Category Archives: Top underwriters

IPO Underwriters of the Week: Feb 13 – 17 / 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.

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
ATOSSA GENETICS INC S-1 Aegis Capital Corp. ~ ~
AXA EQUITABLE LIFE INSURANCE CO S-3 AXA Advisors, LLC AXA Distributors, LLC ~
COOL TECHNOLOGIES INC S-1 Bellridge Capital, LP ~ ~
CONSUMER CAPITAL GROUP INC S-1 Boustead Securities, LLC Network 1 Financial Securities, Inc. ~
MATLIN & PARTNERS ACQUISITION CORP S-1 Cantor Fitzgerald & Co. ~ ~
CANADA GOOSE HOLDINGS INC F-1 CIBC World Markets Inc. / Credit Suisse Securities LLC / Goldman, Sachs & Co. / RBC Capital Markets, LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Morgan Stanley & Co. LLC / Barclays Capital Inc. / BMO Capital Markets Corp. TD Securities Inc. / Wells Fargo Securities, LLC / Canaccord Genuity Inc. / Nomura Securities International, Inc. / Robert W. Baird & Co. Inc.
VANTAGE ENERGY ACQUISITION CORP S-1 Citigroup Global Markets Inc. ~ ~
TRADING DESK INC S-1 Citigroup Global Markets Inc. Jefferies LLC / RBC Capital Markets, LLC Needham and Company, LLC / Raymond James & Associates, Inc.
MEDLEY LLC S-1 FBR Capital Markets & Co. ~ ~
BANK OF N.T. BUTTERFIELD & SON LTD F-1 Goldman, Sachs & Co. Citigroup Global Markets Inc. Sandler O’Neill & Partners, L.P. / Keefe, Bruyette & Woods, Inc.
MULESOFT INC S-1 Goldman, Sachs & Co. / J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. Allen & Company LLC / Barclays Capital Inc. / Jefferies LLC Canaccord Genuity Inc. / Piper Jaffray & Co. / William Blair & Company, L.L.C.
LIBERTY OILFIELD SERVICES INC S-1 Morgan Stanley & Co. LLC Goldman, Sachs & Co. ~
GREAT BASIN SCIENTIFIC INC S-1 Roth Capital Partners, 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: Feb 6 – 10 / plus 2016’s top law firms

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 +
ADVAXIS INC S-3 Cantor Fitzgerald & Co. ~ ~
CNX COAL RESOURCES LP S-3 CONSOL Energy Inc. ~ ~
FTS INTERNATIONAL INC S-1 Credit Suisse Securities LLC Morgan Stanley & Co. LLC ~
ATKORE INTERNATIONAL GROUP INC S-1 Credit Suisse Securities LLC Deutsche Bank Securities Inc. J.P. Morgan Securities LLC. / UBS Securities LLC
PROPETRO HOLDING CORP S-1 Goldman, Sachs & Co. / Barclays Capital Inc. / Credit Suisse Securities LLC J.P. Morgan Securities LLC / Evercore Group L.L.C. / Piper Jaffray & Co. / RBC Capital Markets, LLC Raymond James & Associates, Inc. / Tudor, Pickering, Holt & Co. Securities, Inc. / Deutsche Bank Securities Inc. / Johnson Rice & Company L.L.C.
NOODLES & CO S-1 Jefferies LLC ~ ~
FDO HOLDINGS INC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Barclays Capital Inc. Credit Suisse Securities LLC / UBS Securities LLC
JILL INTERMEDIATE LLC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. / Morgan Stanley & Co. LLC / Jefferies LLC Deutsche Bank Securities Inc. / RBC Capital Markets, LLC / UBS Securities LLC Wells Fargo Securities, LLC / Cowen and Company, LLC / Macquarie Capital Inc. / 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: Jan 30 – Feb 3 / plus whitepaper: improving SEC disclosure

