IPO registrations (S-1, F-1) · Registrants
TAILWIND FINANCIAL INC.
- SEC CIK
- 1368879 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 2006-07-14, last 2007-04-05; 1 initial registration, 5 amendments
- Outcome
- Final prospectus filed 2007-04-12; declared effective 2007-04-11; withdrawal requested 2008-08-08
- Industry (SIC)
- Investment Advice 6282
- Incorporated in
- DE
- Business address
- 181 BAY STREET, SUITE 4400, Toronto, A6 M5J 2T3
- EDGAR entity type
- operating
- Insiders and CEO pay
- TAILWIND FINANCIAL INC. on the corporate pages
Offering terms
- Final price
- $8.00 per share (424B4 filed 2007-04-12, an initial public offering)
- Shares sold
- 12,500,000
- Gross proceeds
- $100,000,000 before underwriting discounts and any over-allotment option
- Listing
- NYSE American under the symbol TNF.U
- Lead underwriters
- Deutsche Bank (11,687,500 shares)
- Syndicate
- J.P. Morgan; Legend Merchant Group, Inc (250,000); Maxim Group (312,500); GunnAllen Financial, Inc (250,000)
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: TAILWIND FINANCIAL INC. EXACT (CIK (EXACT))
Filings 9
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2006-07-14 | S-1 | S-1 (registration) | TAILWIND FINANCIAL INC. | 0001047469-06-009612 ↗ |
| 2006-08-29 | S-1/A | S-1/A (amendment) | TAILWIND FINANCIAL INC. | 0001047469-06-011357 ↗ |
| 2006-09-20 | S-1/A | S-1/A (amendment) | TAILWIND FINANCIAL INC. | 0001047469-06-011945 ↗ |
| 2007-02-12 | S-1/A | S-1/A (amendment) | TAILWIND FINANCIAL INC. | 0001047469-07-000932 ↗ |
| 2007-03-15 | S-1/A | S-1/A (amendment) | TAILWIND FINANCIAL INC. | 0001047469-07-001786 ↗ |
| 2007-04-05 | S-1/A | S-1/A (amendment) | TAILWIND FINANCIAL INC. | 0001047469-07-002612 ↗ |
| 2007-04-11 | EFFECT | EFFECT (declared effective) | TAILWIND FINANCIAL INC. | 9999999995-07-001267 ↗ |
| 2007-04-12 | 424B4 | 424B4 (final prospectus) | TAILWIND FINANCIAL INC. | 0001047469-07-002785 ↗ |
| 2008-08-08 | RW | RW (withdrawal request) | TAILWIND FINANCIAL INC. | 0001144204-08-044962 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2007-04-05 | S-1/A | registration statement | $8.00 | 12,500,000 | $100,000,000 | NYSE American TNF.U | 4 | primary document; price sentence, shares headline, proceeds computed, underwriting table 1, cover names 3 | document ↗ | |
| 2007-04-12 | 424B4 | final prospectus | $8.00 | 12,500,000 | $100,000,000 | NYSE American TNF.U | 5 | primary document; price sentence, shares headline, proceeds computed, underwriting table 4, cover names 3 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Armstrong Philip | Director | 1 | 2007 | ||
| Hain Robert C | Director | 2 | 2007 | ||
| JovFunds Management Inc. | TenPercentOwner | 3 | 2007–2008 | ||
| Jovian Asset Management Inc. | TenPercentOwner | 2 | 2007 | ||
| Jovian Capital CORP | TenPercentOwner | 2 | 2007 | ||
| MCKAY ANDREW A | Officer,TenPercentOwner | President & CEO | 2 | 2007 | |
| MCMILLAN GORDON A | Director,Officer,TenPercentOwner | Assistant Secretary | 2 | 2007 | |
| Moore Stephen T | Director | 4 | 2007–2009 | ||
| Parkwood Holdings Ltd. | TenPercentOwner | 3 | 2007–2008 | ||
| PENTELIUK ROBERT | Director | 2 | 2007 | ||
| TFC Holdings Ltd. | TenPercentOwner | 2 | 2007 | ||
| 1600624 Ontario Inc. | TenPercentOwner | 1 | 2007 | ||
| 2099388 ONTARIO INC. | TenPercentOwner | 1 | 2007 | ||
| McMillan Family Foundation | TenPercentOwner | 1 | 2007 | ||
| CITIGROUP FINANCIAL PRODUCTS INC | TenPercentOwner | 1 | 2008 | ||
| CITIGROUP GLOBAL MARKETS HOLDINGS INC | TenPercentOwner | 1 | 2008 | ||
| CITIGROUP GLOBAL MARKETS INC | TenPercentOwner | 1 | 2008 | ||
| CITIGROUP INC | TenPercentOwner | 1 | 2008 | ||
| Malibu Partner LLC | TenPercentOwner | 2 | 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 | TAILWIND FINANCIAL INC. | 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 Investment Advice, A6 first:
- HENNESSY ADVISORS INC CA
- Ares Management Corp CA
- HOULIHAN LOKEY, INC. CA
- Brookfield Oaktree Holdings, LLC CA
- Financial Engines, LLC CA
- BRC Group Holdings, Inc. CA
- AssetMark Financial Holdings, Inc. CA
- Triller Group Inc. CA
- HIGHBURY FINANCIAL INC CO
- Fifth Street Asset Management Inc. CT
In other datasets, the same topic (Finance) in A6:
- Form D issuer: 1375792 Canada Inc (Form D private offerings)
Interests: Investment Advice · Finance