This two week period's IPO list from www.ipoboutique.com. Close Window


Company: Alibaba Group Holding Limited
Symbol: BABA
Price: $66.00-$68.00
Description: They are the largest online and mobile commerce company in the world in terms of gross merchandise volume in 2013, according to industry sources. They operate their ecosystem as a platform for third parties, and they do not engage in direct sales, compete with their merchants or hold inventory.
Trade Date: 9/19
Shares: 320.1 million
Type: IPO
Underwriter(s)   Co Manager(s)

Credit Suisse, Deutsche Bank, Goldman Sachs, J.P. Morgan, Morgan Stanley, Citi   BOCI, CICC, CLSA, DBS Bank, HSBC, Mizuho, Pacific Crest, RBC Capital Markets, Stifel, Wells Fargo, BNP PARIBA, Evercore, Raymond James, SunTrust Robinson Humphrey, BHF Securities Corp., China Merchants Bank International, CIMB-GK Securities (HK) Ltd, ING Financial Markets LLC, Needham & Company LLC, Nomura Securities International Inc., Raine Securities, RBS United States, SG Americas Securities LLC, C.L. King & Associates, Lebenthal & Co Inc., Mischler Financial Group, Samuel A. Ramirez, The Williams Capital Group, Topeka Capital Markets


Company: Atento S.A.
Symbol: ATTO
Price: $19.00-$22.00
Description: They are the leading provider of end-to-end, multi-channel customer relationship management and business process outsourcing ('CRM BPO') services and solutions in Latin America and Spain, and among the top three providers globally, based on revenues.
Trade Date: 10/2
Shares: 14.6 million
Type: IPO
Underwriter(s)   Co Manager(s)

Morgan Stanley, Credit Suisse, Itau BBA   BofA Merrill Lynch, Bradesco BBI, BTG Pactual, Goldman Sachs, Santander, Baird, BBYA


Company: Citizens Financial Group, Inc.,
Symbol: CFG
Price: $23.00-$25.00
Description: They are the 13th largest retail bank holding company in the United States according to SNL Financial with $122.2 billion of total assets as of December 31, 2013. Headquartered in Providence, Rhode Island, they deliver a broad range of retail and commercial banking products and services to approximately five million individuals, institutions and companies.
Trade Date: 9/24
Shares: 140 million
Type: IPO
Underwriter(s)   Co Manager(s)

Morgan Stanley, Goldman Sachs & Co., J.P. Morgan, Deutsche Bank Securities, RBS Securities, Wells Fargo Securities, Barclays, Citigroup   Evercore Partners, ING Financial Markets, Guggenheim Securities, Sanford C. Bernstein & Co., Lebenthal & Co., The Williams Capital Group, Credit Suisse, Oppenheimer & Co., Jefferies, Keefe, Bruyette & Woods, RBC Capital Markets, Sandler O'Neill + Partners, UBS Securities


Company: Civitas Solutions, Inc.
Symbol: CIVI
Price: Priced at $17.00
Description: They are the leading national provider of home-and community-based health and human services to must-serve individuals with intellectual, developmental, physical or behavioral disabilities and other special needs.
Trade Date: 9/17
Shares: 11.7 million
Type: IPO
Underwriter(s)   Co Manager(s)

Barclays, Jefferies, BofA Merrill Lynch, UBS Investment Bank   Raymond James, SunTrust Robinson Humphrey, BMO Capital Markets, Avondale Partners


Company: Civitas Therapeutics
Symbol: CVTS
Price: $14.00-$16.00
Description: They are a biopharmaceutical company focused on developing and commercializing transformative therapeutics using our proprietary ARCUS technology, with an initial focus on treating debilitating OFF episodes, the unpredictable re-emergence of symptoms, in patients with Parkinson's disease, or PD.
Trade Date: 9/25
Shares: 5 million
Type: IPO
Underwriter(s)   Co Manager(s)

J.P. Morgan, BofA Merrill Lynch   Cowen and Company, Oppenheimer & Co.


Company: Cyber-Ark Software Ltd.
Symbol: CYBR
Price: $13.00-$15.00
Description: They are a global leader and pioneer of a new layer of IT security solutions that protects organizations from cyber attacks that have made their way inside the network perimeter to strike at the heart of the enterprise.
Trade Date: 9/24
Shares: 5.4 million
Type: IPO
Underwriter(s)   Co Manager(s)

J.P Morgan, Deutsche Bank Securities, Barclays   William Blair, Nomura, Oppenheimer & Co.


