IPO registrations (S-1, F-1) · Underwriters
Inventories
- Deals
- 9 priced offerings as an underwriter, 2 as lead manager or representative; 9 initial public offerings
- Proceeds of those deals
- $617,710,000 ($90,800,000 as lead)
- Years
- 1998–2014
- Named in
- 35 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- Named as
- Inventories; Inventories —
Deals by year
| Year | Deals | As lead | Proceeds of deals |
|---|---|---|---|
| 2014 | 1 | 0 | $225,750,000 |
| 2013 | 1 | 0 | $74,520,000 |
| 2010 | 1 | 1 | $6,800,000 |
| 2007 | 1 | 0 | $48,400,000 |
| 2006 | 1 | 0 | $31,500,000 |
| 2004 | 2 | 0 | $146,740,000 |
| 2003 | 1 | 1 | $84,000,000 |
| 1998 | 1 | 0 | - |
Deals 9
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2014-06-06 | Arista Networks, Inc. CA | Syndicate | $43.00 | 5,250,000 | $225,750,000 | NYSE ANET | IPO | 20 | 424B4 ↗ | |
| 2013-11-06 | BARRACUDA NETWORKS INC CA | Syndicate | $18.00 | 4,140,000 | $74,520,000 | NYSE CUDA | IPO | 10 | 424B4 ↗ | |
| 2010-08-13 | Electromed, Inc. MN | Lead | $4.00 | 1,700,000 | $6,800,000 | Nasdaq ELMD | IPO | 3 | 424B4 ↗ | |
| 2007-07-19 | LIMCO-PIEDMONT INC OK | Syndicate | $11.00 | 4,400,000 | $48,400,000 | Nasdaq LIMC | IPO | 5 | 424B4 ↗ | |
| 2006-04-06 | Castle Brands Inc NY | Syndicate | $9.00 | 3,500,000 | $31,500,000 | NYSE American ROX | IPO | 7 | 424B4 ↗ | |
| 2004-02-06 | ENTORIAN TECHNOLOGIES INC TX | Syndicate | $13.00 | 10,000,000 | $130,000,000 | Nasdaq STAK | IPO | 10 | 424B4 ↗ | |
| 2004-02-05 | BAKERS FOOTWEAR GROUP INC MO | Syndicate | $7.75 | 2,160,000 | $16,740,000 | Nasdaq BKRS | IPO | 6 | 424B4 ↗ | |
| 2003-11-06 | PHARMION CORP CO | Lead | $14.00 | 6,000,000 | $84,000,000 | Nasdaq PHRM | IPO | 2 | 424B4 ↗ | |
| 1998-02-12 | Province Healthcare Company, LLC TN | Syndicate | $16.00 | - | - | Nasdaq PRHC | IPO | 6 | 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 13
| Filed | Company | Role | Range | Shares | Listing | Status | Document |
|---|---|---|---|---|---|---|---|
| 2015-10-29 | Ballast Point Brewing & Spirits, Inc. | Syndicate | - | Withdrawn 2016-01-26 | S-1/A ↗ | ||
| 2011-02-11 | China Wesen Recycling Technology, Inc. | Syndicate | $3.00–$4.00 | 180,000 | Pending | S-1 ↗ | |
| 2005-06-30 | National Waterworks Holdings, Inc. | Syndicate | - | NYSE NWW | Withdrawn 2005-09-22 | S-1/A ↗ | |
| 2004-05-06 | ACCENT OPTICAL TECHNOLOGIES INC | Lead | $14.00–$16.00 | 3,700,000 | Nasdaq AXNT | Withdrawn 2004-10-25 | S-1/A ↗ |
| 2002-05-23 | JL FRENCH AUTOMOTIVE CASTING INC | Syndicate | - | Nasdaq FREN | Withdrawn 2003-08-11 | S-1 ↗ | |
| 2002-04-25 | UNITED STATES MARINE REPAIR INC | Syndicate | $14.00–$16.00 | 9,300,000 | NYSE UMX | Withdrawn 2002-06-06 | S-1/A ↗ |
| 2002-01-18 | ALLIANCE MEDICAL CORP | Syndicate | $14.00–$16.00 | 4,000,000 | Nasdaq ALMC | Withdrawn 2002-03-12 | S-1/A ↗ |
| 1998-09-17 | ANTHONY & SYLVAN POOLS CORP | Lead | - | Nasdaq SWIM | Pending | S-1 ↗ | |
| 1998-08-11 | CAMELOT MUSIC HOLDINGS INC | Syndicate | - | Nasdaq CMLT | Withdrawn 1998-11-04 | S-1/A ↗ | |
| 1998-08-06 | INFORMATION HOLDINGS INC | Syndicate | $12.00–$14.00 | 4,250,000 | NYSE IHI | Priced 1998-08-07 (terms not read) | S-1/A ↗ |
| 1998-07-20 | ARGO TECH GROUP INC | Syndicate | $13.00–$15.00 | 5,400,000 | Withdrawn 1999-01-19 | S-1/A ↗ | |
| 1997-06-24 | RECYCLING INDUSTRIES INC | Lead | 10,189,541 | Nasdaq RECY | Pending | S-1/A ↗ | |
| 1996-04-10 | TRUMP ENTERTAINMENT RESORTS, INC. | Syndicate | 500,000 | NYSE DJT | Priced 1996-04-12 (terms not read) | S-1/A ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| Morgan Stanley | 3 | 3 |
| Oppenheimer | 3 | 2 |
| Accounts receivable | 2 | 0 |
| BofA Securities | 2 | 0 |
| JMP Securities | 2 | 0 |
| Merrill Lynch | 2 | 2 |
| Pacific Crest Securities | 2 | 0 |
| Stifel | 2 | 0 |
| William Blair | 2 | 0 |
| ASSETS Current assets: Cash and cash equivalents | 1 | 0 |
| Barclays | 1 | 0 |
| Bb & T Capital Markets | 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.