IPO registrations (S-1, F-1) · Registrants
PEERLESS SYSTEMS CORP
- SEC CIK
- 897893 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 1996-08-01, last 2011-08-01; 3 initial registrations, 3 amendments
- Outcome
- Final prospectus filed 1996-09-25; withdrawal requested 2011-07-29
- Industry (SIC)
- Services-Prepackaged Software 7372
- Incorporated in
- DE
- Business address
- 1055 WASHINGTON BLVD, 8TH FLOOR, Stamford, CT 06901
- EIN
- 95-3732595
- EDGAR entity type
- operating
- Insiders and CEO pay
- PEERLESS SYSTEMS CORP on the corporate pages
Offering terms
- Proposed price range
- $11.00–$13.00 per share (S-1/A filed 1996-09-19)
- Final price
- $2.26 per share, below the range (424B4 filed 1996-09-25, an initial public offering)
- Shares sold
- 3,750,000
- Gross proceeds
- $8,475,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol PRLS
- Lead underwriters
- Hambrecht & Quist
- Syndicate
- Prudential Securities; Wessels, Arnold & Henderson
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: PEERLESS SYSTEMS CORPORATION Fuzzy (name and state)
- Form 5500 plan sponsor: PEERLESS SYSTEMS CORPORATION EXACT (EIN (EXACT))
- SEC filer: PEERLESS SYSTEMS CORP EXACT (CIK (EXACT))
Filings 8
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 1996-08-01 | S-1 | S-1 (registration) | PEERLESS SYSTEMS CORP | 0000898430-96-003426 ↗ |
| 1996-08-27 | S-1/A | S-1/A (amendment) | PEERLESS SYSTEMS CORP | 0000950109-96-005551 ↗ |
| 1996-09-12 | S-1/A | S-1/A (amendment) | PEERLESS SYSTEMS CORP | 0001012870-96-000351 ↗ |
| 1996-09-19 | S-1/A | S-1/A (amendment) | PEERLESS SYSTEMS CORP | 0000950109-96-006069 ↗ |
| 1996-09-25 | 424B4 | 424B4 (final prospectus) | PEERLESS SYSTEMS CORP | 0000950131-96-004726 ↗ |
| 2011-06-23 | S-1 | S-1 (registration) | PEERLESS SYSTEMS CORP | 0001437749-11-004218 ↗ |
| 2011-07-29 | RW | RW (withdrawal request) | PEERLESS SYSTEMS CORP | 0001437749-11-005222 ↗ |
| 2011-08-01 | S-1 | S-1 (registration) | PEERLESS SYSTEMS CORP | 0001437749-11-005241 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 1996-09-19 | S-1/A | registration statement | $11.00–$13.00 | 3,750,000 | - | Nasdaq PRLS | 3 | from the submission text; range, price line, shares headline, proceeds computed, price outside the range dropped, cover names 3 | document ↗ | |
| 1996-09-25 | 424B4 | final prospectus | $2.26 | 3,750,000 | $8,475,000 | Nasdaq PRLS | 3 | from the submission text; price line, shares headline, proceeds computed, cover names 3 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| RANDOM ERIC | Officer | VICE PRESIDENT ENGINEERING; Vice President of Engineering; VICE PRESIDENT OF ENGINEERING | 5 | 2006–2007 | |
| CURTIS ALAN D | Officer | VP CORPORATE DEVELOPMENT | 2 | 2006–2007 | |
| GAUGHAN EDWARD M | Officer | VP OF SALES AND MARKETING; VP SALES & MARKETING | 3 | 2006–2007 | |
| KIMMEL CARY A | Officer | VP - Business Development; VP BUSINESS DEVELOPMENT | 2 | 2006–2007 | |
| NELLOR HOWARD J | Director,Officer | CEO & PRESIDENT | 1 | 2006 | |
| WESTERVELT ROBERT T | Officer | VP & Chief Technology Officer; VP & CHIEF TECHNOLOGY OFFICER; VP, CHIEF TECHNOLOGY OFFICER | 3 | 2006–2007 | |
| Neil William | Officer | CFO AND VP OF FINANCE; CFO & VP of Finance; Chief Financial Officer; VP OF FINANCE, CFO | 5 | 2006–2011 | |
| BARRETT ROBERT G | Director | 1 | 2006 | ||
| COLE LOUIS C | Director | 2 | 2006–2007 | ||
| ROTHERHAM THOMAS G | Director | 1 | 2006 | ||
| ROLL RICHARD L | Officer | President and CEO; PRESIDENT AND CEO | 3 | 2006–2007 | |
| PATTON WILLIAM B JR | Director | 3 | 2007–2008 | ||
| Brog Timothy | Director; Director,Officer; Director,Officer,TenPercentOwner | Chairman and CEO; Chief Executive Officer | 24 | 2007–2015 | |
| REECE JOHN C | Director | 3 | 2007–2008 | ||
| ZENDER J THOMAS | Director | 3 | 2007–2008 | ||
| Shirwo Elliot M. | Officer | General Counsel and Secretary | 2 | 2007–2008 | |
| PULLY STEVEN J | Director | 4 | 2008–2009 | ||
| Lombard Andrew | Officer | VP of Corporate Development | 1 | 2008 | |
| BATHGATE STEVEN MARK | Director | 11 | 2008–2012 | ||
| Jeffrey A. Hammer | Director | 9 | 2008–2015 | ||
| Malhotra R. Rimmy | Director | 2 | 2008 | ||
| Simon James P | Director | 1 | 2008 | ||
| Bandera Partners LLC | TenPercentOwner | 10 | 2009–2010 | ||
| Bylinsky Gregory | Director,TenPercentOwner; TenPercentOwner | 10 | 2009–2010 | ||
| Gramm Jefferson | Director,TenPercentOwner; TenPercentOwner | 10 | 2009–2010 | ||
| Bandera Master Fund LP | Director | 4 | 2009–2010 | ||
| Shpiz Andrew | TenPercentOwner | 4 | 2010 | ||
| Ramsden Edward | Director | 3 | 2010 | ||
| Wald Jeffrey S | Director | 3 | 2010–2011 | ||
| Frankfurt Robert | Director | 3 | 2010–2011 | ||
| Kuby Eric | Director,TenPercentOwner | 4 | 2010–2012 | ||
| North Star Investment Management Corp. | Director; Other; TenPercentOwner | 5 | 2010–2014 | ||
| Kalkstein Robert L | Officer | Acting Chief Financial Officer | 2 | 2011–2012 | |
| Dickman Matthew R. | Director | 6 | 2012–2015 | ||
| Stein Gerald A. | Director | 6 | 2012–2015 | ||
| Tsai Yi | Officer | Chief Financial Officer | 4 | 2013–2015 |
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 |
|---|---|---|---|---|
| Business registration | PEERLESS SYSTEMS CORPORATION | CT | State business registries | name and state |
| SEC filer | PEERLESS SYSTEMS CORP | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | PEERLESS SYSTEMS CORPORATION | EIN (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.