IPO registrations (S-1, F-1) · Underwriters
Brean Capital
- Deals
- 4 priced offerings as an underwriter, 1 as lead manager or representative; 1 initial public offering
- Proceeds of those deals
- $148,618,003 ($15,000,000 as lead)
- Years
- 2014–2015
- Named in
- 10 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- SEC registration
- Broker-dealer registered as BREAN CAPITAL, LLC · filings on EDGAR ↗
Deals by year
Deals 4
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2015-11-19 | Axsome Therapeutics, Inc. NY | Syndicate | $9.00 | 5,666,667 | $51,000,003 | Nasdaq AXSM | IPO | 3 | 424B4 ↗ | |
| 2015-04-06 | ARC Group Worldwide, Inc. CO | Lead | $5.00 | 3,000,000 | $15,000,000 | Nasdaq ARCW | Offering | 2 | 424B4 ↗ | |
| 2014-08-25 | WaferGen Bio-systems, Inc. CA | Syndicate | $5.00 | 2,000 | $10,000 | OTCQB WGBS | Offering | 3 | 424B4 ↗ | |
| 2014-03-21 | China Mobile Games & Entertainment Group Ltd F4 | Syndicate | $24.00 | 3,442,000 | $82,608,000 | Nasdaq CMGE | Offering | 5 | 424B4 ↗ |
“Offering” is a priced registered offering that the cover page does not describe as an initial public offering: a follow-on, a resale, or a small company’s best-efforts deal.
Registrations in progress or never priced 3
| Filed | Company | Role | Range | Shares | Listing | Status | Document |
|---|---|---|---|---|---|---|---|
| 2015-06-19 | Bowie Resource Partners LP | Syndicate | - | NYSE BRLP | Withdrawn 2016-08-22 | S-1 ↗ | |
| 2015-03-25 | VIEWRAY INC | Syndicate | $12.00–$14.00 | 4,000,000 | Nasdaq VRAY | Withdrawn 2015-04-16 | S-1/A ↗ |
| 2014-07-15 | MICROLIN BIO, INC. | Lead | $4.50–$5.50 | 5,500,000 | Nasdaq MCLB | Withdrawn 2014-09-19 | S-1/A ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| Ladenburg Thalmann | 2 | 2 |
| Barclays | 1 | 0 |
| Cantor Fitzgerald | 1 | 0 |
| Credit Suisse | 1 | 1 |
| Imperial Capital | 1 | 1 |
| Jefferies | 1 | 0 |
| National Securities Corporation | 1 | 0 |
| Nomura | 1 | 0 |
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). Offering terms are read from the cover pages of the registrant's final prospectus (424B4, 424B1) and its latest registration statement before pricing: the price range, the final price, shares offered, gross proceeds (the cover's total, else price times shares), exchange and ticker, and the underwriters named on the cover and in the underwriting table (loader/s1_terms.py). Underwriter names are normalised, so Goldman, Sachs & Co. of 1999 and Goldman Sachs & Co. LLC of 2024 are one firm.