IPO registrations (S-1, F-1) · Underwriters

Warrant and

Deals
5 priced offerings as an underwriter, 2 as lead manager or representative; 1 initial public offering
Proceeds of those deals
$97,583,809 ($30,350,000 as lead)
Years
2018–2026
Named in
12 prospectuses and registration statements in all, including offerings not yet priced or withdrawn

Deals by year

YearDealsAs leadProceeds of deals
202610$65,000,000
202411$30,350,000
202310$1,457,003
201911-
201810$776,806

Deals 5

PricedCompanyRolePriceRangeSharesProceedsListingKindSyndicateProspectus
2026-04-29Greenland Energy Co TXSyndicate$4.0016,250,000$65,000,000Nasdaq GLNDOffering3424B4 ↗
2024-02-02Nuvve Holding Corp. CALead$10.003,035,000$30,350,000Nasdaq NVVEIPO2424B4 ↗
2023-05-12Neptune Wellness Solutions Inc. A8Syndicate$0.334,415,162$1,457,003Nasdaq NEPTOffering4424B4 ↗
2019-12-19CAPRICOR THERAPEUTICS, INC. CALead531,173-Nasdaq CAPROffering2424B4 ↗
2018-06-22INVIVO THERAPEUTICS HOLDINGS CORP. MASyndicate$2.00388,403$776,806Nasdaq NVIVOffering3424B4 ↗

“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 2

FiledCompanyRoleRangeSharesListingStatusDocument
2024-01-22Aptose Biosciences Inc.Syndicate2,941,176Nasdaq APTOWithdrawn 2010-09-01S-1/A ↗
2019-12-13CAPRICOR THERAPEUTICS, INC.Lead5,319,148Nasdaq CAPRPriced 2019-12-19 (terms not read)S-1/A ↗

Works alongside

FirmDeals togetherOf which that firm led
Common Warrant21
A.G.P./Alliance Global Partners10
Craig-Hallum10
H.C. Wainwright10
Ladenburg Thalmann11
Series A Warrant10
Share and11
ThinkEquity10

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.