IPO registrations (S-1, F-1) · Underwriters
Inventory
- Deals
- 6 priced offerings as an underwriter, 2 as lead manager or representative; 5 initial public offerings
- Proceeds of those deals
- $343,800,363 ($50,635,655 as lead)
- Years
- 2002–2019
- Named in
- 19 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- Named as
- Inventory; Inventory —
Deals by year
| Year | Deals | As lead | Proceeds of deals |
|---|---|---|---|
| 2019 | 1 | 0 | $211,764,708 |
| 2015 | 1 | 0 | $33,000,000 |
| 2006 | 1 | 1 | $49,875,000 |
| 2005 | 1 | 0 | $19,000,000 |
| 2004 | 1 | 0 | $29,400,000 |
| 2002 | 1 | 1 | $760,655 |
Deals 6
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2019-06-07 | Revolve Group, Inc. CA | Syndicate | $18.00 | 11,764,706 | $211,764,708 | NYSE RVLV | IPO | 12 | 424B4 ↗ | |
| 2015-07-31 | Aqua Metals, Inc. NV | Syndicate | $5.00 | 6,600,000 | $33,000,000 | Nasdaq AQMS | IPO | 5 | 424B4 ↗ | |
| 2006-03-03 | NATURAL GAS SERVICES GROUP INC TX | Lead | $17.50 | 2,850,000 | $49,875,000 | NYSE American NGS | Offering | 2 | 424B1 ↗ | |
| 2005-08-03 | PARENT CO CO | Syndicate | $9.50 | 2,000,000 | $19,000,000 | NYSE American BUN | IPO | 3 | 424B4 ↗ | |
| 2004-07-19 | XENOGEN CORP CA | Syndicate | $7.00 | 4,200,000 | $29,400,000 | Nasdaq XGEN | IPO | 6 | 424B4 ↗ | |
| 2002-11-25 | COSI INC MA | Lead | $7.00 | 108,665 | $760,655 | 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 4
| Filed | Company | Role | Range | Shares | Listing | Status | Document |
|---|---|---|---|---|---|---|---|
| 2011-08-05 | BLUEARC CORP | Syndicate | - | Nasdaq BLRC | Withdrawn 2008-11-17 | S-1/A ↗ | |
| 2009-01-09 | GISSER AUTOMOTIVE CONCEPTS INC | Lead | 10,000,000 | Effective 2009-01-13 | S-1/A ↗ | ||
| 2008-06-10 | XANODYNE PHARMACEUTICALS INC | Syndicate | - | Nasdaq XANO | Withdrawn 2008-10-24 | S-1/A ↗ | |
| 2004-08-09 | Emerald Oil, Inc. | Lead | $5.00–$7.00 | 4,000,000 | Nasdaq WPTE | Pending | S-1/A ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| Accounts receivable | 1 | 1 |
| Accounts receivable, net | 1 | 0 |
| Barclays | 1 | 0 |
| BofA Securities | 1 | 0 |
| CIBC World Markets | 1 | 0 |
| Consolidated Balance Sheets December 31 | 1 | 0 |
| Consolidated Balance Sheets December 31, March 31 | 1 | 0 |
| Cowen | 1 | 0 |
| Credit Suisse | 1 | 1 |
| December 31 | 1 | 0 |
| December 31, March 31 | 1 | 0 |
| Guggenheim Securities | 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.