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 +
CAPNIA INC S-1 Aspire Capital Fund, LLC ~ ~
GMS INC S-1 Barclays Capital Inc. Credit Suisse Securities LLC RBC Capital Markets, LLC
POLARITYTE INC S-1 Brian M. Herman, registered broker-dealer Jim Christodoulis, registered broker-dealer Matthew Spraugue Swanson, registered broker-dealer
VIEWRAY INC S-3 FBR Capital Markets & Co. ~ ~
HAMILTON LANE INC S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC / Goldman, Sachs & Co. Keefe, Bruyette & Woods, Inc. / Wells Fargo Securities, LLC
SNAP INC S-1 Morgan Stanley & Co. LLC / Goldman, Sachs & Co. / J.P. Morgan Securities LLC / Deutsche Bank Securities Inc. / Barclays Capital Inc. / Credit Suisse Securities LLC / Allen & Company LLC / BTIG, LLC C.L. King & Associates, Inc. / Citigroup Global Markets Inc. / Cowen and Company, LLC / Evercore Group, LLC / Jefferies LLC / JMP Securities LLC / LionTree Advisors LLC / LUMA Securities LLC Mischler Financial Group, Inc. / Oppenheimer & Co., Inc. / RBC Capital Markets, LLC / Samuel A. Ramirez & Co., Inc. / Stifel Financial Corp. / SunTrust Robinson Humphrey, Inc. / The Williams Capital Group, L.P. / William Blair & Company, L.L.C.
CHEVAL RESOURCES CORP S-1 Rory O’Dare ~ ~
EASTSIDE DISTILLING INC S-1 Roth Capital Partners, 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: Jan 23 – 27 / plus whitepaper: improving SEC disclosure

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 +
FIRST HAWAIIAN INC S-1 Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC / BNP Paribas Securities Corp.
GOLDMAN SACHS MIDDLE MARKET LENDING LLC 10-12G Goldman, Sachs & Co. Goldman Sachs International ~
DUOS TECHNOLOGIES GROUP INC S-1 Joseph Gunnar & Co., LLC ~ ~
ITUS CORP S-1 Meetrix Communications, Inc. ~ ~
ECO SCIENCE SOLUTIONS INC S-1 Phenix Ventures, LLC ~ ~
PEACHTREE ALTERNATIVE STRATEGIES FUND N-2 Ultimus Fund Distributors, 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: Jan 16 – 20 / plus “SEC Reporting & Filing in the Trump Administration” webinar

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
BIOVIE INC S-1 Aspire Capital Fund, LLC
CACHET FINANCIAL SOLUTIONS INC S-1 Lake Street Capital Markets, LLC 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: Jan 9 – 13 / plus Reg A+ Form 1-A Worksheet

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 +
SMART SAND INC S-1 Credit Suisse Securities LLC Goldman, Sachs & Co. ~
FOUNDATION BUILDING MATERIALS INC S-1 Deutsche Bank Securities Inc. / Barclays Capital Inc. / RBC Capital Markets, LLC Citigroup Global Markets Inc. / Robert W. Baird & Co. Inc. / Raymond James & Associates, Inc. Stephens Inc. / SunTrust Robinson Humphrey, Inc. / William Blair & Company, L.L.C.
US FOODS HOLDING CORP S-1 Goldman Sachs & Co. Morgan Stanley & Co. 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: Jan 2 – 6 / plus M&A worksheet

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 +
PROGENICS PHARMACEUTICALS INC S-3 Cantor Fitzgerald & Co. ~ ~
INVITATION HOMES INC S-11 Deutsche Bank Securities Inc. / J.P. Morgan Securities LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Goldman, Sachs & Co. / Wells Fargo Securities, LLC Credit Suisse Securities LLC / Morgan Stanley & Co. LLC / RBC Capital Markets, LLC / Blackstone Advisory Partners L.P. / BTIG, LLC Evercore Group L.L.C. / FBR Capital Markets & Co. / JMP Securities LLC / Keefe, Bruyette & Woods, Inc. / Raymond James & Associates, Inc. / Siebert Cisneros Shank & Co., L.L.C. / Zelman Partners LLC
CLEAN DIESEL TECHNOLOGIES INC S-3 MDB Capital Group, LLC ~ ~
ADVANCEPIERRE FOODS HOLDINGS INC S-1 Morgan Stanley & Co. LLC Credit Suisse Securities LLC Barclays Capital Inc.
IEG HOLDINGS CORP S-4 OneMain Holdings, Inc. ~ ~
KIMBELL ROYALTY PARTNERS LP S-1 Raymond James & Associates, Inc. RBC Capital Markets, LLC Stifel, Nicolaus & Company, Inc. / Stephens Inc. / Wunderlich 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. Click here and opt-in to receive this weekly summary via email.Have a great week.

