IPO registrations (S-1, F-1) · Underwriters
Newbridge Securities
- Deals
- 22 priced offerings as an underwriter, 5 as lead manager or representative; 18 initial public offerings
- Proceeds of those deals
- $610,054,077 ($60,100,000 as lead)
- Years
- 2005–2024
- Named in
- 36 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- SEC registration
- Broker-dealer registered as NEWBRIDGE SECURITIES CORPORATION · filings on EDGAR ↗
- Named as
- Newbridge Securities; Newbridge Securities Corp; Newbridge Securities Corporation; Newbridge Securities, Inc
Deals by year
| Year | Deals | As lead | Proceeds of deals |
|---|---|---|---|
| 2024 | 3 | 2 | $29,150,000 |
| 2022 | 1 | 0 | $15,250,000 |
| 2021 | 3 | 0 | $41,880,000 |
| 2019 | 1 | 0 | $7,200,000 |
| 2015 | 3 | 0 | $62,352,273 |
| 2014 | 1 | 1 | $8,050,000 |
| 2013 | 2 | 0 | $59,218,000 |
| 2011 | 1 | 1 | $16,500,000 |
| 2010 | 1 | 0 | $40,075,000 |
| 2008 | 1 | 0 | $5,775,000 |
| 2007 | 2 | 0 | $263,403,804 |
| 2005 | 3 | 1 | $61,200,000 |
Deals 22
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2024-11-25 | IP STRATEGY HOLDINGS, INC. WA | Lead | $4.00 | 1,687,500 | $6,750,000 | Nasdaq CASK | IPO | 1 | 424B4 ↗ | |
| 2024-08-13 | ACTUATE THERAPEUTICS, INC. TX | Syndicate | $8.00 | 2,800,000 | $22,400,000 | Nasdaq ACTU | IPO | 3 | 424B4 ↗ | |
| 2024-01-26 | Aptose Biosciences Inc. | Lead | 4,912,280 | - | Nasdaq APTO | Offering | 1 | 424B4 ↗ | ||
| 2022-12-30 | Coya Therapeutics, Inc. TX | Syndicate | $5.00 | 3,050,000 | $15,250,000 | Nasdaq COYA | IPO | 3 | 424B4 ↗ | |
| 2021-11-03 | Blue Star Foods Corp. FL | Syndicate | $5.00 | 800,000 | $4,000,000 | OTC BSFC | Offering | 4 | 424B4 ↗ | |
| 2021-06-25 | Bon Natural Life Ltd F4 | Syndicate | $5.00 | 2,200,000 | $11,000,000 | Nasdaq BON | IPO | 6 | 424B4 ↗ | |
| 2021-02-11 | E-Power Inc. | Syndicate | $4.00 | 6,720,000 | $26,880,000 | Nasdaq SDH | IPO | 4 | 424B4 ↗ | |
| 2019-01-09 | MMTEC, INC. | Syndicate | $4.00 | 1,800,000 | $7,200,000 | Nasdaq MTC | IPO | 4 | 424B4 ↗ | |
| 2015-11-25 | Aina Le'a Inc. HI | Syndicate | $12.50 | 1,250,000 | $15,625,000 | Nasdaq AIZY | IPO | 2 | 424B4 ↗ | |
| 2015-06-25 | TREX WIND-DOWN, INC. NJ | Syndicate | $1.85 | 3,636,364 | $6,727,273 | OTCQB BPMX | Offering | 3 | 424B4 ↗ | |
| 2015-04-08 | Chaince Digital Holdings Inc. NY | Syndicate | $10.00 | 4,000,000 | $40,000,000 | Nasdaq WOWO | IPO | 6 | 424B4 ↗ | |
| 2014-10-10 | Great Basin Scientific, Inc. UT | Lead | $7.00 | 1,150,000 | $8,050,000 | Nasdaq GBSN | IPO | 3 | 424B4 ↗ | |
