Pipeline Update: New Filings & Terms Added in Last Seven Days

NEW FILINGS

Company: Orange County Bancorp, Inc.
Symbol: OBT (Nasdaq)
Description: They are a bank holding company headquartered in Middletown, New York and registered under the Bank Holding Company Act of 1956, as amended.
Shares: TBD
Price Range: TBD
Trade Date: TBD
Underwriters: Piper Sandler, Stephens
Link to Prospectus: Filed: 7-22-21
Listed Cash Raise: $30 million
Note: Uplisting from the OTCQX under symbol ‘OCBI’

Company: IsoPlexis Corporation
Symbol: ISO (Nasdaq)
Description: They are enabling deeper access to in vivo biology and driving durable and potentially transformational research on disease in a new era of advanced medicine.
Shares: TBD
Price Range: TBD
Trade Date: TBD
Underwriters: Morgan Stanley, Cowen, Evercore, SVB Leerink
Link to Prospectus: Filed: 7-20-21
Listed Cash Raise: $100 million

Company: Cognition Therapeutics, Inc.
Symbol: CGTX (Nasdaq)
Description: They are a clinical-stage biopharmaceutical company engaged in the discovery and development of innovative, small molecule therapeutics targeting age-related degenerative diseases and disorders of the central nervous system, or CNS, and retina.
Shares: TBD
Price Range: TBD
Trade Date: TBD
Underwriters: B Riley
Link to Prospectus: Filed: 7-19-21
Listed Cash Raise: $50 million

Company: Thorne HealthTech, Inc.
Symbol: THRN (Nasdaq)
Description: They are a science-driven wellness company pioneering innovative solutions and personalized approaches to health and well-being.
Shares: TBD
Price Range: TBD
Trade Date: TBD
Underwriters: BofA Securities, Cowen, Evercore ISI, RBC Capital Markets
Link to Prospectus: Filed: 7-16-21
Listed Cash Raise: $200 million

Company: The Fresh Market Holdings, Inc.
Symbol: TFM (Nasdaq)
Description: They are a specialty retailer offering a variety of high quality, fresh foods and difficult-to-find items in a small, convenient, intimate store footprint (average 21,000 sq. ft.) where guests can see all the sightlines across the store.
Shares: TBD
Price Range: TBD
Trade Date: TBD
Underwriters: Credit Suisse, BofA Securities, Deutsche Bank Securities, RBC Capital Markets, BMO Capital Markets, Guggenheim Securities
Co-manager: Apollo Global Securities
Link to Prospectus: Filed: 7-16-21
Listed Cash Raise: $100 million

Company: Everside Health Group, Inc.
Symbol: EVSD (NYSE)
Description: They are a patient-focused, care-obsessed, technology-driven, primary care platform with frictionless in-person and virtual care.
Shares: TBD
Price Range: TBD
Trade Date: TBD
Underwriters: Morgan Stanley, JP Morgan, Goldman Sachs, BofA Securities, William Blair
Link to Prospectus: Filed: 7-16-21
Listed Cash Raise: $100 million

Company: Eliem Therapeutics, Inc.
Symbol: ELYM (Nasdaq)
Description: They are a clinical-stage biotechnology company focused on developing novel therapies for neuronal excitability disorders to address unmet needs in chronic pain, psychiatry, epilepsy and other disorders of the peripheral and central nervous systems.
Shares: TBD
Price Range: TBD
Trade Date: TBD
Underwriters: SVB Leerink, Evercore ISI, Stifel, Guggenheim Securities
Link to Prospectus: Filed: 7-16-21
Listed Cash Raise: $80 million

Company: Adagio Therapeutics, Inc.
Symbol: ADGI (Nasdaq)
Description: They are a clinical-stage biopharmaceutical company focused on the discovery, development and commercialization of antibody-based solutions for infectious diseases with pandemic potential.
Shares: TBD
Price Range: TBD
Trade Date: TBD
Underwriters: Morgan Stanley, Jefferies, Stifel, Guggenheim Securities
Link to Prospectus: Filed: 7-16-21
Listed Cash Raise: $100 million

Company: Castle Creek Biosciences, Inc.
Symbol: CCBS (Nasdaq)
Description: They are a clinical-stage cell and gene therapy company focused on developing and commercializing disease-modifying therapies for patients suffering from rare diseases for which there is a lack of available treatment options.
Shares: TBD
Price Range: TBD
Trade Date: TBD
Underwriters: Citigroup, Piper Sandler, Barclays
Co-manager(s): Canaccord Genuity
Link to Prospectus: Filed: 7-16-21
Listed Cash Raise: $100 million

