IPO registrations (S-1, F-1) · Underwriters
Dougherty & Company
- Deals
- 5 priced offerings as an underwriter; 3 initial public offerings
- Proceeds of those deals
- $161,200,390
- Years
- 2001–2020
- Named in
- 6 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- SEC registration
- Broker-dealer registered as DOUGHERTY & COMPANY LLC · filings on EDGAR ↗
- Named as
- Dougherty & Company; Dougherty & Company LLC
Deals by year
| Year | Deals | As lead | Proceeds of deals |
|---|---|---|---|
| 2020 | 1 | 0 | $6,048,390 |
| 2019 | 1 | 0 | $9,000,000 |
| 2017 | 1 | 0 | $2,352,000 |
| 2014 | 1 | 0 | $107,800,000 |
| 2001 | 1 | 0 | $36,000,000 |
Deals 5
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2020-02-14 | Scienture Holdings, Inc. NY | Syndicate | $7.50 | 806,452 | $6,048,390 | Nasdaq MEDS | Offering | 4 | 424B4 ↗ | |
| 2019-11-22 | Arcimoto Inc OR | Syndicate | $1.80 | 5,000,000 | $9,000,000 | Nasdaq FUV | IPO | 3 | 424B4 ↗ | |
| 2017-05-10 | ENDRA Life Sciences Inc. MI | Syndicate | $1.40 | 1,680,000 | $2,352,000 | Nasdaq NDRAU | IPO | 3 | 424B1 ↗ | |
| 2014-06-25 | Adeptus Health Inc. TX | Syndicate | $22.00 | 4,900,000 | $107,800,000 | NYSE ADPT | IPO | 7 | 424B4 ↗ | |
| 2001-02-16 | ADEPT TECHNOLOGY INC CA | Syndicate | $18.00 | 2,000,000 | $36,000,000 | Nasdaq ADTK | Offering | 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 |
|---|---|---|
| of Contents | 2 | 0 |
| Piper Sandler | 2 | 1 |
| ABN AMRO | 1 | 0 |
| Aegis Capital | 1 | 0 |
| BofA Securities | 1 | 0 |
| Dawson James | 1 | 1 |
| Deutsche Bank | 1 | 1 |
| Evercore | 1 | 1 |
| Goldman Sachs | 1 | 1 |
| ING Barings LLC | 1 | 0 |
| Lehman Brothers | 1 | 1 |
| Miller Johnson Steichen Kinnard, Inc | 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.