IPO registrations (S-1, F-1) · Underwriters
Morgan Joseph
- Deals
- 23 priced offerings as an underwriter, 9 as lead manager or representative; 18 initial public offerings
- Proceeds of those deals
- $4,210,670,120 ($273,025,000 as lead)
- Years
- 2003–2010
- Named in
- 61 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- SEC registration
- Broker-dealer registered as MORGAN JOSEPH LLC · filings on EDGAR ↗
- Named as
- Morgan Joseph; Morgan Joseph & Co; Morgan Joseph & Co. Inc
Deals by year
| Year | Deals | As lead | Proceeds of deals |
|---|---|---|---|
| 2010 | 2 | 1 | $98,500,000 |
| 2009 | 1 | 1 | $10,200,000 |
| 2007 | 10 | 4 | $1,066,937,500 |
| 2006 | 5 | 2 | $323,723,870 |
| 2005 | 1 | 1 | - |
| 2004 | 1 | 0 | $2,231,327,000 |
| 2003 | 3 | 0 | $479,981,750 |
Deals 23
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2010-05-20 | Crumbs Bake Shop, Inc. NY | Lead | $0.50 | 5,000,000 | $2,500,000 | OTC SQTCU | IPO | 9 | 424B4 ↗ | |
| 2010-01-26 | China Hydroelectric Corp NY | Syndicate | $16.00 | 6,000,000 | $96,000,000 | NYSE CHC | IPO | 6 | 424B4 ↗ | |
| 2009-08-12 | CUMBERLAND PHARMACEUTICALS INC TN | Lead | $2.04 | 5,000,000 | $10,200,000 | Nasdaq CPIX | IPO | 5 | 424B4 ↗ | |
| 2007-11-30 | National American University Holdings, Inc. SD | Lead | $0.01 | 6,250,000 | $62,500 | OTC CAELU | IPO | 4 | 424B4 ↗ | |
| 2007-11-13 | Nuverra Environmental Solutions, Inc. TX | Syndicate | $6.00 | 50,000,000 | $300,000,000 | NYSE American HEK.U | IPO | 3 | 424B4 ↗ | |
| 2007-11-09 | Exceed Co Ltd. K3 | Lead | $8.00 | 7,500,000 | $60,000,000 | NYSE American TTY | IPO | 5 | 424B4 ↗ | |
| 2007-10-24 | Ultimate Escapes, Inc. FL | Syndicate | $8.00 | 10,000,000 | $80,000,000 | NYSE American HLD.U | IPO | 4 | 424B4 ↗ | |
| 2007-10-10 | LAYNE CHRISTENSEN CO TX | Syndicate | $24.00 | 2,700,000 | $64,800,000 | Nasdaq LAYN | Offering | 6 | 424B1 ↗ | |
| 2007-10-04 | Inter-Atlantic Financial, Inc. X1 | Lead | $0.01 | 7,500,000 | $75,000 | NYSE American IAN | IPO | 4 | 424B4 ↗ | |
| 2007-08-02 | Great Lakes Dredge & Dock CORP TX | Syndicate | $7.50 | 11,600,000 | $87,000,000 | Nasdaq GLDD | Offering | 7 | 424B4 ↗ | |
| 2007-04-18 | MBF Healthcare Acquisition Corp. FL | Lead | $8.00 | 18,750,000 | $150,000,000 | NYSE American MBH.U | IPO | 7 | 424B4 ↗ | |
| 2007-02-06 | UNION STREET ACQUISITION CORP. VA | Syndicate | $8.00 | 12,500,000 | $100,000,000 | NYSE American USQ | IPO | 2 | 424B4 ↗ | |
| 2007-02-01 | Information Services Group Inc. CT | Syndicate | $8.00 | 28,125,000 | $225,000,000 | NYSE American III.U | IPO | 4 | 424B4 ↗ | |
| 2006-12-20 | Claymont Steel Holdings, Inc. DE | Syndicate | $17.00 | 8,700,000 | $147,900,000 | Nasdaq PLTE | IPO | 5 | 424B4 ↗ | |
| 2006-08-17 | INNERWORKINGS INC IL | Syndicate | $9.00 | 10,590,000 | $95,310,000 | Nasdaq INWK | IPO | 5 | 424B4 ↗ | |
| 2006-06-02 | HD Partners Acquisition CORP CA | Lead | $0.01 | 18,750,000 | $187,500 | NYSE American HDP.U | IPO | 5 | 424B4 ↗ | |
| 2006-03-17 | Pet DRx CORP TN | Lead | $8.00 | 6,250,000 | $50,000,000 | OTC EHHAU | IPO | 6 | 424B4 ↗ | |
| 2006-01-20 | STERLING INFRASTRUCTURE, INC. TX | Syndicate | $15.00 | 2,021,758 | $30,326,370 | NYSE American STV | Offering | 5 | 424B4 ↗ | |
| 2005-08-17 | KAPSTONE PAPER & PACKAGING CORP 2Q | Lead | 20,000,000 | - | OTC SCDEU | IPO | 7 | 424B4 ↗ | ||
| 2004-04-13 | TUTOR PERINI CORP CA | Syndicate | $377.50 | 5,910,800 | $2,231,327,000 | NYSE PCR | Offering | 3 | 424B1 ↗ | |
