IPO registrations (S-1, F-1) · Registrants
AVANEX CORP
- SEC CIK
- 1056794 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 1999-12-03, last 2000-02-02; 1 initial registration, 5 amendments
- Outcome
- Final prospectus filed 2000-02-04
- Industry (SIC)
- Semiconductors & Related Devices 3674
- Incorporated in
- DE
- Business address
- 40919 ENCYCLOPEDIA CIRCLE, Fremont, CA 94538
- EIN
- 94-3285348
- EDGAR entity type
- operating
- Insiders and CEO pay
- AVANEX CORP on the corporate pages
Offering terms
- Proposed price range
- $28.00–$30.00 per share (S-1/A filed 2000-02-02)
- Final price
- $13.00 per share, below the range (424B4 filed 2000-02-04, an initial public offering)
- Shares sold
- 6,000,000
- Gross proceeds
- $78,000,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol AVNX
- Lead underwriters
- Morgan Stanley
- Syndicate
- Lehman Brothers (883,334); Robertson Stephens (883,333); Piper Sandler (883,333); BancAmerica Securities, Inc (100,000); RBC Capital Markets (100,000); First Albany Corporation (100,000); Wachovia (100,000); Edward D. Jones & Co., L.P (100,000); Raymond James Associates, Inc (100,000); Cowen (100,000)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Business registration: AVANEX CORPORATION EXACT (EIN (EXACT, as the state registration reports it))
- Form 5500 plan sponsor: AVANEX CORPORATION EXACT (EIN (EXACT))
- Federal award recipient: AVANEX CORPORATION Fuzzy (name and state)
- Lobbying client: AVANEX CORP Fuzzy (name and state)
- Lobbying client: AVANEX CORPORATION Fuzzy (name and state)
- SEC filer: AVANEX CORP EXACT (CIK (EXACT))
Filings 7
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 1999-12-03 | S-1 | S-1 (registration) | AVANEX CORP | 0000891618-99-005513 ↗ |
| 1999-12-20 | S-1/A | S-1/A (amendment) | AVANEX CORP | 0000891618-99-005765 ↗ |
| 2000-01-14 | S-1/A | S-1/A (amendment) | AVANEX CORP | 0000891618-00-000121 ↗ |
| 2000-01-21 | S-1/A | S-1/A (amendment) | AVANEX CORP | 0000891618-00-000209 ↗ |
| 2000-01-31 | S-1/A | S-1/A (amendment) | AVANEX CORP | 0000891618-00-000342 ↗ |
| 2000-02-02 | S-1/A | S-1/A (amendment) | AVANEX CORP | 0000891618-00-000414 ↗ |
| 2000-02-04 | 424B4 | 424B4 (final prospectus) | AVANEX CORP | 0000891618-00-000516 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2000-02-02 | S-1/A | registration statement | $28.00–$30.00 | 6,000,000 | - | Nasdaq AVNX | 5 | from the submission text; range, price sentence, shares headline, proceeds computed, price outside the range dropped, cover names 5 | document ↗ | |
| 2000-02-04 | 424B4 | final prospectus | $13.00 | 6,000,000 | $78,000,000 | Nasdaq AVNX | 11 | from the submission text; price sentence, shares headline, proceeds computed, underwriting table 10, cover names 4 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| BARBAROSSA GIOVANNI | Director,Officer; Officer | CEO and President; Chief Technology Officer; Interim Chief Executive Office | 39 | 2006–2009 | |
| Le Maitre Yves | Officer | Chief Marketing Officer; VP & GM, Optical Components | 37 | 2006–2007 | |
| MAJOR JO S | Director,Officer | President and CEO | 24 | 2006–2008 | |
| RELOJ JAIME | Officer | VP Sales | 3 | 2006 | |
| Riley Anthony A | Officer | Chief Financial Officer; V.P., Finance | 10 | 2006–2007 | |
| SMITH JOEL A III | Director | 14 | 2006–2009 | ||
| Kolb Bradley | Officer | Senior VP, Operations | 39 | 2006–2009 | |
| HOAGLAND CAL R | Officer | Senior VP and CFO | 5 | 2006 | |
| CERF VINT | Director | 13 | 2006–2009 | ||
| Dougherty Greg | Director | 12 | 2006–2009 | ||
| WANG SUSAN | Director | 12 | 2006–2009 | ||
| Sanchez Marla | Officer | SVP & Chief Financial Officer | 17 | 2006–2008 | |
| EDSELL PATRICK | Officer | Senior VP, General Manager | 8 | 2007–2008 | |
| ALCATEL LUCENT | TenPercentOwner | 1 | 2007 | ||
| Pirelli & C. SPA | TenPercentOwner | 1 | 2007 | ||
| Pirelli (Finance) Luxembourg S.A. | TenPercentOwner | 1 | 2007 | ||
| SMITH PAUL GRAHAM | Director | 10 | 2007–2009 | ||
| PARKER SCOTT | Officer | Senior Vice President of Sales | 17 | 2007–2009 | |
| WOLF DENNIS P | Director | 4 | 2008–2009 | ||
| WEINSWIG MARK | Officer | VP Finance and Interim CFO | 16 | 2008–2009 |
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 | AVANEX CORPORATION | CA | State business registries | EIN (EXACT, as the state registration reports it) |
| SEC filer | AVANEX CORP | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | AVANEX CORPORATION | EIN (EXACT) | ||
| Federal award recipient | AVANEX CORPORATION | Federal spending (USAspending) | name and state | |
| Lobbying client | AVANEX CORP | Federal lobbying (LDA) | name and state | |
| Lobbying client | AVANEX CORPORATION | Federal lobbying (LDA) | name and state |
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.