IPO registrations (S-1, F-1) · Underwriters
Caris & Company
- Deals
- 7 priced offerings as an underwriter, 1 as lead manager or representative; 7 initial public offerings
- Proceeds of those deals
- $1,447,193,730 ($16,500,000 as lead)
- Years
- 2006–2011
- Named in
- 9 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- SEC registration
- Broker-dealer registered as CARIS & COMPANY, INC. · filings on EDGAR ↗
- Named as
- Caris & Company; Caris & Company Inc; Caris & Company, Inc; Caris & Company, Incorporated
Deals by year
Deals 7
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2011-03-11 | HCA Healthcare, Inc. TN | Syndicate | $8.58 | 126,200,000 | $1,082,796,000 | NYSE HCA | IPO | 35 | 424B4 ↗ | |
| 2011-02-11 | Kips Bay Medical, Inc. MN | Lead | $8.00 | 2,062,500 | $16,500,000 | Nasdaq KIPS | IPO | 5 | 424B4 ↗ | |
| 2010-12-09 | SemiLEDs Corp F5 | Syndicate | $17.00 | 5,250,000 | $89,250,000 | Nasdaq LEDS | IPO | 6 | 424B1 ↗ | |
| 2010-11-10 | RDA Microelectronics, Inc. F4 | Syndicate | $9.00 | 7,500,000 | $67,500,000 | Nasdaq RDA | IPO | 4 | 424B4 ↗ | |
| 2010-04-29 | ALPHA & OMEGA SEMICONDUCTOR Ltd CA | Syndicate | $18.00 | 5,085,985 | $91,547,730 | Nasdaq AOSL | IPO | 4 | 424B4 ↗ | |
| 2006-03-22 | NEXTEST SYSTEMS CORP CA | Syndicate | $14.00 | 5,400,000 | $75,600,000 | Nasdaq NEXT | IPO | 7 | 424B4 ↗ | |
| 2006-02-01 | SGX PHARMACEUTICALS, INC. CA | Syndicate | $6.00 | 4,000,000 | $24,000,000 | Nasdaq SGXP | IPO | 7 | 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.
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| Merrill Lynch | 3 | 3 |
| Barclays | 2 | 1 |
| BofA Securities | 2 | 0 |
| Cowen | 2 | 1 |
| Credit Suisse | 2 | 1 |
| Deutsche Bank | 2 | 1 |
| JMP Securities | 2 | 0 |
| Morgan Stanley | 2 | 1 |
| Piper Sandler | 2 | 0 |
| Susquehanna Financial Group, LLLP | 2 | 0 |
| ADSs Morgan Stanley & Co. International plc | 1 | 0 |
| Avondale Partners, LLC | 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.