Category Archives: Top underwriters

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.

 

 

IPO Underwriters of the Week: Nov 7 – 11

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 +
WILDHORSE RESOURCE DEVELOPMENT CORP S-1 Barclays Capital Inc. Merrill Lynch, Pierce, Fenner & Smith Inc. BMO Capital Markets Corp. / Citigroup Global Markets Inc. / Wells Fargo Securities, LLC / Guggenheim Securities, LLC / J.P. Morgan Securities LLC / Raymond James & Associates, Inc. / Piper Jaffray & Co. / Tudor, Pickering, Holt & Co. Securities, Inc. / Capital One Securities, Inc. / Comerica Securities, Inc. / Scotia Capital (USA) Inc. / Wunderlich Securities, Inc.
DIMENSION THERAPEUTICS INC S-3 Cantor Fitzgerald & Co. ~ ~
KERYX BIO-PHARMACEUTICALS INC S-3 Cantor Fitzgerald & Co. ~ ~
GOLDMAN SACHS BDC INC N-2 Goldman, Sachs & Co. Goldman Sachs International ~
RENNOVA HEALTH INC S-1 Joseph Gunnar & Co., LLC ~ ~
JWIZ INC S-1 Joseph Gunnar & Co., LLC ~ ~
CAR CHARGING GROUP INC S-1 Joseph Gunnar & Co., LLC ~ ~
BEIGENE LTD S-1 Morgan Stanley & Co. LLC Goldman, Sachs & Co. Cowen and Company, LLC
GADSDEN GROWTH PROPERTIES INC S-11 National Securities Corporation ~ ~
KNIGHTSCOPE INC 1-A SI 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: Oct 31 – Nov 4

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
CYTOMX THERAPEUTICS INC S-3 Cantor Fitzgerald & Co.
ACLARIS THERAPEUTICS INC S-3 Cowen and Company, LLC
OVASCIENCE INC S-3 Cowen and Company, LLC.
THERAPIX BIOSCIENCES LTD F-1 H.C. Wainwright & Co., LLC
PEDEVCO CORP S-3 National Securities Corp.
PIMCO FLEXIBLE CREDIT INCOME FUND N-2 PIMCO Investments 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: Oct 24 – 28 / plus 2017 SEC Filing 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 +
STARS ACQUISITION CORP S-1 Chardan Capital Markets, LLC ~ ~
RED ROCK RESORTS INC S-1 Deutsche Bank Securities Inc. ~ ~
ENERGY HUNTER RESOURCES INC 1-A FBR Capital Markets & Co. ~ ~
REV GROUP INC S-1 Goldman, Sachs & Co. Morgan Stanley & Co. LLC Robert W. Baird & Co. Inc. / BMO Capital Markets Corp. / Credit Suisse Securities LLC / Deutsche Bank Securities Inc. / Jefferies & Company, Inc. / Wells Fargo Securities, LLC / Stifel, Nicolaus & Company, Inc.
BELLEROPHON THERAPEUTICS INC S-1 H.C. Wainwright & Co., LLC ~ ~
EMERGE ENERGY SERVICES LP S-1 J.P. Morgan Securities LLC Piper Jaffray & Co. ~
SACHEM CAPITAL CORP S-11 Joseph Gunnar & Co., LLC ~ ~
CELLECTAR BIOSCIENCES INC S-1 Ladenburg Thalmann & Co. Inc. ~ ~
FS ENERGY TOTAL RETURN FUND N-2 Magnetar Asset Management LLC ~ ~
SEANERGY MARITIME HOLDINGS CORP F-1 Maxim Group LLC ~ ~
LONESTAR RESOURCES US INC S-1 Seaport Global Securities LLC Johnson Rice & 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: Oct 17 – 21 / 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
AXA EQUITABLE LIFE INSURANCE CO S-3 AXA Distributors, LLC ~
VERSUS CAPITAL REAL ASSETS FUND LLC N-2 Foreside Funds Distributors LLC ~
COLLPLANT HOLDINGS LTD F-1 Ladenburg Thalmann & Co. Inc. Roth Capital Partners, LLC
RXI PHARMACEUTICALS CORP S-1 Ladenburg Thalmann & Co. Inc. ~
INNOVATIVE INDUSTRIAL PROPERTIES INC S-11 Ladenburg Thalmann & Co. Inc. ~
NORTHSTAR/TOWNSEND INSTITUTIONAL REAL ESTATE FUND INC N-2 NorthStar 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: Oct 10 – 14 / 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 +
SECURED REAL ESTATE FUND II LLC 1-A Cambria Capital, LLC ~ ~
ICC HOLDINGS INC S-1 Griffin Financial Group, LLC ~ ~
FIRST METLIFE INVESTORS INSURANCE CO S-3 MetLife Investors Distribution Co. Brighthouse Securities, LLC ~
HUNTER MARITIME ACQUISITION CORP F-1 Morgan Stanley & Co. LLC ~ ~
NUVEEN PREFERRED & INCOME 2022 TERM FUND N-2 Nuveen Securities, LLC ~ ~
FORCE PROTECTION VIDEO EQUIPMENT CORP S-1 RDW Capital, LLC Carter, Terry & Company ~
ACCELERATED PHARMA INC S-1 Rodman & Renshaw Maxim Group LLC Westpark Capital, Inc.
BIOPHARMX CORP S-1 Roth Capital Partners, LLC ~ ~
CARDAX INC S-1 Southridge Partners II LP ~ ~
EAGLE ACQUISITION CORP S-1 Stifel, Nicolaus & Company, Inc. FBR Capital Markets & Co. Stephens Inc.

