Category Archives: Top underwriters

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.

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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: 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: 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 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.