IPO Underwriters of the Week: July 7 – 11

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 a top choice for both traditional and confidential IPOs.

VDR_PPC_EMAIL

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
VANTAGE ENERGY INC. S-1 Barclays Capital Inc. Goldman, Sachs & Co. Citigroup Global Markets Inc. / Credit Suisse Securities (USA) LLC / Tudor, Pickering, Holt & Co. Securities, Inc. / Wells Fargo Securities, LLC
REWALK ROBOTICS LTD. F-1 Barclays Capital Inc. Jefferies LLC Canaccord Genuity Inc.
APPLIED GENETIC TECHNOLOGIES CORP S-1 BMO Capital Markets Corp. Stifel, Nicolaus & Company, Inc. Wedbush Securities Inc. / Cantor Fitzgerald & Co. / Roth Capital Partners, LLC
HARMONY MERGER CORP. S-1 Cantor Fitzgerald & Co.
YODLE INC S-1 Credit Suisse Securities (USA) LLC Deutsche Bank Securities Inc. Jefferies LLC / Piper Jaffray & Co. / Canaccord Genuity Inc. / Needham & Company, LLC / Oppenheimer & Co. Inc.
RICE ENERGY INC. S-1 Goldman, Sachs & Co. Barclays Capital Inc. Citigroup Global Markets Inc.
GOLDMAN SACHS MLP ENERGY RENAISSANCE FUND N-2 Goldman, Sachs & Co.
OTONOMY, INC. S-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Piper Jaffray & Co. / Sanford C. Bernstein & Co., LLC
C1 FINANCIAL, INC. S-1 Keefe, Bruyette & Woods, Inc. Raymond James & Associates, Inc.
AAC HOLDINGS, INC. S-1 William Blair & Company, L.L.C. Wells Fargo Securities, LLC Raymond James & Associates, Inc. / Avondale Partners, LLC

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

Have a great week.

IPOs and Transactions: June 30 – July 3

There were 49 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including Access Pharmaceuticals Inc. w / Bingham McCutchen LLP + Sichenzia Ross Friedman Ference LLP, Vuzix Corp. w/ Sichenzia Ross Friedman Ference LLP and RCS Capital Corp. w/ Proskauer Rose LLP.

We appreciate that they selected to work with us and we’re pleased that they found us to be the intelligent value. Watch our video.

