Small Cap IPO Registrations by Lead Manager
Filings From 6/1/96 to
3/21/97
| Ticker | File Date | Issuer Name | Filing Range | Shares Offered | Industry | |
|---|---|---|---|---|---|---|
| Andrew Garrett Securities | ||||||
| NASSCM: PCOM | 2/14/97 | Patcomm Corporation | $5.00 | 1,265,000 | Manufacturing | |
| Barington Capital Group, L.P. (212) 974-5722 | ||||||
| NASSCM: OCOM | 1/29/97 | Objective Communications, Inc. | $5.00 - $6.00 | 1,800,000 | High-Tech | |
| Barron Chase Securities, Inc. (800) 678-3022 | ||||||
| - | 8/12/96 | Eagle Supply Group, Inc. | $5.00 | 1,500,000 | Wholesale | |
| - | 8/9/96 | General Credit Corporation | $3.00 | 2,200,000 | Financial | |
| Biltmore Securities (800) 944-4490 | ||||||
| NASSCM: PCFR | 2/11/97 | PC411, Inc. | $5.00 | 1,150,000 | High-Tech | |
| NASSCM: SUNC | 11/25/96 | Sun Hill Industries, Inc. | $4.00 | 1,100,000 | Wholesale | |
| Boston Group (800) 382-3220 | ||||||
| NASSCM: SCPI | 10/30/96 | Scoop, Inc. | $5.00 - $6.00 | 1,400,000 | High-Tech | |
| Brauer & Associates | ||||||
| NASSCM: NAPW | 3/13/97 | National Auto Parts Warehouse, Inc. | $5.00 | 650,000 | Retail | |
| Chatfield Dean & Company, Inc. (800) 723-3326 | ||||||
| - | 1/17/97 | Nations Flooring, Inc. | $6.00 - $8.00 | 2,000,000 | Manufacturing | |
| Cohig & Associates Inc. (800) 444-5610 | ||||||
| NASSCM: FAUX | 7/25/96 | Premier Concepts, Inc. | $3.75 - $4.25 | 1,100,000 | Retail | |
| Commonwealth Associates (212) 297-5789 | ||||||
| NASSCM: NGVS | 10/15/96 | Natural Gas Vehicle Systems, Inc. | $6.00 - $7.50 | 1,500,000 | Manufacturing | |
| D.H. Blair & Co Inc. (212) 495-4000 | ||||||
| NASSCM: NTFY | 3/14/97 | Notify Corporation | $5.00 | 1,400,000 | Manufacturing | |
| NASSCM: ONVCW | 3/5/97 | On' Village Communications, Inc. | $5.00 | 1,300,000 | High-Tech | |
| NASSCM: PRAN | 12/23/96 | Piranha Interactive Publishing, Inc. | $5.00 | 1,200,000 | Manufacturing | |
| Dalton Kent Securities Group, Inc. | ||||||
| NASSCM: ACEI | 3/21/97 | American Champion Entertainment, Inc. | $5.00 | 1,100,000 | Service | |
| NASSCM: AICI | 8/5/96 | American International Consolidated, Inc. | $5.00 | 900,000 | Construction | |
| Dickinson & Co. (515) 247-8100 | ||||||
| NASSCM: SGEN | 2/13/97 | Saigene Corporation | $6.00 | 1,000,000 | Service | |
| - | 9/30/96 | Vista Laser Centers of the Pacific, Inc. | $5.00 | 1,200,000 | Service | |
| European Community Capital Ltd. | ||||||
| NASSCM: CODI | 12/23/96 | Compu-DAWN, Inc. | $5.00 | 1,000,000 | High-Tech | |
| First Allied Securities, Inc. (619) 702-9600 | ||||||
| NASSCM: CLAW | 8/9/96 | Claw Island Foods, Inc. | $5.00 - $6.00 | 1,200,000 | Manufacturing | |
| First London Securities Corporation (206) 220-0690 | ||||||
| - | 3/10/97 | Nei Webworld, Inc. | $6.50 - $7.50 | 1,000,000 | Manufacturing | |
| First Metropolitan Securities, Inc. | ||||||
| NASSCM: TRFDF | 11/22/96 | Tramford International Ltd. | $5.00 | 1,000,000 | Service | |
