IPO registrations (S-1, F-1) · Underwriters
MLV & Co
- Deals
- 8 priced offerings as an underwriter, 2 as lead manager or representative; 6 initial public offerings
- Proceeds of those deals
- $498,729,900 ($15,675,000 as lead)
- Years
- 2012–2015
- Named in
- 15 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- SEC registration
- Broker-dealer registered as MLV & CO. LLC · filings on EDGAR ↗
- Named as
- MLV & Co; Mlv & CO. Llc
Deals by year
Deals 8
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2015-07-29 | ImmunityBio, Inc. CA | Syndicate | $25.00 | 8,288,000 | $207,200,000 | Nasdaq NK | IPO | 6 | 424B4 ↗ | |
| 2014-10-30 | Fifth Street Asset Management Inc. CT | Syndicate | $17.00 | 6,000,000 | $102,000,000 | Nasdaq FSAM | IPO | 20 | 424B4 ↗ | |
| 2014-09-25 | MEDLEY MANAGEMENT INC. NY | Syndicate | $18.00 | 6,000,000 | $108,000,000 | NYSE MDLY | IPO | 12 | 424B4 ↗ | |
| 2014-07-10 | DIGILITI MONEY GROUP, INC. MN | Lead | $1.50 | 4,775,000 | $6,750,000 | IPO | 3 | 424B4 ↗ | ||
| 2014-03-13 | EoCene Ltd. | Syndicate | $13.50 | 2,837,400 | $38,304,900 | Nasdaq GLMD | IPO | 3 | 424B4 ↗ | |
| 2014-02-06 | BIOCEPT INC CA | Syndicate | $10.00 | 1,900,000 | $19,000,000 | Nasdaq BIOC | IPO | 3 | 424B4 ↗ | |
| 2012-08-17 | BBHC, INC. AZ | Syndicate | $3.00 | 2,850,000 | $8,550,000 | Nasdaq MNGA | Offering | 2 | 424B4 ↗ | |
| 2012-07-26 | GreenHunter Resources, Inc. TX | Lead | $21.00 | 425,000 | $8,925,000 | NYSE American GRH | Offering | 4 | 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 1
| Filed | Company | Role | Range | Shares | Listing | Status | Document |
|---|---|---|---|---|---|---|---|
| 2014-11-26 | S1 Biopharma, Inc. | Lead | $12.00–$14.00 | 1,750,000 | Nasdaq SXB | Withdrawn 2015-06-25 | S-1/A ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| Northland Securities | 3 | 1 |
| Barclays | 2 | 0 |
| Credit Suisse | 2 | 2 |
| Deutsche Bank | 2 | 0 |
| Feltl and Company | 2 | 0 |
| Goldman Sachs | 2 | 2 |
| JMP Securities | 2 | 0 |
| Ladenburg Thalmann | 2 | 0 |
| Maxim Group | 2 | 1 |
| National Securities Corporation | 2 | 0 |
| Aegis Capital | 1 | 1 |
| BofA 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.