IPO registrations (S-1, F-1) · Underwriters
Shields & Company
- Deals
- 5 priced offerings as an underwriter; 5 initial public offerings
- Proceeds of those deals
- $396,600,000
- Years
- 1997–2001
- SEC registration
- Broker-dealer registered as SHIELDS & COMPANY, INC. · filings on EDGAR ↗
Deals by year
Deals 5
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2001-07-24 | MEDCATH CORP NC | Syndicate | $25.00 | 6,000,000 | $150,000,000 | Nasdaq MDTH | IPO | 22 | 424B4 ↗ | |
| 2000-04-06 | I3 MOBILE INC CT | Syndicate | $16.00 | 5,100,000 | $81,600,000 | Nasdaq IIIM | IPO | 21 | 424B1 ↗ | |
| 2000-03-14 | SIELOX INC NJ | Syndicate | $17.00 | 5,000,000 | $85,000,000 | Nasdaq FAIM | IPO | 20 | 424B4 ↗ | |
| 2000-01-27 | EXTENSITY INC CA | Syndicate | $20.00 | 4,000,000 | $80,000,000 | Nasdaq EXTN | IPO | 20 | 424B1 ↗ | |
| 1997-03-21 | PHYSICIANS SPECIALTY CORP GA | Syndicate | 2,200,000 | - | Nasdaq ENTS | IPO | 19 | 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.
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| BofA Securities | 4 | 1 |
| Deutsche Bank | 4 | 3 |
| Robertson Stephens | 4 | 1 |
| Bear Stearns | 3 | 0 |
| C.L. King & Associates | 3 | 0 |
| Goldman Sachs | 3 | 0 |
| Hambrecht & Quist | 3 | 0 |
| Merrill Lynch | 3 | 0 |
| Piper Sandler | 3 | 1 |
| Wedbush Securities | 3 | 0 |
| CIBC World Markets | 2 | 0 |
| Citigroup | 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.