Category Archives: Top underwriters

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.

IPO Underwriters of the Week: October 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 +
ENVIVA PARTNERS, LP S-1 Barclays Capital Inc. Goldman, Sachs & Co. RBC Capital Markets, LLC / Citigroup Global Markets Inc.
CYTOSORBENTS CORP S-1 Brean Capital, LLC H.C. Wainwright and Co., Inc. -
AMEDICA CORP S-1 Dawson James Securities, Inc. - -
FS ENERGY & POWER FUND N-2 FS2 Capital Partners, LLC - -
TRUECAR, INC. S-1 J.P. Morgan Securities LLC Goldman, Sachs & Co. Morgan Stanley & Co. LLC / RBC Capital Markets, LLC / JMP Securities LLC / Cowen and Company, LLC
LA QUINTA HOLDINGS INC. S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC -
ROSEWOOD RESOURCES, INC. S-1 Kgomotso Joyce Lediga, Chief Executive Officer - -
KALLO INC. S-1 Kodiak Capital Group, LLC - -
SOLIGENIX, INC. S-1 Roth Capital Partners, LLC - -
J. ALEXANDER’S HOLDINGS, INC. S-1 Stephens Inc. KeyBanc Capital Markets, Inc. 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: October 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 +
COLLABRX, INC. S-1 Aegis Capital Corp. ~ ~
AROWANA INC. S-1 EarlyBirdCapital, Inc. ~ ~
CB PHARMA ACQUISITION CORP. S-1 EarlyBirdCapital, Inc. ~ ~
PEAK RESORTS INC S-1 FBR Capital Markets & Co. Stifel, Nicolaus & Company, Inc. Robert W. Baird & Co. Inc.
MIDCON MIDSTREAM, LP S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Barclays Capital Inc. ~
CONNECTURE INC S-1 Morgan Stanley & Co. LLC J. P. Morgan Securities LLC Wells Fargo Securities, LLC / Raymond James & Associates, Inc. / William Blair & Company LLC
FIRST GUARANTY BANCSHARES, INC. S-1 Raymond James & Associates, Inc. ~ ~
SIDOTI & COMPANY, INC. S-1 WR Hambrecht + Co, LLC Sidoti & 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: October 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 +
POLYPID LTD. F-1 Aegis Capital Corp. MLV & Co. Chardan Capital Markets, LLC
OCEAN RIG PARTNERS LP F-1 Barclays Capital Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. Credit Suisse Securities (USA) LLC / Deutsche Bank Securities Inc. / UBS Securities LLC / Raymond James & Associates, Inc.
VERISILICON HOLDINGS CO LTD F-1 Barclays Capital Inc. Jefferies LLC Stifel, Nicolaus & Company, Inc. / Wells Fargo Securities, LLC / Oppenheimer & Co. Inc.
PROPHECY ALPHA FUND I N-2 Capital Investment Group, Inc. ~ ~
POLAR STAR REALTY TRUST INC. S-11 FBR Capital Markets & Co. Wunderlich Securities, Inc. ~
INOGEN INC S-1 J.P. Morgan Securities LLC William Blair & Company, L.L.C Leerink Partners, LLC / Needham & Company, LLC
CITY OFFICE REIT, INC. S-11 Janney Montgomery Scott LLC Wunderlich Securities, Inc. Oppenheimer & Co. Inc.
EVENTURE INTERACTIVE, INC. S-1 Kodiak Capital Group, LLC Monarch Bay Securities, LLC ~
ADVANCED CELL TECHNOLOGY, INC. S-3 Lincoln Park Capital Fund, LLC ~ ~
WORKIVA LLC S-1 Morgan Stanley & Co. LLC Credit Suisse Securities (USA) LLC Robert W. Baird & Co. Inc. / Raymond James & Associates, Inc. / Stifel, Nicolaus & Company, Inc.
NEOTHETICS, INC. S-1 Piper Jaffray & Co. Guggenheim Securities, LLC Needham & Company, LLC
HABIT RESTAURANTS, INC. S-1 Piper Jaffray & Co. Robert W. Baird & Co. Inc. Wells Fargo Securities, LLC / Raymond James & Associates / Stephens Inc. / Stifel, Nicolaus & Company, Inc.
RICH CIGARS INC S-1 RichKeys  Enterprises, LLC ~ ~
XUMANII INTERNATIONAL HOLDINGS CORP S-1 Southridge ~ ~
NORTH BAY RESOURCES INC S-1 Tangiers Capital, LLC ~ ~
OMAGINE, INC. S-1 YA Global Master SPV Ltd. ~ ~

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: October 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.

