IPO registrations (S-1, F-1) · Underwriters
Pro-forma
- Deals
- 3 priced offerings as an underwriter; 3 initial public offerings
- Proceeds of those deals
- $221,540,000
- Years
- 1998–2005
- Named in
- 10 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- Named as
- Pro-forma; Pro Forma
Deals by year
Deals 3
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2005-10-28 | STRATA Skin Sciences, Inc. PA | Syndicate | $5.00 | 4,000,000 | $20,000,000 | Nasdaq MELA | IPO | 5 | 424B4 ↗ | |
| 2004-04-29 | BARRIER THERAPEUTICS INC NJ | Syndicate | $15.00 | 5,000,000 | $75,000,000 | Nasdaq BTRX | IPO | 7 | 424B4 ↗ | |
| 1998-05-01 | ROCK FINANCIAL CORP/MI/ MI | Syndicate | $38.00 | 3,330,000 | $126,540,000 | Nasdaq RCCK | IPO | 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 3
| Filed | Company | Role | Range | Shares | Listing | Status | Document |
|---|---|---|---|---|---|---|---|
| 2016-05-03 | Viamet Pharmaceuticals Holdings LLC | Syndicate | $14.00–$16.00 | 5,700,000 | Nasdaq VMET | Withdrawn 2014-10-20 | S-1/A ↗ |
| 2004-08-12 | Egenera, Inc. | Syndicate | - | Nasdaq EGEN | Withdrawn 2005-04-29 | S-1/A ↗ | |
| 1999-03-04 | ARGOSY EDUCATION GROUP INC | Syndicate | $14.00–$16.00 | 2,000,000 | Nasdaq ARGY | Priced 1999-03-09 (terms not read) | S-1/A ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| Marketable securities | 2 | 0 |
| Accounts receivable, net | 1 | 0 |
| Bear Stearns | 1 | 1 |
| BofA Securities | 1 | 1 |
| CONSOLIDATED BALANCE SHEETS December 31 | 1 | 0 |
| Interest receivable | 1 | 0 |
| J.P. Morgan | 1 | 1 |
| Morgan Stanley | 1 | 1 |
| Prudential Securities | 1 | 1 |
| Roney & Co | 1 | 0 |
| Stanford Group Company | 1 | 0 |
| ThinkEquity | 1 | 1 |
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.