IPO registrations (S-1, F-1) · Underwriters
SEC registration fee
- Deals
- 1 priced offering as an underwriter; 1 initial public offering
- Proceeds of those deals
- $15,000,000
- Years
- 1999
- Named in
- 48 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
- Named as
- SEC registration fee; SEC Registration fee; SEC Registration Fee
Deals by year
| Year | Deals | As lead | Proceeds of deals |
|---|---|---|---|
| 1999 | 1 | 0 | $15,000,000 |
Deals 1
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 1999-06-17 | CARESIDE INC CA | Syndicate | $7.50 | 2,000,000 | $15,000,000 | NYSE American CSA | IPO | 8 | 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 15
| Filed | Company | Role | Range | Shares | Listing | Status | Document |
|---|---|---|---|---|---|---|---|
| 2012-08-03 | Pentair Ltd. | Syndicate | - | Effective 2012-08-03 | S-1/A ↗ | ||
| 2000-11-13 | DIGITALCONVERGENCE COM INC | Syndicate | 10,000,000 | Nasdaq DGTL | Withdrawn 2001-03-21 | S-1/A ↗ | |
| 2000-10-17 | ARTEST CORP | Lead | $9.00–$11.00 | 5,000,000 | Nasdaq ARTE | Withdrawn 2001-01-31 | S-1/A ↗ |
| 2000-04-14 | DURO COMMUNICATIONS CORP | Lead | - | Nasdaq DURO | Pending | S-1 ↗ | |
| 1999-06-28 | HCI DIRECT INC | Syndicate | $15.00–$17.00 | 10,000,000 | NYSE HCD | Pending | S-1/A ↗ |
| 1999-05-20 | FURNISHINGS INTERNATIONAL INC | Syndicate | - | NYSE LFI | Withdrawn 2000-04-17 | S-1/A ↗ | |
| 1998-11-24 | E TEK DYNAMICS INC | Syndicate | $8.00–$10.00 | 5,000,000 | Nasdaq ETEK | Priced 1998-12-02 (terms not read) | S-1/A ↗ |
| 1998-05-26 | SUN APPAREL INC | Syndicate | - | Pending | S-1 ↗ | ||
| 1998-01-23 | IES Holdings, Inc. | Syndicate | $13.00–$15.00 | 7,000,000 | NYSE IEE | Withdrawn 2010-03-10 | S-1/A ↗ |
| 1997-11-06 | SONIC AUTOMOTIVE INC | Syndicate | $12.00–$14.00 | 5,000,000 | NYSE SAH | Priced 1997-11-13 (terms not read) | S-1/A ↗ |
| 1997-10-15 | FINLAY ENTERPRISES INC /DE | Syndicate | 3,000,000 | Nasdaq FNLY | Priced 1997-10-20 (terms not read) | S-1/A ↗ | |
| 1997-02-07 | CIENA CORP | Syndicate | $21.00–$23.00 | 5,000,000 | Nasdaq CIEN | Priced 1997-02-11 (terms not read) | S-1/A ↗ |
| 1996-10-09 | SAPIENT CORP | Syndicate | 1,040,000 | Nasdaq SAPE | Priced 1996-10-24 (terms not read) | S-1/A ↗ | |
| 1996-08-06 | GUESS INC | Syndicate | $18.00–$20.00 | 7,000,000 | NYSE GES | Pending | S-1/A ↗ |
| 1996-06-05 | OAKLEY INC | Syndicate | 5,000,000 | NYSE OO | Priced 1996-06-07 (terms not read) | S-1/A ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| American Stock Exchange Listing Fee | 1 | 0 |
| Millennium Financial Group, Inc | 1 | 0 |
| Miscellaneous | 1 | 0 |
| NASD Fee | 1 | 0 |
| Paulson Investment Company, Inc | 1 | 0 |
| Printing and engraving fees | 1 | 1 |
| Transfer agent and registrar fees | 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.