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors. Click here and opt-in to receive this weekly summary via email.

Click here to review the week’s underwriters.

Have a great week.

IPO Underwriters of the Week: Oct 3 – 7 / 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 +
SOLIGENIX INC S-1 Aegis Capital Corp. Maxim Group LLC ~
KEMPHARM INC S-3 Cowen and Company, LLC ~ ~
GDS HOLDINGS LTD F-1 Credit Suisse Securities LLC J.P. Morgan Securities LLC Citigroup Global Markets Inc. / RBC Capital Markets, LLC / China Renaissance Securities (Hong Kong) Ltd. / Credit Agricole Securities Inc.
CLIPPER REALTY INC S-11 FBR Capital Markets & Co. ~ ~
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 Corp.
TWILIO INC S-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC Allen & Company LLC / Pacific Crest Securities / JMP Securities LLC / William Blair & Company, L.L.C. / Canaccord Genuity Inc.
MOTA GROUP INC S-1 Joseph Gunnar & Co., LLC ~ ~
NUVEEN CREDIT OPPORTUNITIES 2020 TARGET TERM FUND N-2 Nuveen Securities, LLC ~ ~
NUVEEN CREDIT OPPORTUNITIES 2022 TARGET TERM FUND N-2 Nuveen Securities, LLC ~ ~
NUVEEN CREDIT OPPORTUNITIES 2024 TARGET TERM FUND N-2 Nuveen Securities, LLC ~ ~

Post IPO, thousands of organizations count on us to assure regulatory compliance and target new investors. Click here and opt-in to receive this weekly summary via email.

Click here to review the week’s underwriters.

Have a great week.

IPO Underwriters of the Week: Sept 26 – 30 / 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
ARCHROCK PARTNERS LIMITED PARTNERSHIP S-3 Archrock, Inc. ~ ~
LEO MOTORS INC S-1 BOU Trust ~
MYOVANT SCIENCES LTD S-1 Citigroup Global Markets Inc. Cowen and Company, LLC Evercore Group L.L.C. / Barclays Capital Inc.
GTY TECHNOLOGY HOLDINGS INC S-1 Citigroup Global Markets Inc.
RA PHARMACEUTICALS INC S-1 Credit Suisse Securities LLC Jefferies LLC BMO Capital Markets Corp. / SunTrust Robinson Humphrey, Inc.
POSITIVEID CORP S-1 GHS Investments, LLC ~ ~
ACACIA COMMUNICATIONS INC S-1 Goldman, Sachs & Co. Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc. / Morgan Stanley & Co. LLC / Needham & Company, LLC / Cowen and Company, LLC / William Blair & Company, L.L.C. / Northland Securities, Inc.
BLACKLINE INC S-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC Pacific Crest Securities / Raymond James & Associates, Inc. / William Blair & Company, L.L.C. / Robert W. Baird & Co. Inc.
BLACKLINE INC S-1 Goldman, Sachs & Co. J.P. Morgan Securities LLC Pacific Crest Securities / Raymond James & Associates, Inc. / William Blair & Company, L.L.C. / Robert W. Baird & Co. Inc.
ADVANCED ACCELERATOR APPLICATIONS S.A. F-1 J.P. Morgan Securities LLC Jefferies LLC Wells Fargo Securities, LLC / Canaccord Genuity Inc. / JMP Securities LLC
PLAYA HOTELS & RESORTS B.V. S-1 Merrill Lynch, Pierce, Fenner & Smith Inc. Deutsche Bank Securities Inc. ~
ZTO EXPRESS (CAYMAN) INC F-1 Morgan Stanley & Co. International PLC Goldman Sachs L.L.C. China Renaissance Securities (Hong Kong) Limited / Citigroup Global Markets Inc. / Credit Suisse Securities LLC / J.P. Morgan Securities LLC
QUANTENNA COMMUNICATIONS INC S-1 Morgan Stanley & Co. LLC Barclays Capital Inc. Deutsche Bank Securities Inc. / Needham & Company, LLC / William Blair & Company, LLC / Roth Capital Partners, LLC
COTTONWOOD MULTIFAMILY REIT II INC 1-A Orchard Securities, LLC ~ ~
LIGHTPATH TECHNOLOGIES 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.