IPO registrations (S-1, F-1) · Underwriters
Pali Capital, Inc
- Deals
- 6 priced offerings as an underwriter; 6 initial public offerings
- Proceeds of those deals
- $357,545,000
- Years
- 2002–2007
- Named in
- 10 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- SEC registration
- Broker-dealer registered as PALI CAPITAL, INC. · filings on EDGAR ↗
- Named as
- Pali Capital, Inc; Pali Capital, LLC
Deals by year
| Year | Deals | As lead | Proceeds of deals |
|---|---|---|---|
| 2007 | 3 | 0 | $250,045,000 |
| 2005 | 1 | 0 | $10,800,000 |
| 2004 | 1 | 0 | $41,700,000 |
| 2002 | 1 | 0 | $55,000,000 |
Deals 6
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2007-10-05 | AMERICAN COASTAL INSURANCE Corp FL | Syndicate | $0.01 | 4,500,000 | $45,000 | OTC FMGQU | IPO | 3 | 424B4 ↗ | |
| 2007-06-20 | BOISE INC. ID | Syndicate | 36,000,000 | - | NYSE American AII | IPO | 5 | 424B4 ↗ | ||
| 2007-06-01 | STONELEIGH PARTNERS ACQUISITION CORP. CT | Syndicate | $10.00 | 25,000,000 | $250,000,000 | NYSE American SOC.U | IPO | 2 | 424B4 ↗ | |
| 2005-02-09 | TRI-S SECURITY CORP GA | Syndicate | $6.00 | 1,800,000 | $10,800,000 | Nasdaq TRISU | IPO | 7 | 424B1 ↗ | |
| 2004-07-23 | LUMERA CORP WA | Syndicate | $6.95 | 6,000,000 | $41,700,000 | Nasdaq LMRA | IPO | 12 | 424B1 ↗ | |
| 2002-01-29 | SYNAPTICS Inc CA | Syndicate | $11.00 | 5,000,000 | $55,000,000 | Nasdaq SYNA | IPO | 13 | 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 |
|---|---|---|---|---|---|---|---|
| 2008-06-23 | China Growth Alliance Ltd | Syndicate | 7,000,000 | Withdrawn 2009-09-16 | F-1/A ↗ | ||
| 2008-05-13 | Mistral Acquisition CO | Syndicate | 30,000,000 | Withdrawn 2009-09-25 | S-1/A ↗ | ||
| 2008-03-18 | Corporate Acquirers, Inc. | Syndicate | 10,000,000 | Pending | S-1/A ↗ | ||
| 2007-12-31 | Aldabra 3 Acquisition Corp. | Syndicate | 50,000,000 | Pending | S-1 ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| Capital Growth Financial, L.L.C | 2 | 1 |
| Maxim Group | 2 | 0 |
| Paulson Investment Company | 2 | 1 |
| S.W. Bach & Company | 2 | 0 |
| Bathgate Capital Partners LLC | 1 | 1 |
| Bear Stearns | 1 | 1 |
| C.E. Unterberg, Towbin | 1 | 0 |
| Cowen | 1 | 0 |
| Deutsche Bank | 1 | 1 |
| EarlyBirdCapital, Inc | 1 | 0 |
| FBR | 1 | 0 |
| First Montauk Securities Corp | 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.