TRANSACTIONS_500

Registrant Symbol Form Exchange Law firm / Advisor
ASHFORD INC S-4 Andrews Kurth LLP
HOEGH LNG PARTNERS LP F-1 Baker Botts L.L.P.
QCR HOLDINGS INC QCRH S-3 Nasdaq Barack Ferrazzano Kirschbaum & Nagelberg LLP
OLD NATIONAL BANCORP /IN/ ONB S-4 Nasdaq Barnes & Thornburg LLP
ACCESS PHARMACEUTICALS INC ACCP S-1 OTC Bingham McCutchen LLP
OM ASSET MANAGEMENT LTD S-1 Bingham McCutchen LLP
COMMERCE UNION BANCSHARES, INC. S-4 Bone McAllester Norton PLLC
COMMERCE UNION BANCSHARES, INC. S-4 Butler Snow LLP
GENOCEA BIOSCIENCES, INC. S-1 Nasdaq Cooley LLP
T2 BIOSYSTEMS, INC. S-1 Cooley LLP
AVALANCHE BIOTECHNOLOGIES, INC. S-1 Covington & Burling LLP
SYNCHRONY FINANCIAL S-1 Covington & Burling LLP
DIPLOMAT PHARMACY, INC. S-1 Cravath, Swaine & Moore LLP
HPEV, INC. WARM S-1 OTC David Lubin & Associates, PLLC
IDREAMSKY TECHNOLOGY LTD F-1 Nasdaq Davis Polk & Wardwell LLP
LOXO ONCOLOGY, INC. S-1 Davis Polk & Wardwell LLP
SYNCHRONY FINANCIAL S-1 Davis Polk & Wardwell LLP
VIAMET PHARMACEUTICALS HOLDINGS LLC S-1 Dechert LLP
DT ASIA INVESTMENTS LTD S-1 Ellenoff Grossman & Schole LLP
IMPERIAL RESOURCES, LLC S-1 Ellenoff Grossman & Schole LLP
LOXO ONCOLOGY, INC. S-1 Fenwick & West LLP
OM ASSET MANAGEMENT LTD S-1 Fried, Frank, Harris, Shriver & Jacobson LLP
ZAYO GROUP HOLDINGS, INC. S-1 Gibson, Dunn & Crutcher LLP
ADVANCED CELL TECHNOLOGY, INC. S-3 OTC Goodwin Procter LLP
ESPERION THERAPEUTICS, INC. ESPR S-3 Nasdaq Goodwin Procter LLP
ESSEX PROPERTY TRUST INC ESS S-4 NYSE Goodwin Procter LLP
FOUNDATION HEALTHCARE, INC. FDNH S-1 OTC Goodwin Procter LLP
VIKING THERAPEUTICS, INC. S-1 Goodwin Procter LLP
DT ASIA INVESTMENTS LTD S-1 Graubard Miller
DIPLOMAT PHARMACY, INC. S-1 Honigman Miller Schwartz and Cohn LLP
AMERICAN RESIDENTIAL PROPERTIES, INC. ARPI S-3 NYSE Hunton & Williams LLP
CORDIA BANCORP INC BVA S-3 Nasdaq Kilpatrick Townsend & Stockton LLP
IDREAMSKY TECHNOLOGY LTD F-1 Nasdaq Kirkland & Ellis International LLP
TWIST BEAUTY S.A R.L. & PARTNERS S.C.A. F-1 Kirkland & Ellis LLP
CORSAIR OPPORTUNITY FUND N-2 Kramer Levin Naftalis & Frankel LLP
MAINSOURCE FINANCIAL GROUP MSFG S-4 Nasdaq Krieg DeVault LLP
OLD NATIONAL BANCORP /IN/ ONB S-4 Nasdaq Krieg DeVault LLP
AVALANCHE BIOTECHNOLOGIES, INC. S-1 Latham & Watkins LLP
T2 BIOSYSTEMS, INC. S-1 Latham & Watkins LLP
TWIST BEAUTY S.A R.L. & PARTNERS S.C.A. F-1 Latham & Watkins LLP
GWG LIFE, LLC S-1 Maslon Edelman Borman & Brand, LLP
REPROS THERAPEUTICS INC. RPRX S-3 Nasdaq Morgan, Lewis & Bockius LLP
ATRINSIC, INC. ATRNQ 10-12G OTC Morse, Zelnick, Rose & Lander, LLP
DT ASIA INVESTMENTS LTD S-1 Ogier
BENEFITFOCUS,INC. BNFT S-1 Nasdaq Orrick, Herrington & Sutcliffe LLP
VIKING THERAPEUTICS, INC. S-1 Paul Hastings LLP
PLY GEM INDUSTRIES INC S-4 Paul, Weiss, Rifkind, Wharton & Garrison LLP
UNILIFE CORP UNIS S-3 OTC Pepper Hamilton LLP
RCS CAPITAL CORP RCAP S-3 NYSE Proskauer Rose LLP
IMPERIAL RESOURCES, LLC S-1 Reed Smith LLP
RENEWABLE ENERGY & POWER, INC. 10-12G Renewable Energy and Power, Inc.
GENOCEA BIOSCIENCES, INC. S-1 Nasdaq Ropes & Gray LLP
PC NEXTCO HOLDINGS, LLC S-4 Ropes & Gray LLP
LAGOON GROUP CORP. S-1 Scott D. Olson Esq.
AEMETIS, INC AMTXD S-3 Nasdaq Shearman & Sterling LLP
JOHN DEERE RECEIVABLES, INC. S-3 Shearman & Sterling LLP
ZAYO GROUP HOLDINGS, INC. S-1 Shearman & Sterling LLP
ACCESS PHARMACEUTICALS INC ACCP S-1 OTC Sichenzia Ross Friedman Ference LLP
EASTGATE ACQUISITIONS CORP ESAQ S-1 OTC Sichenzia Ross Friedman Ference LLP
VUZIX CORP S-1 OTC Sichenzia Ross Friedman Ference LLP
JOHN DEERE RECEIVABLES, INC. S-3 Sidley Austin LLP
GOOD TIMES RESTAURANTS INC GTIM S-3 Nasdaq Snell & Wilmer L.L.P.
GLYECO, INC. GLYE S-1 OTC Squire Patton Boggs (US) LLP
SUNOPTA INC. STKL S-3 Nasdaq Stoel Rives LLP
AT&T INC. T S-4 NYSE Sullivan & Cromwell LLP
YODLEE INC S-1 Sullivan & Cromwell LLP
HOEGH LNG PARTNERS LP F-1 Vinson & Elkins L.L.P.
OASIS PETROLEUM INC. OAS S-4 NYSE Vinson & Elkins L.L.P.
MAINSOURCE FINANCIAL GROUP MSFG S-4 Nasdaq Vorys, Sater, Seymour and Pease LLP
AT&T INC. T S-4 NYSE Weil, Gotshal & Manges LLP
SYNCHRONY FINANCIAL S-1 Weil, Gotshal & Manges LLP
VIAMET PHARMACEUTICALS HOLDINGS LLC S-1 Wilmer Cutler Pickering Hale and Dorr LLP
YODLEE INC S-1 Wilson Sonsini Goodrich & Rosati PC
BENEFITFOCUS,INC. BNFT S-1 Nasdaq Wyrick Robbins Yates & Ponton LLP

