IPO registrations (S-1, F-1) · Underwriters
Pacific Capital
- Deals
- 1 priced offering as an underwriter
- Proceeds of those deals
- $9,600,000
- Years
- 2017
- Named in
- 2 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- SEC registration
- Investment adviser, CRD 159294
Deals by year
| Year | Deals | As lead | Proceeds of deals |
|---|---|---|---|
| 2017 | 1 | 0 | $9,600,000 |
Deals 1
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2017-10-02 | Yuma Energy, Inc. TX | Syndicate | $1.00 | 9,600,000 | $9,600,000 | NYSE American YUMA | Offering | 3 | 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.
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| Euro Pacific Capital, Inc | 1 | 1 |
| Northland 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.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| Investment adviser | PACIFIC CAPITAL | CA | Investment advisers (Form ADV) | CRD (EXACT) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.