IPO registrations (S-1, F-1) · Registrants
LUMERA CORP
- SEC CIK
- 1137399 · filings on EDGAR ↗
- Registration
- Form S-1, first filed 2004-05-19, last 2005-04-08; 2 initial registrations, 6 amendments
- Outcome
- Final prospectus filed 2004-07-23; declared effective 2006-12-11
- Industry (SIC)
- Semiconductors & Related Devices 3674
- Business address
- 19910 NORTH CREEK PARKWAY, Bothell, WA 98011-3008
- EIN
- 91-2011728
- EDGAR entity type
- operating
- Insiders and CEO pay
- LUMERA CORP on the corporate pages
Offering terms
- Proposed price range
- $6.50–$7.50 per share (S-1/A filed 2004-07-22)
- Final price
- $6.95 per share, within the range (424B1 filed 2004-07-23, an initial public offering)
- Shares sold
- 6,000,000
- Gross proceeds
- $41,700,000 before underwriting discounts and any over-allotment option
- Listing
- Nasdaq under the symbol LMRA
- Lead underwriters
- Paulson Investment Company, Inc (5,230,000 shares)
- Syndicate
- I-Bankers Securities Incorporated (70,000); J.P. Turner & Company L.L.C (70,000); Kirlin Securities, Inc (70,000); Joseph Gunnar (70,000); vFinance Securities, Inc (70,000); Capital Growth Financial, L.L.C (70,000); Maxim Group (70,000); S.W. Bach & Company, Inc (70,000); Pali Capital, Inc (70,000); First Montauk Securities Corp (70,000); GunnAllen Securities (70,000)
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Form 5500 plan sponsor: LUMERA CORPORATION EXACT (EIN (EXACT))
- Federal award recipient: LUMERA CORPORATION Fuzzy (name and state)
- SEC filer: LUMERA CORP EXACT (CIK (EXACT))
Filings 10
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2004-05-19 | S-1 | S-1 (registration) | LUMERA CORP | 0001193125-04-091761 ↗ |
| 2004-06-25 | S-1/A | S-1/A (amendment) | LUMERA CORP | 0001193125-04-108220 ↗ |
| 2004-06-29 | S-1/A | S-1/A (amendment) | LUMERA CORP | 0001193125-04-110805 ↗ |
| 2004-07-12 | S-1/A | S-1/A (amendment) | LUMERA CORP | 0001193125-04-116743 ↗ |
| 2004-07-14 | S-1/A | S-1/A (amendment) | LUMERA CORP | 0001193125-04-117664 ↗ |
| 2004-07-15 | S-1/A | S-1/A (amendment) | LUMERA CORP | 0001193125-04-118426 ↗ |
| 2004-07-22 | S-1/A | S-1/A (amendment) | LUMERA CORP | 0001193125-04-122914 ↗ |
| 2004-07-23 | 424B1 | 424B1 (final prospectus) | LUMERA CORP | 0001193125-04-123546 ↗ |
| 2005-04-08 | S-1 | S-1 (registration) | LUMERA CORP | 0001193125-05-073030 ↗ |
| 2006-12-11 | EFFECT | EFFECT (declared effective) | LUMERA CORP | 9999999995-06-002644 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2004-07-22 | S-1/A | registration statement | $6.50–$7.50 | $4.92 | 6,000,000 | $29,520,000 | Nasdaq LMRA | 1 | primary document; range, price line, shares headline, proceeds computed, cover names 1 | document ↗ |
| 2004-07-23 | 424B1 | final prospectus | $6.95 | 6,000,000 | $41,700,000 | Nasdaq LMRA | 12 | primary document; price sentence, shares headline, proceeds table, underwriting table 12, cover names 2 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| RUTKOWSKI RICHARD F | Director,TenPercentOwner | 1 | 2006 | ||
| MICROVISION INC | TenPercentOwner | 2 | 2006 | ||
| JUDSON C James | Director | 5 | 2006–2008 | ||
| BIERE PETER | Officer | CFO and Treasurer | 5 | 2006–2008 | |
| Black James Fraser | Director | 2 | 2006–2007 | ||
| VALLNER JOSEPH J | Director; Director,Officer | Interim CEO | 4 | 2006–2007 | |
| Gambhir Sanjiv Sam | Director | 3 | 2006–2007 | ||
| GUTHRIE DONALD | Director | 2 | 2006–2007 | ||
| RATLIFFE ROBERT | Director; Director,TenPercentOwner | 2 | 2006–2007 | ||
| Lykken Daniel | Officer | V.P. of Sales and Marketing; VP Sales and Marketing | 5 | 2006–2008 | |
| Mino Thomas | Director,Officer,TenPercentOwner | C.E.O. and President | 2 | 2006–2007 | |
| PETCAVICH ROBERT J | Officer,TenPercentOwner | Chief Technology Officer | 1 | 2006 | |
| Trapp Kimberly D C | Director | 2 | 2006–2007 | ||
| Dinu Raluca | Officer | Vice President | 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 | LUMERA CORP | SEC filers (EDGAR) | CIK (EXACT) | |
| Form 5500 plan sponsor | LUMERA CORPORATION | EIN (EXACT) | ||
| Federal award recipient | LUMERA CORPORATION | Federal spending (USAspending) | 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.