Category Archives: Top underwriters

IPO Underwriters of the Week: Aug 22 – 26 / plus merger technology 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 +
CARDCONNECT CORP S-1 Cantor Fitzgerald & Co. ~ ~
TRADE DESK INC S-1 Citigroup Global Markets Inc. Jefferies LLC RBC Capital Markets, LLC / Needham and Company, LLC / Raymond James & Associates, Inc.
SABAN CAPITAL ACQUISITION CORP S-1 Deutsche Bank Securities Inc. Goldman, Sachs & Co. ~
CORMEDIX INC S-3 FBR Capital Markets & Co. ~ ~
GRIDSUM HOLDING INC F-1 Goldman Sachs L.L.C. Citigroup Global Markets Inc. Stifel, Nicolaus & Company, Inc.
AVEXIS INC S-1 Goldman, Sachs & Co. ~ ~
APPTIO INC S-1 Goldman, Sachs & Co. JP Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Barclays Capital Inc. / Jefferies LLC / RBC Capital Markets, LLC / Pacific Crest Securities
BRIGHT MOUNTAIN MEDIA INC S-1 Joseph Gunnar & Co., LLC ~ ~
E.L.F. BEAUTY INC S-1 JP Morgan Securities LLC Morgan Stanley & Co. LLC Piper Jaffray & Co. / Wells Fargo Securities, LLC / William Blair & Company, L.L.C. / Cowen and Company, LLC / BMO Capital Markets Corp. / Stifel, Nicolaus & Company, Inc. / SunTrust Robinson Humphrey, Inc
PROTEOSTASIS THERAPEUTICS INC S-1 Leerink Partners LLC RBC Capital Markets, LLC H.C. Wainwright & Co., LLC / Robert W. Baird & Co., Inc.
BANK OF AMERICA CORP S-3 Merrill Lynch, Pierce, Fenner & Smith Inc. ~ `
NOVAN INC S-1 Piper Jaffray & Co. JMP Securities LLC Wedbush Securities Inc.
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: Aug 15 – 19 / plus merger technology 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 +
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 ` ~
EVERBRIDGE INC S-1 Credit Suisse Securities LLC Merrill Lynch, Pierce, Fenner & Smith Inc. Stifel, Nicolaus & Company, Inc. / Pacific Crest Securities / Raymond James & Associates, Inc. / Canaccord Genuity Inc. / William Blair & Company, L.L.C.
FB FINANCIAL CORP S-1 J.P. Morgan Securities LLC UBS Securities LLC Keefe, Bruyette & Woods, Inc.
SANCHEZ PRODUCTION PARTNERS LP S-1 Johnson Rice & Company L.L.C. ~ ~
TRITON ACQUISITION CO S-1 Larry Beazer ~ ~
GREAT BASIN SCIENTIFIC INC S-1 Roth Capital Partners, LLC ~ ~
THAR PHARMACEUTICALS INC S-1 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: Aug 8 – 12 / plus S-1 “how-to” 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
E-COMPASS ACQUISITION CORP S-4 Cantor Fitzgerald & Co. ~
RELATIVE VALUE FUND N-2 Foreside Fund Services, LLC ~
SEASPINE HOLDINGS CORP S-3 Piper Jaffray & Co. ~
PETROSHARE CORP S-1 Roth Capital Partners, LLC Coker & Palmer, 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: Aug 1- 5 / plus S-1 registration workflow paper

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 +
LEO MOTORS INC S-1 BOU Trust ~ ~
NEOS THERAPEUTICS INC S-3 Cowen and Company, LLC ~ ~
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. / Raymond James & Associates, Inc. / 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.

Have a great week.

IPO Underwriters of the Week: July 25 – 29 / plus Bloomberg Reg A+ webcast replay

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
M I ACQUISITIONS INC S-1 Chardan Capital Markets, LLC Maxim Group LLC
ADAPTIMMUNE THERAPEUTICS PLC S-3 Cowen and Company, LLC ~
N-VIRO INTERNATIONAL CORP S-1 Craft Capital Management LLC ~
SIGMA LABS INC S-1 Dawson James Securities, Inc. ~
MICROPHASE CORP S-1 Joseph Gunnar & 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: July 18 – 22 / plus Bloomberg Reg A+ webcast 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 +
IRONSHORE INC S-1 Citigroup Global Markets, Inc. J.P. Morgan Securities LLC Merrill Lynch, Pierce Fenner & Smith Inc. / UBS Securities LLC
NET ELEMENT INC S-1 ESOUSA Holdings, LLC ~ ~
ACTIVECARE INC S-1 Joseph Gunnar & Co., LLC ~ ~
OPTEX SYSTEMS HOLDINGS INC S-1 Joseph Gunnar & 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: July 11 – 15 / plus experts on merger pitfalls

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.

WHITEPAPER –  M&A: Good practices and bad pitfalls. Click here.