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors. Click here and opt-in to receive this weekly summary via email.

Click here to review the week’s underwriters.

Have a great week.

x

 

IPO Underwriters of the Week: June 30 – July 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 a top choice for both traditional and confidential IPOs.

VDR_PPC_EMAIL

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
ACCESS PHARMACEUTICALS INC S-1 Aegis Capital Corp.
SYNCHRONY FINANCIAL S-1 Barclays Capital Inc. Citigroup Global Markets Inc. Credit Suisse Securities (USA) LLC / Deutsche Bank Securities Inc. / Goldman, Sachs & Co. / J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Morgan Stanley & Co. LLC
GENOCEA BIOSCIENCES, INC. S-1 Citigroup Global Markets Inc. Cowen and Company, LLC Stifel, Nicolaus & Company, Inc. / Needham & Company, LLC
HOEGH LNG PARTNERS LP F-1 Citigroup Global Markets Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. Morgan Stanley & Co. LLC / Barclays Capital Inc. / UBS Securities LLC
LOXO ONCOLOGY, INC. S-1 Cowen and Company, LLC Stifel, Nicolaus & Company, Inc. Oppenheimer & Co. Inc. / JMP Securities LLC
DIPLOMAT PHARMACY, INC. S-1 Credit Suisse Securities (USA) LLC Morgan Stanley & Co. LLC J.P. Morgan Securities LLC / Wells Fargo Securities, LLC / William Blair & Company, L.L.C. / Leerink Partners LLC
IDREAMSKY TECHNOLOGY LTD F-1 Credit Suisse Securities (USA) LLC J.P. Morgan Securities LLC
DT ASIA INVESTMENTS LTD S-1 EarlyBird
Capital, Inc.
T2 BIOSYSTEMS, INC. S-1 Goldman, Sachs & Co. Morgan Stanley & Co. LLC Leerink Partners LLC / Janney Montgomery Scott LLC
AT&T INC. S-4 Goldman, Sachs & Co.
BENEFITFOCUS,
INC.
S-1 Goldman, Sachs & Co. Deutsche Bank Securities Inc. Jefferies LLC / Canaccord Genuity Inc. / Piper Jaffray & Co. / Raymond James & Associates, Inc.
YODLEE INC S-1 Goldman, Sachs & Co. Credit Suisse Securities (USA) LLC Merrill Lynch, Pierce, Fenner & Smith Inc / UBS Securities LLC / Pacific Crest Securities LLC
AVALANCHE BIOTECHNOLOGIES, INC. S-1 Jefferies LLC Cowen and Company, LLC Piper Jaffray & Co. / William Blair & Company, L.L.C.
ADVANCED CELL TECHNOLOGY, INC. S-3 Lincoln Park Capital Fund, LLC
IMPERIAL RESOURCES, LLC S-1 Maxim Group LLC
OM ASSET MANAGEMENT LTD S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Morgan Stanley & Co. LLC Citigroup Global Markets Inc. / Credit Suisse Securities (USA) LLC
TWIST BEAUTY S.A R.L. & PARTNERS S.C.A. F-1 Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC Goldman, Sachs & Co. / Robert W. Baird & Co. Inc. / Barclays Capital Inc. / BMO Capital Markets Corp.
ZAYO GROUP HOLDINGS, INC. S-1 Morgan Stanley & Co. LLC Barclays Capital Inc. Goldman, Sachs & Co. / RBC Capital Markets, LLC / Citigroup Global Markets Inc. / SunTrust Robinson Humphrey, Inc. / Cowen and Company, LLC / D. A. Davidson & Co. / Oppenheimer & Co. Inc. / Raymond James & Associates, Inc. / Stephens Inc. / Wells Fargo Se
VIKING THERAPEUTICS, INC. S-1 Oppenheimer & Co. Inc. Roth Capital Partners, LLC Craig-Hallum Capital Group LLC / MLV & Co. LLC / Summer Street Research Partners
VIAMET PHARMACEUTICALS HOLDINGS LLC S-1 Piper Jaffray & Co. Stifel, Nicolaus & Company, Inc. Wells Fargo Securities, LLC