Company: Eyegate Pharmaceuticals, Inc.
Symbol: EYEG
Price: $12.00-$14.00
Description: They are a clinical-stage specialty pharmaceutical company that is focused on developing and commercializing therapeutics and drug delivery systems for treating diseases of the eye.
Trade Date: 10/3
Shares: 1.9 million
Type: IPO
Underwriter(s)   Co Manager(s)

Aegis Capital Corp  


Company: Foamix Pharmaceuticals
Symbol: FOMX
Price: $10.00-$12.00
Description: They are a clinical-stage specialty pharmaceutical company focused on developing and commercializing our proprietary minocycline foam for the treatment of acne, impetigo and other skin conditions.
Trade Date: 9/18
Shares: 5.9 million
Type: IPO
Underwriter(s)   Co Manager(s)

Barclays, Cowen and Company   Oppenheimer & Co., Maxim Group LLC


Company: Medley Management Inc.
Symbol: MDLY
Price: $20.00-$22.00
Description: They are a rapidly growing asset management firm with approximately $3.3 billion of AUM as of June 30, 2014.
Trade Date: 9/24
Shares: 6 million
Type: IPO
Underwriter(s)   Co Manager(s)

Goldman Sachs, Credit Suisse, Barclays, Deutsche Bank, Keefe Bruyette & Woods   RCS Capital, JMP Securities, Ladenburg Thalmann, MLV & Co., Gilford Securities Incorporated


Company: Proqr Therapeutics B.V.
Symbol: PRQR
Price: $11.00-$13.00
Description: They are an innovative biopharmaceutical company engaged in the discovery and development of RNA-based therapeutics for the treatment of severe genetic disorders, with an initial focus on Cystic Fibrosis, or CF. Utilizing our unique, proprietary RNA repair technologies, we believe we will be able to treat genetic disorders in which a single protein is defective due to certain types of genetic mutation.
Trade Date: 9/18
Shares: 6.25 million
Type: IPO
Underwriter(s)   Co Manager(s)

Leerink Partners, Deutsche Bank Securities   JMP Securities, H.C. Wainwright & Co.


Company: rEVO Biologics, Inc.
Symbol: RBIO
Price: $13.00-$15.00
Description: They are a commercial-stage biopharmaceutical company focused on the development and commercialization of specialty therapeutics to address unmet medical needs in patients with rare, life-threatening conditions.
Trade Date: 9/17
Shares: 3.6 million
Type: IPO
Underwriter(s)   Co Manager(s)

Piper Jaffray, Guggenheim Securities   Roth Capital Partners, BTIG


Company: Smart & Final Stores, Inc.
Symbol: SFS
Price: $12.00-$14.00
Description: They are a high-growth, value-oriented food retailer serving a diverse demographic of household and business customers through two complementary and highly productive store banners.
Trade Date: 9/24
Shares: 13.5 million
Type: IPO
Underwriter(s)   Co Manager(s)

Credit Suisse, Morgan Stanley, Deutsche Bank Securities   Barclays, Citigroup, Piper Jaffray, Guggenheim Securities


Company: Tokai Pharmaceuticals, Inc.
Symbol: TKAI
Price: $13.00-$15.00
Description: They are a clinical-stage biopharmaceutical company focused on developing novel proprietary therapies for the treatment of prostate cancer and other hormonally-driven diseases.
Trade Date: 9/17
Shares: 5.4 million
Type: IPO
Underwriter(s)   Co Manager(s)

BMO Capital Markets, Stifel, William Blair   Janney Montgomery Scott


Company: Travelport Worldwide Limited
Symbol: TVPT
Price: $14.00-$16.00
Description: They are a leading travel commerce marketplace providing distribution, technology, payment and other solutions for the $7 trillion global travel and tourism industry.
Trade Date: 9/25
Shares: 30 million
Type: IPO
Underwriter(s)   Co Manager(s)

Morgan Stanley, UBS Investment Bank, Credit Suisse, Deutsche Bank Securities   Cowen and Company, Evercore, Jefferies, Sanford C. Bernstein, William Blair


Company: Vantage Energy
Symbol: VEI
Price: $24.00-$27.00
Description: They are a growth-oriented, independent oil and natural gas company engaged in the acquisition, development, exploitation and exploration of oil and natural gas properties in the United States, with a focus on the Marcellus Shale, where they hold a concentrated acreage position in what they believe to be the core of the play in Greene County, Pennsylvania. Additionally, we have a sizeable position in what we believe to be the core of the Barnett Shale.
Trade Date: 9/25
Shares: 23.6 million
Type: IPO
Underwriter(s)   Co Manager(s)

Barclays, Goldman Sachs & Co.,Citigroup, Credit Suisse, Tudor Pickering Holt & Co., Wells Fargo Securities   Raymond James, RBC Capital Markets, Scotiabank/Howard Weil, KeyBanc Capital Markets, Mitsubishi Financial Group


Company: Viking Therapeutics, Inc.
Symbol: VKTX
Price: $10.00-$12.00
Description: They are a clinical-stage biopharmaceutical company focused on the development of novel, first-in-class or best-in-class therapies for metabolic and endocrine disorders.
Trade Date: 9/18
Shares: 5 million
Type: IPO
Underwriter(s)   Co Manager(s)

Oppenheimer & Co., Roth Capital Partners   Craig-Hallum Capital Group, MLV & Co., Summer Street Research Partners


Company: Vitae Pharmaceuticals, Inc.
Symbol: VTAE
Price: $11.00-$13.00
Description: They are a clinical stage biotechnology company focused on discovering and developing novel, small molecule drugs for diseases that represent large market opportunities where there are significant unmet medical needs.
Trade Date: 9/24
Shares: 5 million
Type: IPO
Underwriter(s)   Co Manager(s)

Stifel, BMO Capital Markets   JMP Securities, Wedbush PacGrow Life Sciences