Category Archives: Top underwriters

IPO Underwriters of the Week: May 22 – 26 / plus M&A whitepaper

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.

v-banner-billionma

Registant Form Underwriter 1 Underwriter 2 Underwriter 3 +
INPIXON S-1 Aegis Capital Corp. ~ ~
ZK INTERNATIONAL GROUP CO. LTD F-1 Boustead Securities, LLC ~ ~
BECTON DICKINSON & CO S-4 Citigroup Global Markets Inc. Barclays Capital Inc. BNP Paribas Securities Corp.
RANGER ENERGY SERVICES INC S-1 Credit Suisse Securities LLC Piper Jaffray & Co. Wells Fargo Securities, LLC / Barclays Capital Inc.
VIVALDI OPPORTUNITIES FUND N-2 Foreside Fund Services, LLC ~ ~
ATHENE HOLDING LTD S-1 Goldman Sachs & Co. LLC ~ ~
IRSA PROPIEDADES COMERCIALES S.A. F-1 J.P. Morgan Securities LLC ~ ~
GRANITE POINT MORTGAGE TRUST INC S-11 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Citigroup Global Markets Inc. / JMP Securities LLC
CYCLACEL PHARMACEUTICALS INC S-1 Ladenburg Thalmann & Co. Inc. ~ ~
INTERPACE DIAGNOSTICS GROUP INC S-1 Maxim Group LLC ~ ~
FOUR SPRINGS CAPITAL TRUST S-11 RBC Capital Markets, LLC SunTrust Robinson Humphrey, Inc. ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

IPO Underwriters of the Week: May 15 – 19 / plus M&A whitepaper

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.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
JELD-WEN HOLDING INC S-1 Barclays Capital Inc. Citigroup Global Markets Inc. Credit Suisse Securities LLC / J.P. Morgan Securities LLC
BRIGHTHOUSE LIFE INSURANCE CO S-3 Brighthouse Securities, LLC ~ ~
VBI VACCINES INC/BC S-3 Canaccord Genuity Inc. ~ ~
TRADING DESK INC S-1 Citigroup Global Markets Inc. Jefferies LLC / RBC Capital Markets, LLC Needham and Company, LLC / Raymond James & Associates, Inc.
CONSTELLATION ALPHA CAPITAL CORP S-1 Cowen and Company, LLC I-Bankers Securities, Inc. ~
SAUER ENERGY INC S-1 East Six Opportunity Fund, LLC ~ ~
GALECTIN THERAPEUTICS INC S-3 FBR Capital Markets & Co. ~ ~
PETROSHARE CORP S-1 Johnson Rice & Company L.L.C. Seaport Global Securities LLC ~
CIM COMMERCIAL TRUST CORP S-11 Leumi Partners Underwriting Ltd. ~ ~
THEMAVEN INC S-1 MDB Capital Group LLC ~ ~
TCG BDC INC N-2 Merrill Lynch, Pierce, Fenner & Smith Inc. / Morgan Stanley & Co. LLC J.P. Morgan Securities LLC / Citigroup Global Markets Inc. / Keefe, Bruyette & Woods, Inc. Wells Fargo Securities, LLC / HSBC Securities Inc. / Mizuho Securities USA LLC
AGM GROUP HOLDING INC F-1 Network 1 Financial Securities, Inc. ~ ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