 

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

Have a great week.

Dōmo arigatō, Mr. (AP earnings reporter) Roboto

The Associated Press (AP) announced that they will be expanding their quarterly earning reporting from 300 companies to 4,400 companies by automating this banal and non-investigative journalism with “robots.”

AP_robot


From the AP:

For many years, we have been spending a lot of time crunching numbers and rewriting information from companies to publish approximately 300 earnings reports each quarter. We discovered that automation technology, from a company called Automated Insights, paired with data from Zacks Investment Research, would allow us to automate short stories – 150 to 300 words — about the earnings of companies in roughly the same time that it took our reporters.

Instead, our journalists will focus on reporting and writing stories about what the numbers mean and what gets said in earnings calls on the day of the release, identifying trends and finding exclusive stories we can publish at the time of the earnings reports.

What this means for issuers:

  • Expanded distribution from the AP: AP earnings articles are a formulaic synopsis of your formal earnings announcement. “Mr. Roboto” doubles your earnings’ content marketing towards investors, analysts and financial journalists who get feeds from the AP. In essence, the AP is treating your earnings as data rather than news.
  • Journalists more focused on stories: This is especially important for Emerging Growth and Small-cap companies. Many of these companies are Story Stocks, as their numbers are not so great (yet). The Human Journalists may have more availability and curiosity now for underdog and under-the-radar stocks. You could experience better ROI for your outreach efforts to the appropriate AP journalists. Get your story polished. 
  • What’s good for the goose is good for the gander: Issuers should have no fear of newsflow automation. Automate all banal distribution tasks. Here is a briefing on how you can automate your newsflow into Twitter and Stocktwits.

NOTE: The AP is not the only capital markets “reporting” organization to use robots. Resistance is futile.

Have a great day.

A brief “What Does CASL Mean for IR” blog post that does not constitute legal advice what-so-ever ipso facto

The Canadian Anti-Spam Law (CASL – pronounced “Castle”) goes into effect today, July 1, 2014. If you are in Canada or send electronic communications (email, IMs, Twitter direct messages) to Canadians, you’ll need to comply.

What does this mean for IR departments? Most likely, not a heck of a lot – especially if you have a commercially managed IR website (like our IR Room). You are already following the US CAN-SPAM guidelines by default.

Your email / opt-in procedure should already include:

  • The name of your organization and a description of the types of opt-in messages subscribers can expect to receive. For IR, this is your email alert opt-in system built within you IR site i.e. “I would like to receive a daily closing stock price.”
  • A statement informing individuals that they may withdraw (opt-out) their consent i.e “You can unsubscribe at any time.”
  • A functioning unsubscribe mechanism.
  • The mailing address and one of either a phone number/web address/email address of your organization.

That said, why is CASL being called the toughest SPAM law on the planet?

CASLThe difference between the US spam laws and Canada’s is actually deceiving simple.

In the US, it is opt-out legislation: you can (more or less) email contacts without legal retribution as long as you do not continue to email them AFTER they have unsubscribed. A “beg forgiveness rather than ask permission” model.

CASL is the opposite. It’s opt-in legislation: you cannot (commercially) email anyone without their appropriate consent BEFORE you hit the send button.

A simple example: you recently presented at an investor conference and the host organization gave you a contact list of all attendees. Your earnings call is next week and you would like to invite this group to the listen to the call. You may email the US-based contacts. The recipients may personally view your email as junk and alert “the internet” you are spam and get your email domain blacklisted (which is a drag), but that’s about it. However, if there are Canadian firms on the contact list, without documented express permission to email them - they have a binding legal right to ruin your day.