| 2003-12-05 | Centerplate, Inc. CT | Syndicate | $15.00 | 16,785,450 | $251,781,750 | NYSE American CVP | IPO | 11 | 424B4 ↗ | |
| 2003-05-13 | iPayment, Inc. NY | Syndicate | $16.00 | 5,000,000 | $80,000,000 | Nasdaq IPMT | IPO | 17 | 424B4 ↗ | |
| 2003-05-05 | CoreCivic, Inc. TN | Syndicate | $19.50 | 7,600,000 | $148,200,000 | NYSE CXW | Offering | 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 29
| Filed | Company | Role | Range | Shares | Listing | Status | Document |
|---|---|---|---|---|---|---|---|
| 2011-08-12 | Myriant Corp | Syndicate | - | Nasdaq MYRT | Pending | S-1/A ↗ | |
| 2008-09-22 | Regian Acquisition Corp. | Syndicate | 10,000,000 | Pending | S-1 ↗ | ||
| 2008-05-29 | NEW ASIA PARTNERS CHINA I CORP | Syndicate | 3,750,000 | Pending | S-1/A ↗ | ||
| 2008-05-13 | Lambert's Cove Acquisition CORP | Syndicate | 10,000,000 | NYSE American LCA | Pending | S-1/A ↗ | |
| 2008-04-21 | GF Acquisition Corp /CA/ | Syndicate | 8,000,000 | NYSE American GFX | Withdrawn 2009-06-17 | S-1 ↗ | |
| 2008-04-18 | MVC Acquisition Corp. | Syndicate | 20,000,000 | NYSE American MVA | Withdrawn 2009-04-28 | S-1/A ↗ | |
| 2004-08-11 | AMERICAN CHALLENGER LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | AMERICAN TRIUMPH LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | NORTHERN HAWK LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | KATIE ANN LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | AMERICAN SEAFOODS CO LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | AMERICAN DYNASTY LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | OCEAN ROVER LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | NORTHERN JAEGER LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | SOUTHERN PRIDE CATFISH TRUCKING INC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | PACIFIC LONGLINE CO LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | LILLI ANN LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | NORTHERN EAGLE LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | AMERICAN SEAFOODS CORP | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Withdrawn 2004-10-05 | S-1/A ↗ |
| 2004-08-11 | AMERICAN SEAFOODS HOLDINGS LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | NORTH CAPE FISHERIES LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | ASC INC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | SOUTHERN PRIDE CATFISH LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | DEEP PACIFIC LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | AMERICAN SEAFOODS INTERNATIONAL LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | NEW BEDFORD SEAFOODS LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | AMERICAN SEAFOODS GROUP LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | HADLEY GROUP LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
| 2004-08-11 | AMERICAN SEAFOODS PROCESSING LLC | Syndicate | $13.50–$14.00 | 30,740,741 | NYSE American SEA | Pending | S-1/A ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| Legend Merchant Group | 6 | 0 |
| Gunnallen Financial | 5 | 0 |
| J.P. Morgan | 5 | 3 |
| Jefferies | 4 | 2 |
| Maxim Group | 4 | 1 |
| UBS | 4 | 3 |
| Credit Suisse | 3 | 2 |
| D.A. Davidson | 3 | 1 |
| I-Bankers Securities, Inc | 3 | 0 |
| Morgan | 3 | 0 |
| Southwest Securities | 3 | 0 |
| Baird | 2 | 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.