IPO Underwriters of the Week: Dec 26 – 30 / plus 2017 EDGAR filing deadline calendar

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 +
AXA EQUITABLE LIFE INSURANCE CO S-3 AXA Advisors, LLC AXA Distributors, LLC ~
OBSEVA SA F-1 Credit Suisse Securities LLC Jefferies LLC Leerink Partners LLC
NOVAVAX INC S-3 FBR Capital Markets & Co. ~ ~
BRAEBURN PHARMACEUTICALS INC S-1 J.P. Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc.
JOUNCE THERAPEUTICS INC S-1 J.P. Morgan Securities LLC Cowen and Company, LLC Wells Fargo Securities, LLC / Robert W. Baird & Co. Inc.
CYTORI THERAPEUTICS INC S-1 Lincoln Park Capital Fund, LLC ~ ~
APPDYNAMICS INC S-1 Morgan Stanley & Co. LLC Goldman, Sachs & Co. J.P. Morgan Securities LLC / Barclays Capital Inc. / UBS Securities LLC / Wells Fargo Securities, LLC / William Blair & Company, L.L.C. / 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. Click here and opt-in to receive this weekly summary via email.

Have a great week.

IPO Underwriters of the Week: Dec 19 – 23

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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.

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
NEW AGE BEVERAGES CORP S-1 Aegis Capital Corp. ~ ~
FUNCTION(X) INC S-1 Aegis Capital Corp. ~ ~
MYND ANALYTICS INC S-1 Aspire Capital Fund, LLC ~ ~
COOL TECHNOLOGIES INC S-1 Bellridge Capital, LP ~ ~
ADOMANI INC 1-A Boustead Securities LLC ~ ~
FINTECH ACQUISITION CORP. II S-1 Cantor Fitzgerald & Co. Northland Securities, Inc. ~
BIO-PATH HOLDINGS INC S-3 Cantor Fitzgerald & Co. ~ ~
JAGGED PEAK ENERGY INC S-1 Citigroup Global Markets Inc. Credit Suisse Securities LLC J.P. Morgan Securities LLC
KLEOPATRA HOLDINGS 2 S.C.A. S-1 Citigroup Global Markets Inc. Credit Suisse Securities LLC Goldman, Sachs & Co. / Merrill Lynch, Pierce, Fenner & Smith Inc. / Robert W. Baird & Co. Inc. / Jefferies LLC
OXFORD IMMUNOTEC GLOBAL PLC S-3 Cowen and Company, LLC ~ ~
IMMURON LTD F-1 Joseph Gunnar & Co., LLC ~ ~
PRESSURE BIOSCIENCES INC S-1 Joseph Gunnar & Co., LLC ~ ~
SCHNEIDER NATIONAL INC S-1 Morgan Stanley & Co. LLC UBS Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Credit Suisse Securities LLC / J.P. Morgan Securities LLC / Wells Fargo 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. Click here and opt-in to receive this weekly summary via email.

Have a great week.

 

IPO Underwriters of the Week: Dec 12 – 16 / plus proxy planning

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 +
COMMUNITY FIRST BANCSHARES INC S-1 BSP Securities, LLC ~ ~
ALLIANZ LIFE INSURANCE CO OF NEW YORK S-1 Allianz Life Financial Services, LLC ~ ~
ALLIANZ LIFE INSURANCE CO OF NORTH AMERICA S-1 Allianz Life Financial Services, LLC ~ ~
RITTER PHARMACEUTICALS INC S-1 Aspire Capital Fund, LLC ~ ~
KEANE GROUP INC S-1 Citigroup Global Markets Inc. Morgan Stanley & Co. LLC Merrill Lynch, Pierce, Fenner & Smith  Inc. / J.P. Morgan Securities LLC / Wells Fargo Securities, LLC / Piper Jaffray & Co. / Houlihan Lokey Capital, Inc. / Guggenheim Securities, LLC
METROPOLITAN LIFE INSURANCE CO S-3 MetLife Investors Distribution Co. ~ ~
PCSB FINANCIAL CORP S-1 Sandler O’Neill & Partners, L.P. ~ ~

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. Click here and opt-in to receive this weekly summary via email.

Have a great week.