If you commit a violation under any of sections 6 to 9 of CASL, then you can be slapped with a steep administrative monetary penalty (AMP). The maximum amount of an AMP, per violation, for an individual is $1 million, and for a business, $10 million. Directors, officers and agents of a corporation can be liable too.

Fortunately, there is a three-year transition period, until July 1, 2017, to help companies adopt these new regulations. If you have more questions about CASL, contact an REAL CASL attorney who is familiar with this issue.

Realistically, the lionshare of IR departments will not have any trouble with CASL, as the technical opt-in process does mirror US CAN-SPAM. The trouble-spots will be around bulk uploading and emailing to new contact lists. You will need to be thoughtful about emailing contacts (in mass) from a IR targeting program.

Overall, the communications behavior of IR departments created no issues with the US CAN-SPAM Act, so the same professional IR work patterns should apply with CASL.

Emerging Growth and small-cap companies need to be a very aware to what their IR firms are doing on their behalf (coughcoughstockpromotioncough). Liability will trickle to all involved.

Bottomline, just don’t send “blast emails” to non-opt-in Canadian contacts. Official FAQs here: http://www.crtc.gc.ca/eng/com500/faq500.htm

Have a great day.

IPOs and Transactions: June 23 – June 27

There were 47 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services last week including CEF Equipment Holding LLC w/ Mayer Brown LLP, Spirit International Inc. w/ Law Office of Harold P. Gewerter and Terrapin 3 Acquisition Corp w/ Skadden, Arps, Slate, Meagher & Flom LLP + Ellenoff Grossman & Schole LLP.

We appreciate that they selected to work with us and we’re pleased that they found us to be the intelligent value.

