-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Wells Fargo Securities, LLC / Canaccord Genuity Inc.
MARINUS PHARMACEUTICALS INC S-3 JMP Securities LLC ~ ~
WAFERGEN BIO-SYSTEMS, INC. S-1 Ladenburg Thalmann & Co. Inc. ~ ~
EDGE THERAPEUTICS, INC. S-1 Leerink Partners LLC Credit Suisse Securities (USA) LLC Guggenheim Securities, LLC / JMP Securities LLC
NEPHROS INC S-1 Lincoln Park ~ ~
MAUSER GROUP B.V. F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC / Robert W. Baird & Co. Inc. / Deutsche Bank Securities Inc. / Jefferies LLC
NEPHROGENEX, INC. S-3 MLV & Co. LLC ~ ~
PURE STORAGE, INC. S-1 Morgan Stanley & Co. LLC Goldman, Sachs & Co. Barclays Capital Inc. / Allen & Company LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Pacific Crest Securities, a division of KeyBanc Capital Markets Inc. / Stifel, Nicolaus & Company, Inc. / Raymond James & Associates, Inc. / Evercore Group L.L.C.
C1 FINANCIAL, INC. S-1 Raymond James & Associates, 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 27 – 31

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 +
FULING GLOBAL INC. F-1 Burnham Securities, Inc. ~ ~
INOTEK PHARMACEUTICALS CORP S-1 Cowen and Company, LLC Piper Jaffray & Co. Nomura Securities International, Inc.
GMS INC. S-1 Credit Suisse Securities (USA) LLC Barclays Capital Inc. RBC Capital Markets, LLC / Robert W. Baird & Co. Inc. / Wells Fargo Securities, LLC / SunTrust Robinson Humphrey, Inc.
ABS GLOBAL EQUITY LONG/SHORT RIC N-2 Foreside Fund Services, LLC ~ ~
BENEFITFOCUS,INC. S-3 Goldman Sachs Group, Inc. ~ ~
SOULCYCLE INC. S-1 Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. / William Blair & Company, L.L.C. / Cowen and Company, LLC / RBC Capital Markets, LLC
PROTALEX INC S-1 H.C. Wainwright & Co., LLC ~ ~
BOOT BARN HOLDINGS, INC. S-1 J.P. Morgan Securities LLC Piper Jaffray & Co. Jefferies LLC
DERMIRA, INC. S-1 Leerink Partners LLC Cowen and Company, LLC Guggenheim Securities, LLC / Needham & Company, LLC
ENER-CORE INC. S-1 Northland Securities, Inc. Lake Street Capital Markets, 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: 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.