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Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
SAUER ENERGY INC S-1 Beaufort Capital Partners, LLC ~ ~
GOLDMAN SACHS PRIVATE MIDDLE MARKET CREDIT LLC 10-12G Goldman, Sachs & Co. ~ ~
FRANCHISE HOLDINGS INTERNATIONAL INC S-1 Kodiak Capital Group, LLC ~ ~
PROTAGONIST THERAPEUTICS INC S-1 Leerink Partners LLC Barclays Capital Inc. BMO Capital Markets Corp.
AIRGAIN INC S-1 Northland Securities, Inc. ~ ~
NUVEEN CALIFORNIA SELECT TAX FREE INCOME PORTFOLIO N-2 Nuveen Securities, LLC ~ ~
PIONEER ILS BRIDGE FUND N-2 Pioneer Funds Distributor, Inc. ~ ~
SUPERIOR DRILLING PRODUCTS INC S-1 Roth Capital Partners, LLC ~ ~
RIVERPARK COMMERCIAL REAL ESTATE FUND N-2 SEI Investments Distribution Co. ~ ~
MOTIF BIO PLC F-1 SunTrust Robinson Humphrey, Inc. ~ ~
AZURRX BIOPHARMA INC S-1 WallachBeth Capital, LLC Network 1 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: July 4 – 8 / 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 +
FILMON.TV NETWORKS INC S-1 Bonwick Capital Partners LLC Network 1 Financial Securities, Inc. ~
NIVALIS THERAPEUTICS INC S-3 Cowen and Company, LLC ~ ~
FIRST HAWAIIAN INC S-1 Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. BNP Paribas Securities Corp. / Barclays Capital Inc. / Credit Suisse Securities LLC / Deutsche Bank Securities Inc. / J.P. Morgan Securities LLC / Citigroup Global Markets Inc. / Morgan Stanley & Co. LLC / UBS Securities LLC / BBVA Securities Inc. / Commerz Markets LLC / HSBC Securities Inc. / ING Financial Markets LLC / Keefe, Bruyette & Woods, Inc. / Banco Santander, S.A.  / Wells Fargo Securities, LLC
FORTERRA INC S-1 Goldman, Sachs & Co. Citigroup Global Markets Inc. Credit Suisse Securities LLC
DRAGONWAVE INC F-1 H.C. Wainwright & Co. ~ ~
CELLECT BIOMED LTD F-1 H.C. Wainwright & 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: June 27 – July 1

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 +
CRYOPORT INC S-1 Aegis Capital Corp. ~ ~
INVUITY INC S-3 Cantor Fitzgerald & Co. ~ ~
TALEND SA F-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC Barclays Capital Inc / Citigroup Global Markets Inc. / William Blair & Company, L.L.C.
BIOVENTUS INC S-1 J.P. Morgan Securities LLC Piper Jaffray & Co. Stifel, Nicolaus & Company, Inc. / Leerink Partners 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
FULL SPECTRUM INC S-1 Joseph Gunnar & Co., LLC ~ ~
NUTRITIONAL HIGH INTERNATIONAL INC F-1 Kodiak Capital Group, LLC ~ ~
GUIDED THERAPEUTICS INC S-1 Ladenburg Thalmann & Co. ~ ~
ELITE PHARMACEUTICALS INC S-1 Lincoln Park Capital Fund, LLC
YETI HOLDINGS INC S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Morgan Stanley & Co. LLC Robert W. Baird & Co. Inc. / Piper Jaffray & Co. / Jefferies LLC / William Blair & Company, L.L.C. / KeyBanc Capital Markets Inc. / SunTrust Robinson Humphrey, Inc. / Wells Fargo Securities, LLC / Raymond James & Associates, Inc. / Stifel, Nicolaus & Comp
ATOMERA INC S-1 National Securities Corporation ~ ~
NUVEEN ALL CAP ENERGY MLP OPPORTUNITIES FUND N-2 Nuveen Securities, LLC ~ ~
XG TECHNOLOGY INC S-1 Roth Capital Partners, LLC Aegis Capital 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: June 20 – 24 / plus new Wall Street investor report

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 +
JAGUAR ANIMAL HEALTH INC S-1 Aspire Capital Fund, LLC ~ ~
CENTENNIAL RESOURCE DEVELOPMENT INC S-1 Credit Suisse Securities LLC Barclays Capital Inc. ~
CONYERS PARK ACQUISITION CORP S-1 Deutsche Bank Securities Inc. Goldman, Sachs & Co. Cantor Fitzgerald & Co.
ACUSHNET HOLDINGS CORP S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC. Nomura Securities International, Inc. / UBS Securities LLC / Credit Suisse Securities LLC / Daiwa Capital Markets America Inc./ Deutsche Bank Securities Inc./ Jefferies LLC / Wells Fargo Securities, LLC
MEDPACE HOLDINGS INC S-1 Jefferies LLC Credit Suisse Securities LLC UBS Securities LLC / Wells Fargo Securities, LLC / Robert W. Baird & Co. Inc. / William Blair & Company, L.L.C.
VIKING THERAPEUTICS INC S-3 Maxim Group LLC ~ ~
PREMIER BIOMEDICAL INC S-1 Redwood Management, 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.