LAW-email_Vannoince

Registrant Symbol Form Type Exchange Law firm / Advisor
LIBERTY GLOBAL PLC LBTYA S-4 Nasdaq Allen & Overy LLP
FIRST CASH FINANCIAL SERVICES INC FCFS S-4 Nasdaq Alston & Bird LLP
TRANSOCEAN PARTNERS LLC S-1 Baker Botts L.L.P.
LIBERTY GLOBAL PLC LBTYA S-4 Nasdaq Baker Botts L.L.P.
SILVERCREST ASSET MANAGEMENT GROUP INC. SAMG S-3 Nasdaq Bingham McCutchen LLP
GREEN BANCORP, INC. S-1 Bracewell & Giuliani LLP
TOWNSQUARE MEDIA, LLC S-1 Cahill Gordon & Reindel LLP
VWR CORP S-1 Cahill Gordon & Reindel LLP
ENVISION HEALTHCARE HOLDINGS, INC. EVHC S-1 NYSE Cahill Gordon & Reindel LLP
TPG SPECIALTY LENDING, INC. TSLX N-2 NYSE Cleary Gottlieb Steen & Hamilton LLP
TRIPLEPOINT VENTURE GROWTH BDC CORP. TPVG N-2 NYSE Clifford Chance US LLP
IMMUNE DESIGN CORP. S-1 Cooley LLP
INTERSECT ENT, INC. S-1 Cooley LLP
VIDARA THERAPEUTICS INTERNATIONAL LTD S-4 Cooley LLP
AUSPEX PHARMACEUTICALS, INC. ASPX S-1 Nasdaq Cooley LLP
AFFIMED THERAPEUTICS B.V. F-1 Covington & Burling LLP
ONEBEACON U.S. HOLDINGS, INC. S-3 Cravath, Swaine & Moore LLP
AFFIMED THERAPEUTICS B.V. F-1 Davis Polk & Wardwell LLP
UNIVAR INC. S-1 Debevoise & Plimpton LLP
ENVISION HEALTHCARE HOLDINGS, INC. EVHC S-1 NYSE Debevoise & Plimpton LLP
CORVUS GOLD INC. S-1 Dorsey & Whitney LLP
LAMAR ADVERTISING REIT CO S-4 Edwards Wildman Palmer LLP
SEVCON, INC. SEV S-1 Nasdaq Edwards Wildman Palmer LLP
TERRAPIN 3 ACQUISITION CORP S-1 Ellenoff Grossman & Schole LLP
ZOSANO PHARMA CORP S-1 Foley Hoag LLP
LA JOLLA PHARMACEUTICAL CO LJPCD S-3 Nasdaq Gibson, Dunn & Crutcher LLP
ULTRAGENYX PHARMACEUTICAL INC. RARE S-1 Nasdaq Gibson, Dunn & Crutcher LLP
CYBER-ARK SOFTWARE LTD. F-1 Goodwin Procter LLP
LAMAR ADVERTISING REIT CO S-4 Goodwin Procter LLP
REVO BIOLOGICS, INC. GTCB S-1 Nasdaq Goodwin Procter LLP
MACROCURE LTD. F-1 Nasdaq Gornitzky & Co.
CUR MEDIA, INC. DUSR S-1 OTC Gottbetter & Partners, LLP
CNH CAPITAL RECEIVABLES LLC S-3 Greenberg Traurig, LLP
TOBIRA THERAPEUTICS, INC. S-1 Gunderson Dettmer Stough Villeneuve Franklin & Hachigian, LLP
BANKWELL FINANCIAL GROUP, INC. BWFG S-4 Nasdaq Hinckley, Allen & Snyder LLP
IMMUNE DESIGN CORP. S-1 Hogan Lovells US LLP
TOWNSQUARE MEDIA, LLC S-1 Kirkland & Ellis LLP
VWR CORP S-1 Kirkland & Ellis LLP
EL POLLO LOCO HOLDINGS, INC. S-1 Latham & Watkins LLP
INTERSECT ENT, INC. S-1 Latham & Watkins LLP
LANTHEUS HOLDINGS, INC. S-1 Latham & Watkins LLP
TOBIRA THERAPEUTICS, INC. S-1 Latham & Watkins LLP
UNIVAR INC. S-1 Latham & Watkins LLP
AUSPEX PHARMACEUTICALS, INC. ASPX S-1 Nasdaq Latham & Watkins LLP
REVO BIOLOGICS, INC. GTCB S-1 Nasdaq Latham & Watkins LLP
ULTRAGENYX PHARMACEUTICAL INC. RARE S-1 Nasdaq Latham & Watkins LLP
SPIRIT INTERNATIONAL, INC. S-1 Law Office of Harold P. Gewerter, Esq., Ltd.
FLASTER CORP. S-1 Law Offices of Jonathan D. Strum
ZOSANO PHARMA CORP S-1 Lowenstein Sandler LLP
BANKWELL FINANCIAL GROUP, INC. BWFG S-4 Nasdaq Luse Gorman Pomerenk & Schick P.C.
CEF EQUIPMENT HOLDING LLC S-3 Mayer Brown LLP
VIDARA THERAPEUTICS INTERNATIONAL LTD S-4 Mayer Brown LLP
CYBER-ARK SOFTWARE LTD. F-1 Meitar Liquornik Geva Leshem Tal
MACROCURE LTD. F-1 Nasdaq Meitar Liquornik Geva Leshem Tal
WOODSIDE HOMES, INC. S-1 Milbank, Tweed, Hadley & McCloy LLP
MALIBU BOATS, INC. S-1 Nasdaq Morrison & Foerster LLP
CYBER-ARK SOFTWARE LTD. F-1 Naschitz, Brandes, Amir & Co.
MIND SOLUTIONS INC. VOISD S-1 OTC Norman T. Reynolds Law Firm, P.C.
MALIBU BOATS, INC. S-1 Nasdaq O’Melveny & Myers LLP
TIXFI INC. S-1 Parsons/ Burnett/ Bjordahl/ Hume, LLP
QEP FIELD SERVICES CO 10-12B QEP Field Services Company
MARATHON PATENT GROUP, INC. MARA S-1 OTC Sichenzia Ross Friedman Ference LLP
WOODSIDE HOMES, INC. S-1 Simpson Thacher & Bartlett LLP
EL POLLO LOCO HOLDINGS, INC. S-1 Skadden, Arps, Slate, Meagher & Flom LLP
GREEN BANCORP, INC. S-1 Skadden, Arps, Slate, Meagher & Flom LLP
TERRAPIN 3 ACQUISITION CORP S-1 Skadden, Arps, Slate, Meagher & Flom LLP
MACROCURE LTD. F-1 Nasdaq Skadden, Arps, Slate, Meagher & Flom LLP
NEW MOUNTAIN FINANCE CORP NMFC N-2 NYSE Sutherland Asbill & Brennan LLP
MONEYGRAM PAYMENT SYSTEMS INC S-3 Vinson & Elkins L.L.P.
TRANSOCEAN PARTNERS LLC S-1 Vinson & Elkins L.L.P.
VORNADO SPINCO 10-12B Vornado SpinCo
LANTHEUS HOLDINGS, INC. S-1 Weil, Gotshal & Manges LLP
ADAMIS PHARMACEUTICALS CORP ADMP S-3 Nasdaq Weintraub Tobin Chediak Coleman Grodin, Law Corp.
CYBER-ARK SOFTWARE LTD. F-1 White & Case LLP
MACROCURE LTD. F-1 Nasdaq White & Case LLP
ALLIANCEBERNSTEIN MULTI-MANAGER ALTERNATIVE FUND N-2 Willkie Farr & Gallagher LLP
SPEED COMMERCE, INC. SPDC S-3 Nasdaq Winthrop & Weinstine, P.A.

