IPO registrations (S-1, F-1) · Underwriters
CIM Securities, LLC
- Deals
- 4 priced offerings as an underwriter; 3 initial public offerings
- Proceeds of those deals
- $131,018,000
- Years
- 2018–2019
- Named in
- 6 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- SEC registration
- Broker-dealer registered as CIM SECURITIES, LLC · filings on EDGAR ↗
Deals by year
Deals 4
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2019-04-10 | Vaxart, Inc. CA | Syndicate | $1.10 | 925,455 | $1,018,000 | Nasdaq VXRT | Offering | 2 | 424B4 ↗ | |
| 2019-02-07 | Scienjoy Holding Corp F4 | Syndicate | $10.00 | 5,000,000 | $50,000,000 | Nasdaq HHHH | IPO | 3 | 424B4 ↗ | |
| 2018-12-14 | Tessera Defense & Homeland Security Inc. DE | Syndicate | $10.00 | 7,000,000 | $70,000,000 | NYSE American CHAC.U | IPO | 4 | 424B4 ↗ | |
| 2018-02-28 | Union Acquisition Corp. NY | Syndicate | $1.00 | 10,000,000 | $10,000,000 | NYSE LTN | IPO | 3 | 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 |
|---|---|---|
| Chardan | 2 | 2 |
| Morgan Stanley | 2 | 1 |
| B. Riley Securities | 1 | 0 |
| H.C. Wainwright | 1 | 1 |
| I-Bankers Securities, Inc | 1 | 0 |
| Ladenburg Thalmann | 1 | 1 |
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.