| 2013-06-06 | RCS Capital Corp NY | Syndicate | $20.00 | 2,500,000 | $50,000,000 | NYSE RCAP | IPO | 9 | 424B4 ↗ | |
| 2013-05-16 | FRONTEO, INC. M0 | Syndicate | $8.38 | 1,100,000 | $9,218,000 | Nasdaq UBIC | IPO | 4 | 424B4 ↗ | |
| 2011-02-11 | Kips Bay Medical, Inc. MN | Lead | $8.00 | 2,062,500 | $16,500,000 | Nasdaq KIPS | IPO | 5 | 424B4 ↗ | |
| 2010-06-14 | CHINA NEW BORUN Corp F4 | Syndicate | $7.00 | 5,725,000 | $40,075,000 | NYSE BORN | IPO | 4 | 424B4 ↗ | |
| 2008-02-21 | U.S. Stem Cell, Inc. FL | Syndicate | $5.25 | 1,100,000 | $5,775,000 | Nasdaq BHRT | IPO | 2 | 424B4 ↗ | |
| 2007-10-24 | FUQI INTERNATIONAL, INC. F4 | Syndicate | $9.00 | 7,033,816 | $63,304,344 | Nasdaq FUQI | IPO | 11 | 424B4 ↗ | |
| 2007-06-29 | TravelCenters of America Inc. /MD/ OH | Syndicate | $41.10 | 4,868,600 | $200,099,460 | NYSE American TA | Offering | 26 | 424B1 ↗ | |
| 2005-06-17 | Gentium S.p.A. | Syndicate | $9.00 | 2,400,000 | $21,600,000 | NYSE American GNT | IPO | 5 | 424B4 ↗ | |
| 2005-02-16 | Coastal Bancshares Acquisition Corp. TX | Lead | $6.00 | 4,800,000 | $28,800,000 | OTC CBASU | IPO | 9 | 424B4 ↗ | |
| 2005-02-09 | TRI-S SECURITY CORP GA | Syndicate | $6.00 | 1,800,000 | $10,800,000 | Nasdaq TRISU | IPO | 7 | 424B1 ↗ |
“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 6
| Filed | Company | Role | Range | Shares | Listing | Status | Document |
|---|---|---|---|---|---|---|---|
| 2024-01-22 | Aptose Biosciences Inc. | Lead | 2,941,176 | Nasdaq APTO | Withdrawn 2010-09-01 | S-1/A ↗ | |
| 2011-04-29 | Chisen Electric Corp | Lead | - | NYSE American CIEC | Withdrawn 2012-09-26 | S-1/A ↗ | |
| 2011-03-23 | ZHENG HUI INDUSTRY CORP. | Syndicate | $8.00–$9.00 | 1,764,706 | Nasdaq ZHIC | Withdrawn 2011-02-01 | S-1/A ↗ |
| 2011-02-07 | SOUTHERN CHINA LIVESTOCK, INC. | Syndicate | 852,061 | Nasdaq SCLI | Withdrawn 2011-08-15 | S-1/A ↗ | |
| 2010-03-26 | Tri-Tech Holding, Inc. | Lead | 1,501,500 | Nasdaq TRIT | Effective 2009-08-10 | S-1/A ↗ | |
| 2004-07-20 | EdgeWave, Inc. | Syndicate | 4,600,000 | OTC on | Effective 2006-06-23 | S-1/A ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| Dawson James | 6 | 3 |
| Chardan | 5 | 2 |
| Maxim Group | 5 | 3 |
| Capital Growth Financial, LLC | 3 | 1 |
| Ladenburg Thalmann | 3 | 1 |
| Bathgate Capital Partners LLC | 2 | 1 |
| I-bankers Securities Incorporated | 2 | 2 |
| J.P. Turner & Company, L.L.C | 2 | 0 |
| National Securities Corporation | 2 | 1 |
| Oppenheimer | 2 | 0 |
| The Benchmark Company | 2 | 2 |
| vFinance Investments Inc | 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.