IPO Underwriters of the Week: May 8 – 12 / plus M&A whitepaper

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.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
CITIUS PHARMACEUTICALS INC S-1 Aegis Capital Corp. Chardan Capital Markets, LLC
GMS INC S-1 Barclays Capital Inc. RBC Capital Markets, LLC Credit Suisse Securities LLC
US LBM HOLDINGS INC S-1 Barclays Capital Inc. RBC Capital Markets, LLC Credit Suisse Securities LLC
GMS INC S-1 Barclays Capital Inc. RBC Capital Markets, LLC Credit Suisse Securities LLC
US LBM HOLDINGS INC S-1 Barclays Capital Inc. RBC Capital Markets, LLC Credit Suisse Securities LLC
LOTON CORP S-1 BMO Capital Markets Corp. ~ ~
CONTURA ENERGY INC S-1 Citigroup Global Markets Inc. ~ ~
ATHENEX INC S-1 Credit Suisse Securities LLC J.P. Morgan Securities LLC Deutsche Bank Securities Inc.
BLACKLINE INC S-1 Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC Pacific Crest Securities / Raymond James & Associates, Inc. William Blair & Company, L.L.C. / JMP Securities LLC
CYMABAY THERAPEUTICS INC S-3 JonesTrading Institutional Services LLC ~ ~
ELITE PHARMACEUTICALS INC S-3 Lincoln Park Capital Fund, LLC ~ ~
OASIS MIDSTREAM PARTNERS LP S-1 Morgan Stanley & Co. LLC / Citigroup Global Markets Inc. / Wells Fargo Securities, LLC / Credit Suisse Securities LLC / Deutsche Bank Securities Inc. / Goldman Sachs & Co. LLC / J.P. Morgan Securities LLC RBC Capital Markets, LLC / BOK Financial Securities, Inc. / BB&T Capital Markets / BBVA Securities Inc. / BTIG, LLC / Capital One Securities, Inc. / CIBC World Markets Corp. / Citizens Capital Markets, Inc. Comerica Securities, Inc. / Heikkinen Energy Securities, LLC / IBERIA Capital Partners L.L.C. / ING Financial Markets LLC / Johnson Rice & Company L.L.C. / Regions Securities LLC / Piper Jaffray & Co. / Tudor, Pickering, Holt & Co. Securities, Inc.
ISSUER DIRECT CORP S-3 Red Oak Partners, LLC ~ ~
HOME BANCSHARES INC S-4 Stonegate Bank ~ ~
ADVANCED DISPOSAL SERVICES INC S-3 UBS Securities LLC / Deutsche Bank Securities Inc. / Morgan Stanley & Co. LLC Macquarie Capital Inc. / Barclays Capital Inc. / Credit Suisse Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Stifel, Nicolaus & Company, Inc. / First Analysis Securities Corp.

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

IPO Underwriters of the Week: May 1 – 5 / plus M&A whitepaper

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.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
ADVANTAGE SOLUTIONS INC S-1 Goldman Sachs & Co. LLC Morgan Stanley & Co. LLC ~
NINE ENERGY SERVICE INC S-1 J.P. Morgan Securities LLC Goldman Sachs & Co. LLC Wells Fargo Securities, LLC
KINSALE CAPITAL GROUP INC S-1 J.P. Morgan Securities LLC / William Blair & Company, L.L.C. RBC Capital Markets, LLC / SunTrust Robinson Humphrey, Inc. Dowling & Partners Securities LLC / Moelis & Company LLC
AEGLEA BIOTHERAPEUTICS INC S-3 JonesTrading Institutional Services LLC ~ ~
AEGLEA BIOTHERAPEUTICS INC S-3 JonesTrading Institutional Services LLC ~ ~
GOLD STANDARD MINING CO S-1 Kim D. Southworth ~ ~
REVEN HOUSING REIT INC S-11 Ladenburg Thalmann & Co., Inc. ~ ~
VENATOR MATERIALS PLC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. ~ ~
AIR INDUSTRIES GROUP S-1 Roth Capital Partners, LLC Taglich Brothers, Inc. ~
SHOTSPOTTER INC S-1 Roth Capital Partners, LLC Northland Capital Markets Imperial Capital, LLC