| First United Equity (516) 739-4500 | ||||||
| NASSCM: ABPI | 12/24/96 | Apollo BioPharmaceuticals, Inc. | $4.75 - $5.75 | 1,200,000 | Manufacturing | |
| GKN Securities (212) 509-3800 | ||||||
| NASSCM: PVTR | 3/6/97 | Pivot Rules, Inc. | $5.00 - $6.00 | 1,500,000 | Wholesale | |
| Gordian Group, Inc. | ||||||
| - | 1/16/97 | Visual Numerics, Inc. | $2.00 - $3.00 | 1,650,000 | High-Tech | |
| Greenway Capital Corp. (212) 344-8440 | ||||||
| - | 8/6/96 | Imaging Dynamics, Inc. | $5.00 | 1,000,000 | Manufacturing | |
| H.C. Wainwright & Co. Inc. | ||||||
| NASSCM: ASIS | 1/24/97 | ASI Solutions, Inc. | $7.00 - $8.00 | 2,200,000 | Service | |
| H.J. Meyers & Company, Incorporated (310) 278-7880 | ||||||
| NASSCM: JUBE | 1/17/97 | Jubilee Gaming Enterprises, Inc. | $5.00 | 1,200,000 | Service | |
| Investors Associates, Inc. (201) 646-9060 | ||||||
| - | 8/12/96 | Capital Beverage Corporation | $5.05 | 800,000 | Wholesale | |
| J.E. Liss & Company, Inc. (414) 225-3555 | ||||||
| NASSCM: TOMM | 6/10/96 | Tomorrow's Morning, Inc. | $5.50 | 1,100,000 | Not Classified | |
| Janda Phillips | ||||||
| NASSCM: PLUS | 9/24/96 | Simulations Plus, Inc. | $5.00 | 1,000,000 | High-Tech | |
| Joseph Charles & Associates, Inc. (407) 659-7400 | ||||||
| NASSCM: OFLF | 12/23/96 | Officeland, Inc. | $0.00 | 700,000 | Retail | |
| Joseph Roberts & Co., Inc. (312) 553-0600 | ||||||
| - | 9/20/96 | American Professional Billiards, Inc. | $5.00 | 1,000,000 | Manufacturing | |
| Joseph Stevens & Company, L.P. (212) 361-3000 | ||||||
| NASSCM: HNWC | 12/19/96 | Hawaiian Natural Water Company, Inc. | $4.00 | 2,000,000 | Wholesale | |
| Josephthal Lyon & Ross, Inc. (212) 907-4564 | ||||||
| - | 2/20/97 | NetSpeak Corporation | $8.00 - $10.00 | 2,000,000 | High-Tech | |
| Kaufman Brothers L.P. (800) 807-8723 | ||||||
| NASSCM: ISPI | 7/3/96 | Index Stock Photography, Inc. | $8.00 - $10.00 | 1,000,000 | Service | |
| Laidlaw Equities, Inc. (212) 949-5831 | ||||||
| NASSCM: AUGS | 2/7/97 | Augment Systems, Inc. | $5.00 | 2,000,000 | High-Tech | |
| Landmark International Equities (212) 889-1830 | ||||||
| NASSCM: MAMA | 8/2/96 | Mama Tish Italian Food Specialties, Inc. | $5.00 | 2,000,000 | Manufacturing | |
| M.H. Meyerson & Company (201) 332-3353 | ||||||
| NASSCM: DMDS | 2/28/97 | Dental/Medical Diagnostic Systems, Inc. | $4.00 - $5.00 | 1,500,000 | Manufacturing | |
| Maidstone Financial, Inc. (212) 832-6300 | ||||||
| NASSCM: UNVC | 1/22/97 | Univec, Inc. | $3.50 | 1,500,000 | Manufacturing | |
| Maxwell Capital, Inc. | ||||||
| NASSCM: GNET | 12/31/96 | go2net, Inc. | $7.00 - $9.00 | 1,500,000 | High-Tech | |
| May Davis Group, Inc. | ||||||
| NASSCM: AIOD | 12/17/96 | Apollo International of Delaware, Inc. | $5.00 | 700,000 | Manufacturing | |
| Meridian Capital Group, Inc. | ||||||
| NASSCM: JVLN | 8/30/96 | Javelin Systems, Inc. | $5.00 - $7.00 | 850,000 | High-Tech | |
