IPO registrations (S-1, F-1) · Underwriters
Feltl and
- Deals
- 19 priced offerings as an underwriter, 2 as lead manager or representative; 16 initial public offerings
- Proceeds of those deals
- $414,981,469 ($26,857,856 as lead)
- Years
- 2005–2017
- Named in
- 37 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- SEC registration
- Broker-dealer registered as FELTL & COMPANY · filings on EDGAR ↗
- Named as
- Feltl and; Feltl and Company; Feltl & Company, Inc
Deals by year
| Year | Deals | As lead | Proceeds of deals |
|---|---|---|---|
| 2017 | 1 | 0 | $40,000,000 |
| 2015 | 4 | 0 | $62,747,273 |
| 2014 | 5 | 1 | $136,804,900 |
| 2013 | 7 | 1 | $124,934,296 |
| 2007 | 1 | 0 | $22,995,000 |
| 2005 | 1 | 0 | $27,500,000 |
Deals 19
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2017-12-21 | Cue Biopharma, Inc. MA | Syndicate | $7.50 | 5,333,334 | $40,000,000 | Nasdaq CUE | IPO | 3 | 424B1 ↗ | |
| 2015-06-25 | TREX WIND-DOWN, INC. NJ | Syndicate | $1.85 | 3,636,364 | $6,727,273 | OTCQB BPMX | Offering | 3 | 424B4 ↗ | |
| 2015-05-14 | Jaguar Health, Inc. CA | Syndicate | $7.00 | 2,860,000 | $20,020,000 | Nasdaq JAGX | IPO | 3 | 424B4 ↗ | |
| 2015-04-29 | Viking Therapeutics, Inc. CA | Syndicate | $8.00 | 3,000,000 | $24,000,000 | Nasdaq VKTX | IPO | 2 | 424B4 ↗ | |
| 2015-02-20 | MBody AI Ltd. | Syndicate | $6.00 | 2,000,000 | $12,000,000 | Nasdaq CHEK | IPO | 3 | 424B4 ↗ | |
| 2014-11-12 | JOINT Corp AZ | Lead | $6.50 | 3,000,000 | $19,500,000 | Nasdaq JYNT | IPO | 3 | 424B1 ↗ | |
| 2014-05-27 | Superior Drilling Products, Inc. UT | Syndicate | $4.00 | 6,750,000 | $27,000,000 | NYSE American SDPI | IPO | 3 | 424B4 ↗ | |
| 2014-03-13 | EoCene Ltd. | Syndicate | $13.50 | 2,837,400 | $38,304,900 | Nasdaq GLMD | IPO | 3 | 424B4 ↗ | |
| 2014-03-13 | PLx Pharma Winddown Corp. NJ | Syndicate | $12.00 | 2,750,000 | $33,000,000 | Nasdaq DPRX | IPO | 2 | 424B4 ↗ | |
| 2014-02-06 | BIOCEPT INC CA | Syndicate | $10.00 | 1,900,000 | $19,000,000 | Nasdaq BIOC | IPO | 3 | 424B4 ↗ | |
| 2013-12-19 | SuperCom Ltd | Syndicate | $4.00 | 3,000,000 | $12,000,000 | Nasdaq SPCB | Offering | 2 | 424B4 ↗ | |
| 2013-09-25 | Evoke Pharma Inc CA | Syndicate | $12.00 | 2,100,000 | $25,200,000 | Nasdaq EVOK | IPO | 3 | 424B4 ↗ | |
| 2013-07-23 | Vislink Technologies, Inc. NJ | Lead | $5.50 | 1,337,792 | $7,357,856 | Nasdaq XGTI | IPO | 2 | 424B4 ↗ | |
| 2013-06-20 | Truett-Hurst, Inc. CA | Syndicate | $6.00 | 2,700,000 | $16,200,000 | Nasdaq THST | IPO | 4 | 424B4 ↗ | |
| 2013-05-22 | Arcturus Therapeutics Ltd. CA | Syndicate | $8.00 | 3,125,000 | $25,000,000 | Nasdaq ADHD | IPO | 3 | 424B4 ↗ | |
| 2013-04-05 | Vyant Bio, Inc. NJ | Syndicate | $10.00 | 600,000 | $6,000,000 | CGIX | IPO | 2 | 424B4 ↗ | |
| 2013-01-29 | STEMLINE THERAPEUTICS INC NY | Syndicate | $10.00 | 3,317,644 | $33,176,440 | Nasdaq STML | IPO | 3 | 424B4 ↗ | |
| 2007-07-27 | GLOBAL TRAFFIC NETWORK, INC. NY | Syndicate | $5.11 | 4,500,000 | $22,995,000 | Nasdaq GNET | Offering | 3 | 424B1 ↗ | |
| 2005-08-16 | KONA GRILL INC AZ | Syndicate | $11.00 | 2,500,000 | $27,500,000 | Nasdaq KONA | IPO | 2 | 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 2
| Filed | Company | Role | Range | Shares | Listing | Status | Document |
|---|---|---|---|---|---|---|---|
| 2016-03-10 | BioLight Life Sciences Ltd. | Syndicate | $4.60–$6.60 | 2,142,857 | Nasdaq BOLT | Withdrawn 2017-05-04 | F-1/A ↗ |
| 2014-08-14 | DermTech, Inc. | Syndicate | - | Nasdaq DMTK | Withdrawn 2014-11-13 | S-1/A ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| Aegis Capital | 8 | 8 |
| Oppenheimer | 3 | 3 |
| CRT Capital | 2 | 1 |
| Maxim Group | 2 | 1 |
| MLV & Co | 2 | 0 |
| Roth Capital Partners | 2 | 2 |
| Sunrise Securities | 2 | 0 |
| Cantor Fitzgerald | 1 | 0 |
| Chardan | 1 | 1 |
| CSCA Capital Advisors, LLC - Feltl and Comany, Inc | 1 | 0 |
| JMP Securities | 1 | 0 |
| J.P. Morgan | 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.