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

IPO Underwriters of the Week: April 24 – 28 / plus M&A whitepaper

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.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
SMART GLOBAL HOLDINGS INC S-1 Barclays Capital Inc. / Deutsche Bank Securities, Inc. Jefferies LLC / Stifel, Nicolaus & Company, Inc. Needham & Company, LLC / Roth Capital Partners, LLC
BRIGHTHOUSE LIFE INSURANCE CO S-3 Brighthouse Securities, LLC ~ ~
BRIGHTHOUSE LIFE INSURANCE CO OF NY S-3 Brighthouse Securities, LLC ~ ~
CARDCONNECT CORP S-3 Cantor Fitzgerald & Co. ~ ~
ABS LONG/SHORT STRATEGIES FUND N-2 Foreside Fund Services, LLC ~ ~
ARCA BIOPHARMA INC S-3 Jones Trading Institutional Services LLC ~ ~
KBL MERGER CORP. IV S-1 Ladenburg Thalmann & Co. Inc. B. Riley & Co., LLC FBR Capital Markets & Co.
PYXIS TANKERS INC F-1 Maxim Group LLC ~ ~
TPG RE FINANCE TRUST INC S-11 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. Goldman, Sachs & Co. / Wells Fargo Securities, LLC
APPIAN CORP S-1 Morgan Stanley & Co. LLC / Goldman, Sachs & Co. Barclays Capital Inc. / Pacific Crest Securities Canaccord Genuity Inc. / Cowen and Company, LLC
CO-DIAGNOSTICS INC S-1 Network 1 Securities, Inc. ~ ~
GPM PETROLEUM LP S-1 Raymond James & Associates, Inc. Wells Fargo Securities, LLC RBC Capital Markets, LLC
AVENUE THERAPEUTICS INC S-1 Raymond James & Associates, Inc. National Securities Corp. ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

IPO Underwriters of the Week: April 17 – 21 / plus M&A whitepaper

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.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
CHINA INTERNET NATIONWIDE FINANCIAL SERVICES INC F-1 Boustead Securities, LLC ~ ~
ARGENX N.V. F-1 Cowen and Company, LLC Piper Jaffray & Co. JMP Securities LLC / Wedbush Securities Inc.
TPG PACE ENERGY HOLDINGS CORP S-1 Deutsche Bank Securities Inc. Goldman, Sachs & Co. ~
SITEONE LANDSCAPE SUPPLY INC S-1 Deutsche Bank Securities Inc. Goldman, Sachs & Co. UBS Securities LLC
INFINITY CORE ALTERNATIVE FUND N-2 Foreside Fund Services, LLC ~ ~
TPI COMPOSITES INC S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC ~
LIGHTWAVE LOGIC INC S-1 Lincoln Park Capital Fund, LLC ~ ~
BRIGHT SCHOLAR EDUCATION HOLDINGS LTD F-1 Morgan Stanley & Co. International PLC Deutsche Bank Securities Inc. China Merchants Securities (HK) Co., Ltd.
USA COMPRESSION PARTNERS LP S-3 USA Compression Holdings, LLC ~ ~
NEWATER TECHNOLOGY INC F-1 ViewTrade Securities Inc. ~ ~
EYEGATE PHARMACEUTICALS INC S-1 Wedbush Securities Inc. ~ ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

