Category Archives: Top underwriters

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.

IPO Underwriters of the Week: Dec 5 – 9 / plus “Mini-IPO” webinar invite

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 +
DRAGON VICTORY INTERNATIONAL LTD F-1 Boustead Securities, LLC Network 1 Financial Securities Inc. ~
REATA PHARMACEUTICALS INC S-1 Citigroup Global Markets Inc. Cowen and Company, LLC Piper Jaffray & Co.
SKYLINE MEDICAL INC S-1 Dawson James Securities, Inc. ~ ~
GORES HOLDINGS II INC S-1 Deutsche Bank Securities Inc. ~ ~
MARRONE BIO INNOVATIONS INC S-3 H.C. Wainwright & Co., LLC ~ ~
NUGENE INTERNATIONAL INC S-1 Joseph Gunnar & Co., LLC ~ ~
STONE RIDGE TRUST II N-2 Quasar 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. Click here and opt-in to receive this weekly summary via email.

Have a great week.

IPO Underwriters of the Week: Nov 28 – Dec 2 / 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 +
NANOFLEX POWER CORP S-1 Aegis Capital Corp. ~ ~
XG TECHNOLOGY INC S-1 Aegis Capital Corp. ~ ~
CELLDEX THERAPEUTICS INC S-3 Cantor Fitzgerald & Co. ~ ~
VOYAGER THERAPEUTICS INC S-3 Cowen and Company, LLC ~ ~
ATKORE INTERNATIONAL GROUP INC S-1 Credit Suisse Securities LLC Deutsche Bank Securities Inc. J.P. Morgan Securities LLC. / UBS Securities LLC
LIMBACH HOLDINGS INC S-1 D.A. Davidson & Co. Craig-Hallum Capital Group LLC ~
HI-CRUSH PARTNERS LP S-3 Hi-Crush Proppants LLC ~
IMMUNE PHARMACEUTICALS INC S-3 HLHW IV, LLC ~
CLEARSIDE BIOMEDICAL INC S-1 J.P. Morgan Securities LLC Cowen and Company, LLC Stifel, Nicolaus & Company, Inc. / Wedbush Securities, Inc.
JOHNSON CONTROLS INTERNATIONAL PLC S-4 Merrill Lynch, Pierce, Fenner & Smith Inc. Citigroup Global Markets Inc. Barclays Capital Inc. / J.P. Morgan Securities LLC / MUFG Securities Americas Inc. / Wells Fargo Securities, LLC
RECRO PHARMA INC S-1 Piper Jaffray & Co. ~ ~
MOLECULIN BIOTECH INC S-1 Roth Capital Partners, 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. Click here and opt-in to receive this weekly summary via email.

Have a great week.

IPO Underwriters of the Week: Nov 21 – 25 (USA holiday week)

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 +
AIRGAIN INC S-1 Cowen and Company, LLC William Blair & Company, L.L.C. Northland Securities, Inc. / Wunderlich Securities, Inc.
ENDRA INC S-1 Dougherty & Company LLC ~ ~
PRESIDIO INC S-1 J.P. Morgan Securities LLC Citigroup Global Markets Inc. Barclays Capital Inc. / RBC Capital Markets, LLC
TACTILE SYSTEMS TECHNOLOGY INC S-1 Piper Jaffray & Co. William Blair & Company, L.L.C. ~

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: Nov 14 – 18

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 +
BEYONDSPRING INC F-1 Citigroup Global Markets Inc. Guggenheim Securities, LLC FBR Capital Markets & Co. / China Renaissance Securities (Hong Kong) Limited / Trout Capital LLC
ARDAGH FINANCE HOLDINGS S.A. F-1 Citigroup Global Markets Inc. ~ ~
ICHOR HOLDINGS LTD S-1 Deutsche Bank Securities Inc. Stifel, Nicolaus & Company, Inc. RBC Capital Markets, LLC / Cowen and Company, LLC / Needham & Company, LLC
MEDLEY LLC S-1 FBR Capital Markets & Co. Incapital LLC Ladenburg Thalmann & Co. Inc. / Compass Point Research & Trading, LLC / William Blair & Company, L.L.C. / JonesTrading Institutional Services LLC / National Securities Corporation / Maxim Group LLC / Boenning & Scattergood, Inc.
SITEONE LANDSCAPE SUPPLY INC S-1 Goldman, Sachs & Co. UBS Securities LLC ~
COTIVITI HOLDINGS INC S-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC ~
TURBO TRAVEL HOLDING B.V. F-1 J.P. Morgan Securities LLC Goldman, Sachs & Co. Morgan Stanley & Co. LLC / Allen & Company LLC / Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / Deutsche Bank Securities Inc. / Cowen and Company, LLC / Guggenheim 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
OPTIV INC S-1 Morgan Stanley & Co. LLC Goldman, Sachs & Co. Barclays Capital Inc. / Citigroup Global Markets Inc. / Blackstone Advisory Partners L.P. / Raymond James & Associates, Inc. / William Blair & Company, L.L.C. / Evercore Group L.L.C. / Guggenheim Securities, LLC / PJT Partners LP
IMPINJ INC S-1 Morgan Stanley & Co. LLC RBC Capital Markets, LLC Pacific Crest Securities / Piper Jaffray & Co. / Needham & Company, LLC / Canaccord Genuity Inc.
FRANKLY INC S-1 Roth Capital Partners, LLC Noble Financial Capital Markets ~
CHINA GEWANG BIOTECHNOLOGY INC S-1 ViewTrade 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.