TERMS ADDED

Company: Icosavax, Inc.
Symbol: ICVX (Nasdaq)
Description: They are a biopharmaceutical company leveraging our innovative virus-like particle (VLP) platform technology to develop vaccines against infectious diseases, with an initial focus on life-threatening respiratory diseases.
Shares: 10 million
Price Range: $14.00-$16.00
Market Cap: $495m-$566m
Trade Date: Thursday, 7/29
Underwriters: Jefferies, Cowen, Evercore ISI, William Blair
Link to Prospectus: Terms Added: 7-22-21

Company: IN8bio, Inc.
Symbol: INAB
Description: They are a clinical-stage biotechnology company focused on developing innovative therapies for the treatment of cancers, including solid tumors, by employing allogeneic, autologous and genetically modified gamma-delta T cells.
Shares: 4 million
Price Range: $10.00-$12.00
Market Cap: $188m-$225m
Trade Date: Friday, 7/30
Underwriter(s): B.Riley Securities
Link to Prospectus: Terms Added: 7-22-21
Note: Previously Postponed in November 2020

Company: Rallybio Corporation
Symbol: RLYB (Nasdaq)
Description: They are a clinical-stage biotechnology company built around a team of seasoned industry experts with a shared purpose and a track record of success in discovering, developing, manufacturing and delivering therapies that meaningfully improve the lives of patients suffering from severe and rare diseases.
Shares: 5.75 million
Price Range: $13.00-$15.00
Market Cap: $400m-$461m
Trade Date: Thursday, 7/29
Underwriters: Jefferies, Cowen, Evercore
Link to Prospectus: Terms Added: 7-22-21

Company: Teads N.V.
Symbol: TEAD (NYSE)
Description: They operate a leading, cloud-based, end-to-end technology platform that enables programmatic digital advertising for a global, curated ecosystem of quality advertisers and their agencies and quality publishers.
Shares: 38.5 million
Price Range: $18.00-$21.00
Market Cap: $4.3b-$5.0b
Trade Date: Friday, 7/30
Underwriters: Goldman Sachs, Morgan Stanley, J.P. Morgan, BNP PARIBAS, Citigroup
Co-Manager(s): JMP Securities, Raymond James, William Blair
Link to Prospectus: Terms Added: 7-21-21

Company: Traeger, Inc.
Symbol: COOK (NYSE)
Description: Traeger is the creator and category leader of the wood pellet grill, an outdoor cooking system that ignites all-natural hardwoods to grill, smoke, bake, roast, braise, and barbeque.
Shares: 23.5 million
Price Range: $16.00-$18.00
Market Cap: $1.9b-$2.1b
Trade Date: Thursday, 7/29
Underwriters: Morgan Stanley, Jefferies, Baird, William Blair, Credit Suisse, RBC Capital Markets
Co-Manager(s): BMO Capital Markets, Piper Sandler, Stifel, Telsey Advisory Group
Link to Prospectus: Terms Added: 7-21-21

Company: Preston Hollow Community Capital, Inc.
Symbol: PHCC (NYSE)
Description: They are a market leader in providing specialized impact financing solutions for projects of significant social and economic importance to local communities in the United States.
Shares: 10.5 million
Price Range: $18.00-$20.00
Market Cap:$2.15b-$2.4b
Trade Date: Thursday, 7/29
Underwriters: JP Morgan, UBS Investment Bank, Piper Sandler
Co-Manager(s): Deutsche Bank, Loop Capital Markets
Link to Prospectus: Terms Added: 7-21-21

Company: DoubleDown Interactive Company Ltd
Symbol: DDI (Nasdaq)
Description: They are a leading developer and publisher of digital games on mobile and web-based platforms.
Shares: 6.3 million
Price Range: $18.00-$20.00
Market Cap: $892m-$991m
Trade Date: TBD
Underwriter(s): B Riley Securities
Link to Prospectus: Terms Added: 7-20-21
IPO Postponed in June 2020

Company: Clarios International Inc.
Symbol: BTRY (NYSE)
Description: Clarios is one of the world’s largest suppliers of energy storage solutions.
Shares: 88.1 million
Price Range: $17.00-$21.00
Market Cap: $ 8.7b-$10.7b
Trade Date: Friday 7/30
Underwriters: BofA Securities, J.P. Morgan, Barclays, BMO Capital, Credit Suisse, Deutsche Bank Securities, Goldman Sachs, Citigroup, HSBC, RBC Capital Markets ​
Co-Manager(s): Scotiabank, TD Securities, CIBC Capital Markets, Guggenheim Securities, Credit Agricole CIB, ING, National Bank of Canada Financial, Natixis, Santander, Siebert Williams Shank
Link to Prospectus: Terms Added: 7-20-21