IPO Underwriters of the Week: April 10 – 14 / plus M&A whitepaper

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.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
OVID THERAPEUTICS INC S-1 Citigroup Global Markets Inc. Cowen and Company, LLC William Blair & Company, L.L.C. / JMP Securities LLC
VINE RESOURCES INC S-1 Credit Suisse Securities LLC Morgan Stanley & Co. LLC
ICHOR HOLDINGS LTD S-1 Deutsche Bank Securities Inc. Stifel, Nicolaus & Company, Inc. / RBC Capital Markets, LLC Cowen and Company, LLC / Needham & Company, LLC
SIMPLY GOOD FOODS CO S-4 Deutsche Bank Securities, Inc. ~ ~
PACIFIC ETHANOL INC S-3 FBR Capital Markets & Co. ~ ~
RICH PHARMACEUTICALS INC S-1 GHS Investments, LLC ~ ~
US FOODS HOLDING CORP S-1 Goldman, Sachs & Co. Morgan Stanley & Co. LLC J.P. Morgan Securities LLC / KKR Capital Markets LLC
GREAT WEST LIFE & ANNUITY INSURANCE CO S-1 GWFS Equities, Inc. ~ ~
GENERAL MOLY INC S-3 H.C. Wainwright & Co. LLC ~ ~
HEALTHLYNKED CORP S-1 Iconic Holdings LLC ~ ~
ALTICE USA INC S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Citigroup Global Markets Inc. / Goldman, Sachs & Co.
G1 THERAPEUTICS INC S-1 J.P. Morgan Securities LLC Cowen and Company, LLC Needham & Company, LLC / Wedbush Securities Inc.
SAFETY INCOME & GROWTH INC S-11 Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC Barclays Capital Inc.
TAPSTONE ENERGY INC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc.
AUDENTES THERAPEUTICS INC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Cowen and Company, LLC Piper Jaffray & Co. / Wedbush Securities Inc.
NUO THERAPEUTICS INC S-1 Northland Capital Markets ~ ~
EWELLNESS HEALTHCARE CORP S-1 Tangiers Global, LLC ~ ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

IPO Underwriters of the Week: April 3 – 7 / plus M&A whitepaper

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.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
OCEAN POWER TECHNOLOGIES INC S-1 Aegis Capital Corp ~ ~
PHI GROUP INC S-1 Azure Capital, Inc. ~ ~
ZYMEWORKS INC F-1 Citigroup Global Markets Canada Inc. Barclays Capital Inc. / Wells Fargo Securities, LLC Canaccord Genuity Inc. / Cormark Securities Ltd.
FIVE POINT HOLDINGS LLC S-11 Citigroup Global Markets Inc. / J.P. Morgan Securities LLC RBC Capital Markets, LLC / Wells Fargo Securities, LLC / Deutsche Bank Securities Inc. Evercore Group L.L.C. / Zelman Partners LLC / JMP Securities LLC
SYNDAX PHARMACEUTICALS INC S-3 Cowen and Company, LLC
ADVANCEPIERRE FOODS HOLDINGS INC S-1 Credit Suisse Securities LLC Morgan Stanley & Co. LLC Barclays Capital Inc.
APPIPHANY TECHNOLOGIES HOLDINGS CORP S-1 GHS Investments LLC ~ ~
ISHARES S&P GSCI COMMODITY-INDEXED TRUST S-3 Goldman, Sachs & Co. ~ ~
AMPLIPHI BIOSCIENCES CORP S-1 H.C. Wainwright & Co., LLC ~ ~
VERONA PHARMA PLC F-1 Jefferies LLC Stifel, Nicolaus & Company, Inc. Wedbush Securities Inc. / SunTrust Robinson Humphrey, Inc.
UROGEN PHARMA LTD F-1 Jefferies LLC Cowen and Company, LLC
BIOHAVEN PHARMACEUTICAL HOLDING CO LTD S-1 Morgan Stanley & Co. LLC Piper Jaffray & Co. / Barclays Capital Inc. William Blair & Company, L.L.C. / Needham & Company, LLC
COUPA SOFTWARE INC S-1 Morgan Stanley & Co. LLC ~ ~
GUARANTY BANCSHARES INC S-1 Sandler O’Neill + Partners, L.P. Stephens Inc. ~
KKR REAL ESTATE FINANCE TRUST INC S-11 Wells Fargo Securities, LLC / Morgan Stanley & Co. LLC KKR Capital Markets LLC / Barclays Capital Inc. Goldman, Sachs & Co. / J.P. Morgan Securities LLC / Keefe, Bruyette & Woods, Inc.

