Category Archives: Top underwriters

IPO Underwriters of the Week: Sept. 19 – 23 / plus “M&A pitfalls” 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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The week’s full market activity:

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
JAGUAR ANIMAL HEALTH INC S-1 Aspire Capital Fund, LLC ~ ~
SMART SAND INC S-1 Credit Suisse Securities LLC Goldman, Sachs & Co. ~
IRHYTHM TECHNOLOGIES INC S-1 J.P. Morgan Securities LLC Morgan Stanley & Co. LLC Canaccord Genuity Inc. / BTIG, LLC
AYTU BIOSCIENCE INC S-1 Joseph Gunnar & Co., LLC Feltl and Company, Inc. Fordham Financial Management, Inc.
ENTEROMEDICS INC S-1 Ladenburg Thalmann & Co. Inc. ~ ~
XENCOR INC S-3 Piper Jaffray & Co. ~ ~
SENESTECH INC S-1 Roth Capital Partners, LLC ~ ~
MONAKER GROUP 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.

Have a great week

IPO Underwriters of the Week: Sept. 12 – 16 / plus “M&A pitfalls” 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 +
CERECOR INC S-1 Aspire Capital Fund, LLC ~ ~
LODE-STAR MINING INC S-1 Crane Creek, Inc. ~ ~
EXTRACTION OIL & GAS LLC S-1 Credit Suisse Securities LLC Barclays Capital Inc. Goldman, Sachs & Co.
MYOKARDIA INC S-1 Credit Suisse Securities LLC Cowen and Company, LLC BMO Capital Markets Corp.
VANTAGE ENERGY INC S-1 Goldman, Sachs & Co. / Barclays Capital Inc. / Credit Suisse Securities LLC / Citigroup Global Markets Inc. / J.P. Morgan Securities LLC / Wells Fargo Securities, LLC Merrill Lynch, Pierce, Fenner & Smith Inc. / Capital One Securities, Inc. / Deutsche Bank Securities Inc. / KeyBanc Capital Markets Inc. / SunTrust Robinson Humphrey, Inc. / Tudor, Pickering, Holt & Co. Securities, Inc. ABN AMRO Securities LLC / Robert W. Baird & Co. / BOK Financial Securities, Inc. / Fifth Third Securities, Inc. / Heikkinen Energy Securities, L.L.C. / Williams Trading, LLC
MIMECAST LTD F-1 J.P. Morgan Securities LLC Barclays Capital Inc. Goldman, Sachs & Co. / Jefferies LLC / RBC Capital Markets, LLC / Oppenheimer & Co. Inc. / Dougherty & Company LLC
STOCOSIL INC 1-A Monarch Bay Securities, Inc. ~ ~
NUVEEN ENHANCED MUNICIPAL VALUE FUND N-2 Nuveen Securities, LLC ~ ~
AMERICAN CANNABIS COMPANY INC 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: Sept. 5 – 9 / plus “Age of Activism” 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 +
CRISPR THERAPEUTICS AG S-1 Citigroup Global Markets Inc. Piper Jaffray & Co. Barclays Capital Inc. / Guggenheim Securities, LLC
MERIDIAN WASTE SOLUTIONS INC S-1 Joseph Gunnar & Co., LLC ~ ~
POLAR POWER INC S-1 Joseph Gunnar & Co., LLC ~ ~
COUPA SOFTWARE INC S-1 Morgan Stanley & Co. LLC J.P. Morgan Securities LLC Barclays Capital Inc. / RBC Capital Markets, LLC / JMP Securities LLC / Raymond James & Associates, Inc.
OCEAN POWER TECHNOLOGIES INC S-1 Roth Capital Partners, LLC Maxim Group LLC ~
MOMENTOUS ENTERTAINMENT GROUP INC S-1 Southridge Partners II LP ~ ~
EVERSPIN TECHNOLOGIES INC S-1 Stifel, Nicolaus & Company Needham & Company, LLC Canaccord Genuity Inc. / Craig-Hallum Capital Group LLC
OBALON THERAPEUTICS INC S-1 UBS Securities LLC Canaccord Genuity Inc. Stifel, Nicolaus & Company, Inc. / BTIG, 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 29 – Sept 2 / 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.

700_email-banner-Recovered

Registrant Form Underwriter 1 Underwriter 2 Underwriter 3 +
VIKING THERAPEUTICS INC S-1 Aspire Capital Fund, LLC ~ ~
ENDONOVO THERAPEUTICS INC S-1 Bellridge Capital, LP ~ ~
ENZO BIOCHEM INC S-3 Cantor Fitzgerald & Co. ~ ~
AVISTA HEALTHCARE PUBLIC ACQUISITION CORP S-1 Credit Suisse Securities LLC ~ ~
FULGENT GENETICS INC S-1 Credit Suisse Securities LLC Piper Jaffray & Co. Raymond James & Associates, Inc. / BTIG, LLC
PARTNERS GROUP PRIVATE INCOME OPPORTUNITIES LLC N-2 Foreside Fund Services, LLC ~ ~
ZYNERBA PHARMACEUTICALS INC S-3 Jefferies LLC ~ ~
SPORTS FIELD HOLDINGS INC S-1 Joseph Gunnar & Co., LLC ~ ~
CAPSTAR FINANCIAL HOLDINGS INC S-1 Keefe, Bruyette & Woods, Inc. Sandler O’Neill & Partners, L.P
FRANCHISE HOLDINGS INTERNATIONAL INC S-1 Kodiak Capital Group, LLC ~ ~
AYTU BIOSCIENCE INC S-1 Lincoln Park Capital Fund, LLC ~ ~
GOLDEN PACIFIC HOMES LLC 1-A Monarch Bay Securities, LLC ~ ~
NANO DIMENSION LTD F-1 National Securities Corporation Lake Street Capital Markets, LLC ~
NUVEEN CALIFORNIA MUNICIPAL VALUE FUND INC N-2 Nuveen Securities, LLC ~ ~
AMPLIPHI BIOSCIENCES CORP S-1 Roth Capital Partners, LLC Griffin Securities, Inc. ~
PROGREEN US INC 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: 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.

700_email-banner-Recovered

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.

700_email-banner-Recovered

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.

V-700_email-banner-workflow

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.