IPO registrations (S-1, F-1) · Underwriters
March 31
- Deals
- 5 priced offerings as an underwriter, 1 as lead manager or representative; 5 initial public offerings
- Proceeds of those deals
- $573,750,000 ($35,000,000 as lead)
- Years
- 1999–2021
- Named in
- 19 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
Deals by year
| Year | Deals | As lead | Proceeds of deals |
|---|---|---|---|
| 2021 | 1 | 0 | $100,000,000 |
| 2018 | 1 | 0 | $180,000,000 |
| 2015 | 1 | 0 | $33,000,000 |
| 2014 | 1 | 0 | $225,750,000 |
| 1999 | 1 | 1 | $35,000,000 |
Deals 5
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2021-12-16 | Ault Disruptive Technologies Corp NV | Syndicate | $10.00 | 10,000,000 | $100,000,000 | NYSE American ADRTU | IPO | 4 | 424B4 ↗ | |
| 2018-06-15 | AVALARA, INC. WA | Syndicate | $24.00 | 7,500,000 | $180,000,000 | NYSE AVLR | IPO | 10 | 424B4 ↗ | |
| 2015-07-31 | Aqua Metals, Inc. NV | Syndicate | $5.00 | 6,600,000 | $33,000,000 | Nasdaq AQMS | IPO | 5 | 424B4 ↗ | |
| 2014-06-06 | Arista Networks, Inc. CA | Syndicate | $43.00 | 5,250,000 | $225,750,000 | NYSE ANET | IPO | 20 | 424B4 ↗ | |
| 1999-05-25 | PRISM FINANCIAL CORP IL | Lead | $14.00 | 2,500,000 | $35,000,000 | Nasdaq PRFN | IPO | 1 | 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 |
|---|---|---|---|---|---|---|---|
| 2016-05-03 | Viamet Pharmaceuticals Holdings LLC | Syndicate | $14.00–$16.00 | 5,700,000 | Nasdaq VMET | Withdrawn 2014-10-20 | S-1/A ↗ |
| 2014-06-11 | Veritiv Corp | Lead | 8,160,000 | NYSE VRTV | Effective 2014-06-13 | S-1/A ↗ | |
| 2010-05-21 | Affinion Group Holdings, Inc. | Lead | - | Withdrawn 2007-11-14 | S-1 ↗ | ||
| 2004-05-06 | ACCENT OPTICAL TECHNOLOGIES INC | Syndicate | $14.00–$16.00 | 3,700,000 | Nasdaq AXNT | Withdrawn 2004-10-25 | S-1/A ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| BofA Securities | 2 | 0 |
| JMP Securities | 2 | 0 |
| Stifel | 2 | 0 |
| A.G.P./Alliance Global Partners | 1 | 1 |
| BALANCE SHEETS September 30 | 1 | 0 |
| Barclays | 1 | 0 |
| Brookline Capital Markets | 1 | 0 |
| Citigroup | 1 | 0 |
| Consolidated Balance Sheets December 31 | 1 | 0 |
| Cowen | 1 | 0 |
| Credit Suisse | 1 | 0 |
| December 31 | 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.