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

IPO Underwriters of the Week: March 27 – 31 / plus M&A whitepaper

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.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
TRACON PHARMA-CEUTICALS INC S-1 Aspire Capital Fund, LLC ~ ~
AMPIO PHARMA-CEUTICALS INC S-3 Cantor Fitzgerald & Co ~ ~
VERASTEM INC S-3 Cantor Fitzgerald & Co. ~ ~
FRONTIER GROUP HOLDINGS INC S-1 Citigroup Global Markets Inc. / Deutsche Bank Securities Inc. / Evercore Group L.L.C. J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. / Cowen and Company, LLC Credit Suisse Securities LLC / Goldman, Sachs & Co. / Raymond James & Associates, Inc. / UBS Securities LLC
AKCEA THERAPEUTICS INC S-1 Cowen and Company, LLC Stifel, Nicolaus & Company, Inc. Wells Fargo Securities, LLC
MIRAGEN THERAPEUTICS INC S-3 Cowen and Company, LLC ~ ~
PRIME MERIDIAN HOLDING CO S-1 FIG Partners, LLC Hovde Group, LLC ~
FS GLOBAL CREDIT OPPORTUNITIES FUND-T2 N-2 FS Investment Solutions, LLC ~ ~
CAMPING WORLD HOLDINGS INC S-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC ~
NATIONAL ENERGY SERVICES REUNITED CORP S-1 Maxim Group LLC National Bank of Canada Financial Inc. ~
ITUS CORP S-3 Meetrix Communications, Inc. Adaptive Capital, LLC ~
EXPO EVENT HOLDCO INC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. Goldman, Sachs & Co. / Citigroup Global Markets Inc. / Credit Suisse Securities LLC Deutsche Bank Securities Inc. / RBC Capital Markets, LLC / Robert W. Baird & Co. Inc.
CHINA RAPID FINANCE LTD F-1 Morgan Stanley & Co. International PLC Credit Suisse Securities LLC Jefferies LLC
ANTERO RESOURCES MIDSTREAM MANAGEMENT LLC S-1 Morgan Stanley & Co. LLC Barclays Capital Inc. J.P. Morgan Securities LLC
CLOUDERA INC S-1 Morgan Stanley & Co. LLC / J.P. Morgan Securities LLC / Allen & Company LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Deutsche Bank Securities Inc. Stifel, Nicolaus & Company Inc. / JMP Securities LLC / Raymond James & Associates, Inc.
APRICUS BIOSCIENCES INC S-1 Rodman & Renshaw ~ ~
MUSCLE MAKER INC 1-A Wellington Shields & Co., LLC ~ ~
CARVANA CO S-1 Wells Fargo Securities, LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. / Deutsche Bank Securities Inc. / Robert W. Baird & Co. Inc. William Blair & Company, L.L.C. / BMO Capital Markets Corp. / JMP Securities LLC

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.

IPO Underwriters of the Week: March 20 – 24 / plus M&A whitepaper

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.

v-banner-billionma

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
EVERBRIDGE INC S-1 Credit Suisse Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. Stifel, Nicolaus & Company, Inc. / Pacific Crest Securities / Canaccord Genuity Inc. Raymond James & Associates, Inc. / Needham & Company, LLC / William Blair & Company, L.L.C.
ENERGY RESOURCES 12 L.P S-1 David Lerner Associates, Inc. ~ ~
FORUM MERGER CORP S-1 EarlyBirdCapital, Inc. FBR Capital Markets & Co. ~
SUNSHINE HEART INC S-1 Ladenburg Thalmann & Co. Inc. Northland Securities, Inc. ~
STONE RIDGE TRUST V N-2 Quasar Distributors, LLC ~ ~
A.S.V. LLC S-1 Roth Capital Partners, LLC ~ ~
STEWARDSHIP FINANCIAL CORP S-1 Sandler O’Neill & Partners, L.P. ~ ~
AUSTRALIAN FORMULATED CORP S-1 Thomas Lashan / Chief Executive Officer ~ ~
WIDEOPENWEST INC S-1 UBS Securities LLC Credit Suisse Securities LLC ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and shareholder communications.

Click here to review the week’s IPOs and active securities law firms.

Have a great week.