IPO registrations (S-1, F-1) · Underwriters
Sole Book
- Deals
- 3 priced offerings as an underwriter, 1 as lead manager or representative
- Proceeds of those deals
- $53,437,500 ($7,762,500 as lead)
- Years
- 2009–2020
- Named in
- 6 prospectuses and registration statements in all, including offerings not yet priced or withdrawn
Deals by year
Deals 3
| Priced | Company | Role | Price | Range | Shares | Proceeds | Listing | Kind | Syndicate | Prospectus |
|---|---|---|---|---|---|---|---|---|---|---|
| 2020-09-14 | Creatd, Inc. DE | Lead | $4.50 | 1,725,000 | $7,762,500 | Nasdaq CRTD | Offering | 5 | 424B4 ↗ | |
| 2009-12-17 | MIDSOUTH BANCORP INC LA | Syndicate | $12.75 | 2,700,000 | $34,425,000 | NYSE American MSL | Offering | 6 | 424B4 ↗ | |
| 2009-12-10 | PROVIDENT FINANCIAL HOLDINGS INC CA | Syndicate | $2.50 | 4,500,000 | $11,250,000 | Nasdaq PROV | Offering | 7 | 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 1
| Filed | Company | Role | Range | Shares | Listing | Status | Document |
|---|---|---|---|---|---|---|---|
| 2022-12-23 | MindMaze Therapeutics Holding SA | Syndicate | $5.50–$6.50 | 4,166,666 | Nasdaq RLFT | Withdrawn 2023-02-07 | F-1/A ↗ |
Works alongside
| Firm | Deals together | Of which that firm led |
|---|---|---|
| FIG Partners | 2 | 0 |
| Running Manager | 2 | 0 |
| Aegis Capital | 1 | 0 |
| Brookline Capital Markets | 1 | 0 |
| Capital Corp | 1 | 0 |
| FBR | 1 | 0 |
| Fig P Artners , Llc | 1 | 0 |
| Howe Barnes Hoefer & Arnett | 1 | 1 |
| Piper Sandler | 1 | 1 |
| Sandler O’Neill & Partners, L.P | 1 | 0 |
| Sterne Agee | 1 | 0 |
| Sterne, Agee & Leach, Inc | 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.