Category Archives: Top underwriters

IPO Underwriters of the Week: March 6 – 17 / plus “Billion Dollar Questions” for M&A

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 +
NIGHTFOOD HOLDINGS INC S-1 Black Forest Capital, LLC ~ ~
BLACKSTONE REAL ESTATE INCOME FUND N-2 Blackstone Advisory Partners, L.P. ~ ~
BLACKSTONE REAL ESTATE INCOME FUND II N-2 Blackstone Advisory Partners, L.P. ~ ~
BRIGHTHOUSE LIFE INSURANCE CO S-3 Brighthouse Securities, LLC ~ ~
BRIGHTHOUSE LIFE INSURANCE CO OF NY S-3 Brighthouse Securities, LLC ~ ~
LSC COMMUNICATIONS INC S-1 Citigroup Global Markets Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. J.P. Morgan Securities LLC / Wells Fargo Securities, LLC
KAYNE ANDERSON ACQUISITION CORP S-1 Citigroup Global Markets Inc. Deutsche Bank Securities Inc. Credit Suisse Securities LLC
SOLARIS OILFIELD INFRASTRUCTURE INC S-1 Credit Suisse Securities LLC Goldman, Sachs & Co.
WARRIOR MET COAL LLC S-1 Credit Suisse Securities LLC / Citigroup Global Markets Inc. Morgan Stanley & Co. LLC / BMO Capital Markets Corp. / RBC Capital Markets, LLC Apollo Global Securities, LLC / KKR Capital Markets LLC / Clarksons Platou Securities, Inc.
NCS MULTISTAGE HOLDINGS INC S-1 Credit Suisse Securities LLC / Citigroup Global Markets Inc. Wells Fargo Securities, LLC / J.P. Morgan Securities LLC / Piper Jaffray & Co. Raymond James & Associates, Inc. / RBC Capital Markets, LLC / Tudor, Pickering, Holt & Co. Securities, Inc.
ACTINIUM PHARMACEUTICALS INC S-3 FBR Capital Markets & Co. ~ ~
HERITAGE NOLA BANCORP INC S-1 FIG Partners, LLC ~ ~
NETSHOES (CAYMAN) LTD F-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC / Banco Bradesco BBI S.A. Allen & Company LLC / Jefferies LLC
ATHENE HOLDING LTD S-1 Goldman, Sachs & Co. ~ ~
TALEND SA F-1 Goldman, Sachs & Co. / J.P. Morgan Securities LLC Barclays Capital Inc. / Citigroup Global Markets Inc. Pacific Crest Securities / William Blair & Company, L.L.C.
OKTA INC S-1 Goldman, Sachs & Co. / J.P. Morgan Securities LLC Allen & Company LLC / Pacific Crest Securities Canaccord Genuity Inc. / JMP Securities LLC
CADENCE BANCORPORATION S-1 Goldman, Sachs & Co. / J.P. Morgan Securities LLC / Sandler O’Neill & Partners, L.P. Keefe, Bruyette & Woods, Inc. / Robert W. Baird & Co. Inc. / Raymond James & Associates, Inc. Stephens Inc. / SunTrust Robinson Humphrey, Inc. / Tudor, Pickering, Holt & Co. Securities, Inc.
CUI GLOBAL INC S-3 H.C. Wainwright & Co., LLC ~ ~
E.L.F. BEAUTY INC S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Piper Jaffray & Co. / Wells Fargo Securities, LLC
MONEYONMOBILE INC S-1 Joseph Gunnar & Co., LLC ~ ~
EAGLE FINANCIAL BANCORP INC S-1 Keefe, Bruyette & Woods, Inc. ~ ~
CATALYST BIOSCIENCES INC S-1 Ladenburg Thalmann & Co. Inc. ~ ~
DEXTERA SURGICAL INC S-1 Ladenburg Thalmann & Co. Inc. Craig-Hallum Capital Group LLC ~
TOCAGEN INC S-1 Leerink Partners LLC Evercore Group L.L.C. Stifel, Nicolaus & Company, Inc.
ONCOBIOLOGICS INC S-1 Lincoln Park Capital Fund, LLC ~ ~
MODERN MEDIA ACQUISITION CORP S-1 Macquarie Capital Inc. ~ ~
YEXT INC S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC / RBC Capital Markets, LLC Pacific Crest Securities / Piper Jaffray & Co.
IMPERIAL GARDEN & RESORT INC F-1 Network 1 Financial Securities, Inc. ~ ~
TANDEM DIABETES CARE INC S-1 Piper Jaffray & Co. Wedbush Securities Inc. ~
VERITONE INC S-1 Wunderlich Securities, Inc. Craig-Hallum Capital Group, 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 27 – March 3 / plus “Billion Dollar Questions” for M&A

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 +
SILVER RUN ACQUISITION CORP II S-1 Citigroup Global Markets Inc. Credit Suisse Securities LLC Deutsche Bank Securities Inc.
IMMUNOGEN INC S-3 Cowen and Company, LLC ~ ~
EDITAS MEDICINE INC S-3 Cowen and Company, LLC ~ ~
SELECT ENERGY SERVICES INC S-1 Credit Suisse Securities LLC / FBR Capital Markets & Co. / Wells Fargo Securities, LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Citigroup Global Markets Inc. / J.P. Morgan Securities LLC Deutsche Bank Securities Inc. / RBC Capital Markets, LLC / Piper Jaffray & Co. / Tudor, Pickering, Holt & Co. Securities Inc.
GARDNER DENVER HOLDINGS INC S-1 KKR Capital Markets LLC ~ ~
EL CAPITAN PRECIOUS METALS INC S-1 L2 Capital, LLC ~ ~
ZOSANO PHARMA CORP S-1 Piper Jaffray & Co. Guggenheim Securities, LLC
STONE RIDGE TRUST III N-2 Quasar Distributors, LLC ~ ~
RONCO BRANDS INC 1-A Wellington Shields & 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: Feb 20 – 24 / plus “Billion Dollar Questions” for M&A

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 +
ACHILLION PHARMACEUTICALS INC S-3 Cantor Fitzgerald & Co. ~ ~
VIVEVE MEDICAL INC S-1 Cowen and Company, LLC Raymond James & Associates, Inc. Ladenburg Thalmann & Co.
COTIVITI HOLDINGS INC S-1 Credit Suisse Securities LLC Barclays Capital Inc. ~
ALTERYX INC S-1 Goldman, Sachs & Co. / J.P. Morgan Securities LLC Pacific Crest Securities / William Blair & Company, L.L.C. JMP Securities LLC / Raymond James & Associates, Inc. / Cowen and Company, LLC
BIOBLAST PHARMA LTD F-1 H.C. Wainwright & Co., LLC ~ ~
UNITED CANNABIS 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: 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.