Company: MeridianLink, Inc.
Symbol: MLNK
Description: They are a leading provider of cloud-based software solutions for financial institutions, including banks, credit unions, mortgage lenders, specialty lending providers, and consumer reporting agencies, or CRAs—providing services to 1,925 customers, including 63 of the leading 100 credit unions per Credit Unions Online (as of September 2020), and a majority of the financial institutions on Forbes’ 2020 lists of America’s Best Credit Unions and Banks.
Shares: 12 million
Price Range: $24.00-$26.00
Market Cap: $2.0b-$2.1b
Trade Date: Wednesday ,7/28
Underwriter(s): BofA Securities, Credit Suisse, Barclays, Citigroup, Raymond James
Co-Manager(s): BTIG, Nomura, Stifel, William Blair, Blaylock Van LLC, Ramirez & Co., Roberts & Ryan, Tigress Financial Partners
Link to Prospectus: Terms Added: 7-19-21

Company: PowerSchool Holdings, Inc.
Symbol: PWSC (NYSE)
Description: They provide a Unified Platform that includes the core system of record used by districts and schools and leverage their rich data to deliver insights and analytics to improve education outcomes.
Shares: 39.5 million
Price Range: $18.00-$20.00
Market Cap: $3.5b-$3.9b
Trade Date: Wednesday, 7/28
Underwriters: Goldman Sachs, Barclays, Credit Suisse, UBS, BofA Securities, Jefferies, Macquarie Capital, RBC Capital
Co-Manager(s): Baird, Piper Sandler, Raymond James, William Blair, AmeriVet Securities, Loop Capital, Stern, Ramirez & Co., Guzman & Co
Link to Prospectus: Terms Added: 7-19-21

Company: Duolingo, Inc.
Symbol: DUOL (Nasdaq)
Description: Duolingo is the leading mobile learning platform globally.
Shares: 5.1 million
Price Range: $85.00-$95.00
Market Cap: $3.05b-$3.4b
Trade Date: Wednesday ,7/28
Underwriters: Goldman Sachs, Allen & Co., BofA Securities, Barclays, Evercore ISI, William Blair
Co-Manager(s): KeyBanc Capital, JMP Securities, Piper Sandler Raymond James
Link to Prospectus: Terms Added: 7-19-21

Company: Snap One Holdings Corp
Symbol: SNPO (Nasdaq)
Description: Snap One powers smart living by enabling professional integrators to deliver seamless experiences in the connected homes and small businesses where people live, work and play.
Shares: 13.85 million
Price Range: $18.00-$21.00
Market Cap: $1.35b-$1.6b
Trade Date: Wednesday, 7/28
Underwriters: Morgan Stanley, J.P. Morgan, Jefferies, UBS Investment Bank ​
Co-Manager(s): BMO Capital Markets,Raymond James, Truist Securities, William Blair,​ Drexel Hamilton, Penserra Securities, R. Seelaus & Co., Siebert Williams Shank
Link to Prospectus: Terms Added: 7-19-21

Company: Dole, Inc.
Symbol: DOLE (NYSE)
Description: They are the premier global leader in fresh fruits and vegetables.
Shares: 26 million
Price Range: $20.00-$23.00
Market Cap: $1.85b-$2.1b
Trade Date: Wednesday, 7/28
Underwriters: Goldman Sachs, Deutsche Bank Securities, Davy, BofA Securities, BMO Capital Markets, Rabo Securities, Stephens Inc.
Link to Prospectus: Terms Added: 7-19-21

Company: Riskified, Ltd.
Symbol: RSKD (Nasdaq)
Description: They have built a next-generation eCommerce risk management platform that allows online merchants to create trusted relationships with their consumers.
Shares: 17.5 million
Price Range: $18.00-$20.00
Market Cap: $2.85b-$3.15b
Trade Date: Thursday, 7/29
Underwriters: Goldman Sachs, JP Morgan, Credit Suisse
Co-Manager(s): Barclays, KeyBanc Capital Markets, Piper Sandler, Truist Securities, William Blair, Loop Capital, Ramirez & Co., Siebert Williams Shank, Stern
Link to Prospectus: Terms Added: 7-19-21

Company: Robinhood Markets, Inc
Symbol: HOOD (Nasdaq)
Description: They are creating a modern financial services platform for everyone, regardless of their wealth, income or background.
Shares: 55 million
Price Range: $38.00-$42.00
Market Cap: $31.8b-$35.1b
Trade Date: Thursday, 7/29
Underwriters: Goldman Sachs, JP Morgan, Barclays, Citigroup, Wells Fargo, Mizuho Securities
Co-Manager(s): JMP Securities, KeyBanc Capital Markets, Piper Sandler, Rosenblatt Securities, BMO Capital Markets, BTIG, Santander, Academy Securities, Loop Capital Markets, Ramirez & Co. Siebert Williams Shank
Link to Prospectus: Terms Added: 7-19-21