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors. Click here and opt-in to receive this weekly summary via email.

Click here to review the week’s underwriters.

Have a great week.

x

 

IPO Underwriters of the Week: June 23 – June 27

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 a top choice for both traditional and confidential IPOs.

VDR_PPC_EMAIL

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3+
TOBIRA THERAPEUTICS, INC. S-1 BMO Capital Markets Corp. JMP Securities LLC Oppenheimer & Co. / Nomura Securities International, Inc.
LANTHEUS HOLDINGS, INC. S-1 Citigroup Global Markets Inc. Jefferies LLC RBC Capital Markets, LLC / Wells Fargo Securities, LLC / Robert W. Baird & Co. Inc.
MACROCURE LTD. F-1 Credit Suisse Securities (USA) LLC Jefferies LLC Oppenheimer & Co. Inc. / Nomura Securities International, Inc.
TERRAPIN 3 ACQUISITION CORP S-1 Deutsche Bank Securities
UNIVAR INC. S-1 Deutsche Bank Securities Inc. Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. / Credit Suisse Securities (USA) LLC / J.P. Morgan Securities LLC / Jefferies LLC / Morgan Stanley & Co. LLC
ENVISION HEALTHCARE HOLDINGS, INC. S-1 Goldman, Sachs & Co. Barclays Capital Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc.
INTERSECT ENT, INC. S-1 J.P. Morgan Securities LLC Piper Jaffray & Co. Leerink Partners LLC / Wedbush Securities Inc.
ULTRAGENYX PHARMACEUTICAL INC. S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Cowen and Company, LLC / Robert W. Baird & Co. Inc.
CYBER-ARK SOFTWARE LTD. F-1 J.P. Morgan Securities LLC Deutsche Bank Securities Inc. Barclays Capital Inc. / William Blair & Company, L.L.C. / Nomura Securities International, Inc. / Oppenheimer & Co. Inc.
IMMUNE DESIGN CORP. S-1 Jefferies LLC Leerink Partners LLC Wells Fargo Securities, LLC
AFFIMED THERAPEUTICS B.V. F-1 Jefferies LLC Leerink Partners LLC BMO Capital Markets Corp. / Trout Capital LLC
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.
VWR CORP S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Goldman, Sachs & Co. J.P. Morgan Securities LLC / Barclays Capital Inc. / Deutsche Bank Securities Inc.
TOWNSQUARE MEDIA, LLC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Jefferies LLC RBC Capital Markets, LLC / Guggenheim Securities, LLC / Macquarie Capital (USA) Inc.
TRANSOCEAN PARTNERS LLC S-1 Morgan Stanley & Co. LLC Barclays Capital Inc.
REVO BIOLOGICS, INC. S-1 Piper Jaffray & Co. Guggenheim Securities, LLC Roth Capital Partners, LLC
MIND SOLUTIONS INC. S-1 Premier Venture Partners, LLC
MALIBU BOATS, INC. S-1 Raymond James & Associates, Inc. Wells Fargo Securities, LLC
GREEN BANCORP, INC. S-1 Sandler O’Neill + Partners, L.P. Jefferies LLC J.P. Morgan Securities LLC / RBC Capital Markets, LLC / Keefe, Bruyette & Woods, Inc.
AUSPEX PHARMACEUTICALS, INC. S-1 Stifel, Nicolaus & Company, Inc. BMO Capital Markets Corp. Robert W. Baird & Co. Inc. / William Blair & Company, L.L.C. / Ladenburg Thalmann & Co. Inc.
ZOSANO PHARMA CORP S-1 Wedbush Securities Inc. Ladenburg Thalmann & Co. Inc. Roth Capital Partners, LLC

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

Have a great week.