IPO registrations (S-1, F-1) · Registrants
HARRINGTON WEST FINANCIAL GROUP INC/CA
- SEC CIK
- 1063997 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 2002-08-30, last 2002-11-01; 1 initial registration, 3 amendments
- Outcome
- Final prospectus filed 2002-11-07
- Industry (SIC)
- Savings Institution, Federally Chartered 6035
- Business address
- 610 ALAMO PINTADO RD, Solvang, CA 93463
- EIN
- 48-1175170
- EDGAR entity type
- operating
- Insiders and CEO pay
- HARRINGTON WEST FINANCIAL GROUP INC/CA on the corporate pages
Offering terms
- Proposed price range
- $12.00–$14.00 per share (S-1/A filed 2002-11-01)
- Final price
- $12.00 per share, within the range (424B4 filed 2002-11-07, an initial public offering)
- Shares sold
- 1,120,000
- Gross proceeds
- $13,440,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol HWFG
- Lead underwriters
- RBC Capital Markets
- Syndicate
- Solvang, Golota and Ojai; Phoenix and Ahwatukee; A.G. Edwards (32,000); Hoefer & Arnett, Inc (32,000); Howe Barnes Investments, Inc (32,000); KBW (32,000); McDonald Investments Inc., a KeyCorp Company (32,000); Sandler O'Neill & Partners, L.P (32,000); Piper Sandler (32,000)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- SEC filer: HARRINGTON WEST FINANCIAL GROUP INC/CA EXACT (CIK (EXACT))
Filings 5
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2002-08-30 | S-1 | S-1 (registration) | HARRINGTON WEST FINANCIAL GROUP INC/CA | 0000950133-02-003137 ↗ |
| 2002-10-03 | S-1/A | S-1/A (amendment) | HARRINGTON WEST FINANCIAL GROUP INC/CA | 0000950133-02-003329 ↗ |
| 2002-10-22 | S-1/A | S-1/A (amendment) | HARRINGTON WEST FINANCIAL GROUP INC/CA | 0000950133-02-003474 ↗ |
| 2002-11-01 | S-1/A | S-1/A (amendment) | HARRINGTON WEST FINANCIAL GROUP INC/CA | 0000950133-02-003584 ↗ |
| 2002-11-07 | 424B4 | 424B4 (final prospectus) | HARRINGTON WEST FINANCIAL GROUP INC/CA | 0000950133-02-003633 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2002-11-01 | S-1/A | registration statement | $12.00–$14.00 | 1,400,000 | - | Nasdaq HWFG | 4 | primary document; range, shares headline, cover names 4 | document ↗ | |
| 2002-11-07 | 424B4 | final prospectus | $12.00 | 1,120,000 | $13,440,000 | Nasdaq HWFG | 10 | primary document; price line, shares headline, proceeds table, underwriting table 7, cover names 3 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| HALME PAUL O | Director | 10 | 2006–2009 | ||
| KON STANLEY J | Director | 7 | 2006–2007 | ||
| MCCONNELL JOHN J | Director | 13 | 2006–2009 | ||
| PHILLIPS WILLIAM W | Director,Officer | President | 9 | 2006–2009 | |
| ROSS WILLIAM D | Director | 17 | 2006–2009 | ||
| WEBER SUSAN C | Officer | SVP, Secretary | 9 | 2006–2009 | |
| CERNY CRAIG J | Director,Officer; Director,Officer,TenPercentOwner | Chairman and CEO | 39 | 2006–2009 | |
| Steele Kerril K | Officer | Principal Accounting Officer | 4 | 2006–2009 | |
| Hatlestad Timothy S | Director | 20 | 2006–2009 | ||
| LARRABEE MARK R | Officer | Pres. KS Region, CCLO | 11 | 2006–2009 | |
| Mason John R | Other | 7 | 2007–2009 | ||
| BREEDEN DOUGLAS T | TenPercentOwner | 21 | 2007–2010 | ||
| COMMUNITY FIRST FINANCIAL GROUP INC | Other | 1 | 2008 | ||
| CONCORDIA FINANCIAL SERVICES FUND, L.P. | TenPercentOwner | 1 | 2008 | ||
| CANUP STEVEN | TenPercentOwner | 1 | 2008 | ||
| CONCORDIA CAPITAL ADVISORS, LLC | TenPercentOwner | 1 | 2008 | ||
| LEE KELVIN | TenPercentOwner | 1 | 2008 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| SEC filer | HARRINGTON WEST FINANCIAL GROUP INC/CA | SEC filers (EDGAR) | CIK (EXACT) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.
Others with the same interests
SIC industry Savings Institution, Federally Chartered, CA first:
- BROADWAY FINANCIAL CORP \DE\ CA
- PROVIDENT FINANCIAL HOLDINGS INC CA
- LIFE FINANCIAL CAPITAL TRUST CA
- PBOC HOLDINGS INC CA
- GOLDEN STATE HOLDINGS INC CA
- COMMERCIAL CAPITAL BANCORP INC CA
- K-FED BANCORP CA
- FCB Bancorp CA
- Simplicity Bancorp, Inc. CA
- FIRST ULB CORP. CA
In other datasets, the same topic (Finance) in CA:
- Lobbying client: A16Z CAPITAL MANAGEMENT FKA ANDREESSEN HOROWITZ (Federal lobbying (LDA))
Interests: Savings Institution, Federally Chartered · Finance