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IPO registrations (S-1, F-1) · Registrants

HIGHBURY FINANCIAL INC

SEC CIK
1335249 · filings on EDGAR ↗
Registration
Form S-1, first filed 2005-08-05, last 2006-01-23; 1 initial registration, 8 amendments
Outcome
Final prospectus filed 2006-01-26; declared effective 2007-01-12
Industry (SIC)
Investment Advice 6282
Incorporated in
DE
Business address
999 EIGHTEENTH STREET, SUITE 3000, Denver, CO 80202
EIN
20-3187008
EDGAR entity type
operating
Insiders and CEO pay
HIGHBURY FINANCIAL INC on the corporate pages

Offering terms

Final price
$6.00 per share (424B4 filed 2006-01-26, an initial public offering)
Shares sold
6,733,333
Gross proceeds
$40,399,998 before underwriting discounts and any over-allotment option
Listing
OTC under the symbol HBRYU
Lead underwriters
ThinkEquity (3,366,667 shares); Lehman Brothers
Syndicate
EarlyBirdCapital, Inc (3,366,666)

Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.

Filings 13

FiledFormWhat it isName as filedEDGAR
2005-08-05S-1S-1 (registration)HIGHBURY FINANCIAL INC0001144204-05-023949 ↗
2005-09-23S-1/AS-1/A (amendment)HIGHBURY FINANCIAL INC0001144204-05-029776 ↗
2005-09-23S-1/AS-1/A (amendment)HIGHBURY FINANCIAL INC0001144204-05-029784 ↗
2005-10-28S-1/AS-1/A (amendment)HIGHBURY FINANCIAL INC0001144204-05-033082 ↗
2005-12-06S-1/AS-1/A (amendment)HIGHBURY FINANCIAL INC0001144204-05-038828 ↗
2005-12-09S-1/AS-1/A (amendment)HIGHBURY FINANCIAL INC0001144204-05-039282 ↗
2005-12-16S-1/AS-1/A (amendment)HIGHBURY FINANCIAL INC0001144204-05-040003 ↗
2005-12-20S-1/AS-1/A (amendment)HIGHBURY FINANCIAL INC0001144204-05-040476 ↗
2006-01-23S-1/AS-1/A (amendment)HIGHBURY FINANCIAL INC0001144204-06-002186 ↗
2006-01-26424B4424B4 (final prospectus)HIGHBURY FINANCIAL INC0001144204-06-002718 ↗
2007-01-12EFFECTEFFECT (declared effective)HIGHBURY FINANCIAL INC9999999995-07-000137 ↗
2007-04-12EFFECTEFFECT (declared effective)HIGHBURY FINANCIAL INC9999999995-07-001296 ↗
2007-05-14EFFECTEFFECT (declared effective)HIGHBURY FINANCIAL INC9999999995-07-001908 ↗

Prospectus pages read 2

FiledFormRead asRangePriceSharesProceedsListingUnderwritersWhat was foundDocument
2006-01-23S-1/Aregistration statement$6.007,743,333$46,459,998OTC on3primary document; price sentence, shares headline, proceeds computed, cover names 3document ↗
2006-01-26424B4final prospectus$6.006,733,333$40,399,998OTC HBRYU3primary document; price sentence, shares headline, proceeds computed, underwriting table 2, cover names 3document ↗

Officers, directors and large holders Forms 3, 4 and 5

InsiderRoleTitleFilingsYearsOn this site
Appel RussellDirector32006–2007
Broad Hollow LLCTenPercentOwner32006–2007
Cameron R BruceDirector,Officer; Director,Officer,TenPercentOwnerChairman; Chairman of the Board52006–2010
Foote Richard SDirector,Officer; Director,Officer,TenPercentOwnerPresident and CEO; President, CEO; President/CEO; President; CEO52006–2010
Forth R BradleyOfficerEVP, CFO, Secretary; Executive VP, CFO, Secretary; Executive VP; CFO; Secretary; Executive VP; Secretary; Exec. VP; CFO and Secretary52006–2010
Anderson Kenneth CDirector; Director,Officer,TenPercentOwner; OfficerPresident Aston Asset Mgmt LLC32006–2010
BILTON STUART DDirector,Officer; Director,Officer,TenPercentOwner; OfficerCEO Aston Asset Management LLC; CEO Aston Asset Mgmt LLC32006–2010
Dillenburg GeraldDirector,Officer; OfficerCEO Aston Asset Management LLC; CFO/CCO Aston Asset Mgmt LLC32006–2010
SILVER JACKTenPercentOwner82006–2009
NISSWA MASTER FUND LTD.TenPercentOwner52007–2008
WOODBOURNE PARTNERS L PTenPercentOwner92007–2008
Context Capital Management, LLCTenPercentOwnerManager82007–2008
Context Advantage Master Fund, L.P.TenPercentOwnerManager72007–2008
FERTIG WILLIAM DOfficer; TenPercentOwner72007–2008
ROSEN MICHAEL SOfficer; TenPercentOwner72007–2008
Riordan Aidan JDirector; Director,OfficerCEO Aston Asset Management LLC42007–2010
POTOMAC CAPITAL MANAGEMENT LLCTenPercentOwner32007–2008
AMMIDON HOYT JRDirector; Director,OfficerCEO Aston Asset Management LLC32008–2010
BROWN THOMAS KTenPercentOwner42009
SECOND CURVE CAPITAL LLCTenPercentOwner42009
Leary Theodore Moreau Jr.Director22009–2010
PEERLESS SYSTEMS CORPTenPercentOwner172009
TALON ASSET MANAGEMENT, LLCOther; TenPercentOwner52009
Talon Opportunity Managers, L.L.C.Other; TenPercentOwner52009
Talon Opportunity Partners, L.P.Other; TenPercentOwner52009
WEIL JOHN DDirector; Director,TenPercentOwner22009–2010

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

RecordName as filedWhereDatasetMatched by
SEC filerHIGHBURY FINANCIAL INCSEC 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 Investment Advice, CO first:

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Interests: Investment Advice · Finance