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
ALLSTATE LIFE INSURANCE CO S-3 ALFS, Inc. Allstate Distributors, L.L.C. Morgan Stanley & Co. LLC
IBIO, INC. S-1 Aspire Capital Fund, LLC ~ ~
HEAT BIOLOGICS, INC. S-3 Cantor Fitzgerald & Co. ~ ~
ONCONOVA THERAPEUTICS, INC. S-3 Cantor Fitzgerald & Co. ~ ~
ONEMAIN FINANCIAL HOLDINGS, INC. S-1 Citigroup Global Markets Inc. ~ ~
HISTOGENICS CORP S-1 Cowen and Company, LLC Needham & Company, LLC Canaccord Genuity Inc. / BTIG, LLC
INTERCORP FINANCIAL SERVICES INC. F-1 Credit Suisse Securities (USA) LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Morgan Stanley & Co. LLC / Itau BBA USA Securities Inc.
ENERGIE HOLDINGS, INC. S-1 Dutchess Opportunity Fund, II, LP ~ ~
NEW REMY HOLDCO CORP. S-4 Fidelity National Financial, Inc. ~ ~
INC RESEARCH HOLDINGS, INC. S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC Robert W. Baird & Co. Inc. / Wells Fargo Securities, LLC / William Blair & Company L.L.C.
NAVIOS MARITIME MIDSTREAM PARTNERS LP F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC / J.P. Morgan Securities LLC / S. Goldman Advisors LLC
MINISTRY PARTNERS INVESTMENT COMPANY, LLC S-1 Ministry Partners Securities, LLC ~ ~
AGENUS INC S-3 MLV & Co. LLC ~ ~
ATLAS RESOURCES LLC S-4 Morgan Stanley & Co. LLC UBS Securities LLC ~
LANDMARK INFRASTRUCTURE PARTNERS LP S-11 Robert W. Baird & Co. Inc. Raymond James & Associates, Inc. RBC Capital Markets, LLC / Janney Montgomery Scott LLC
AUTOGENOMICS, INC. S-1 Stifel, Nicolaus & Company, Inc. Canaccord Genuity Inc. Cantor Fitzgerald & 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: September 29 – October 3

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 Type Underwriter 1 Underwriter 2 Underwriter 3 +
COLUMBIA PIPELINE PARTNERS LP S-1 Barclays Capital Inc. Citigroup Global Markets Inc. ~
KIMREE, INC. F-1 Citigroup Global Markets Inc. ~ ~
MEMORIAL RESOURCE DEVELOPMENT CORP. S-1 Citigroup Global Markets Inc. - ~
PENNTEX MIDSTREAM PARTNERS, LP S-1 Citigroup Global Markets Inc. Barclays Capital Inc. RBC Capital Markets, LLC / Tudor, Pickering, Holt & Co. Securities, Inc.
FIBROGEN INC S-1 Goldman, Sachs & Co. Citigroup Global Markets Inc. Leerink Partners LLC / RBC Capital Markets, LLC / Stifel, Nicolaus & Company, Inc. / William Blair & Company, L.L.C.
BOOT BARN HOLDINGS, INC. S-1 J.P. Morgan Securities LLC Piper Jaffray & Co. Jefferies LLC / Wells Fargo Securities, LLC / Robert W. Baird & Co. Inc.
SUTHERLAND ASSET MANAGEMENT CORP S-11 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC FBR Capital Markets & Co. / Citigroup Global Markets Inc. / JMP Securities LLC / Keefe, Bruyette & Woods, Inc.
NEVRO CORP S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Leerink Partners LLC / JMP Securities LLC
EHI CAR SERVICES LTD F-1 J.P. Morgan Securities LLC Goldman Sachs (Asia) L.L.C. Deutsche Bank Securities Inc.
XG TECHNOLOGY, INC. S-1 Lincoln Park Capital Fund, LLC ~ ~
APPLIED DNA SCIENCES INC S-1 Maxim Group LLC ~ ~
S1 BIOPHARMA, INC. S-1 MLV & Co. LLC ~ ~
COSTAMARE PARTNERS LP F-1 Morgan Stanley & Co. LLC Barclays Capital Inc. Citigroup Global Markets Inc. / Wells Fargo Securities, LLC / Credit Suisse Securities (USA) LLC / J.P. Morgan Securities LLC
SINO-GLOBAL SHIPPING AMERICA, LTD. S-1 National Securities Corporation ~ ~
PALATIN TECHNOLOGIES INC S-1 Piper Jaffray & Co. ~ ~
RADIUS BANCORP INC. S-1 Robert W. Baird & Co. Inc. Sandler O’Neill & Partners, L.P. Janney Montgomery Scott LLC / Wunderlich Securities, Inc.
VOYA RETIREMENT INSURANCE & ANNUITY CO S-3 Voya Financial Partners, LLC ~ ~

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

Have a great week.