| Monroe Parker & Company (914) 696-4200 | ||||||
| NASSCM: ACMN | 2/4/97 | All Communications Corporation | $3.50 | 1,100,000 | Service | |
| National Securities Corp. (206) 622-7200 | ||||||
| NASSCM: BEVI | 7/2/96 | Beverage International Group Ltd. | $6.00 - $7.75 | 1,750,000 | Manufacturing | |
| NASSCM: EATS | 1/28/97 | Butterwings Entertainment Group, Inc. | $6.50 | 1,112,000 | Retail | |
| NASSCM: CASU | 11/27/96 | Casull Arms Corporation | $6.00 | 1,400,000 | Manufacturing | |
| NASSCM: CODN | 11/1/96 | Codon Pharmaceuticals, Inc. | $5.00 - $6.00 | 1,700,000 | Manufacturing | |
| NASSCM: CTVYF | 1/23/97 | Cotton Valley Resources, Inc. | $6.20 | 1,250,000 | Natural Resources | |
| - | 9/26/96 | Energy Search, Incorporated | $10.00 | 1,000,000 | Natural Resources | |
| - | 7/19/96 | Osmotics Corporation | $6.50 | 1,000,000 | Manufacturing | |
| ND Capital, Inc. | ||||||
| NASSCM: NTEG | 9/6/96 | ND Holdings, Inc. | $3.00 - $4.00 | 3,000,000 | Financial | |
| Network One Financial Securities, Inc. (908) 758-9001 | ||||||
| NASSCM: MEDE | 2/14/97 | Med-Emerg International, Inc. | $3.90 | 1,250,000 | Service | |
| Non-Underwritten | ||||||
| NASSCM: DSCO | 1/7/97 | Discovery Laboratories, Inc. | $3.00 | 12,101,409 | Service | |
| - | 11/14/96 | Historic Bellefonte Brewery, Inc., The | $10.00 | 1,250,000 | Manufacturing | |
| NASSCM: PTSW | 1/22/97 | Powertrader, Inc. | $3.00 | 1,700,000 | High-Tech | |
| Not Available | ||||||
| NASSCM: VDAT | 12/26/96 | Visual Data Corporation | $6.00 | 1,000,000 | Manufacturing | |
| Pan American Securities, Inc. | ||||||
| NASSCM: VNET | 9/27/96 | Voicenet, Inc. | $8.00 | 1,250,000 | High-Tech | |
| Paragon Capital Corporation (212) 742-1500 | ||||||
| NASSCM: BGEL | 12/24/96 | Tuscany, Inc. | $5.00 | 1,600,000 | Retail | |
| Patterson Travis, Inc. (212) 837-7340 | ||||||
| - | 1/20/97 | G. Willi-Food International Ltd. | $4.10 | 1,300,000 | Wholesale | |
| - | 3/18/97 | Spectrumedix Corporation | $5.00 | 1,600,000 | Manufacturing | |
| Pryor McClendon Counts & Co. (215) 569-0274 | ||||||
| NASSCM: ISNX | 10/2/96 | Isonics Corporation | $5.90 - $7.90 | 850,000 | Manufacturing | |
| Rickel & Associates, Inc. (800) 678-2664 | ||||||
| - | 7/8/96 | Environmental Purification Industries, Inc. | $5.50 | 1,200,000 | Service | |
| - | 11/22/96 | Virologix Corporation | $6.00 | 1,150,000 | Manufacturing | |
| S.D. Cohn & Co., Inc. (800) 638-8789 | ||||||
| NASSCM: MAYF | 10/2/96 | Mayfair Homes Corporation | $5.00 - $6.00 | 700,000 | Construction | |
| Schneider Securities, Inc. (303) 694-0111 | ||||||
| NASSCM: CLAF | 12/18/96 | Cafe La France, Inc. | $4.25 | 1,150,000 | Retail | |
| NASSCM: PRDU | 2/5/97 | PerArdua Corporation | $5.00 | 1,000,000 | Manufacturing | |
| NASSCM: WHEL | 1/27/97 | Wheels Sports Group, Inc. | $6.50 | 900,000 | Manufacturing | |
| Sentra Securities Company (619) 584-7000 | ||||||
| NASSCM: OFPI | 3/7/97 | Organic Food Products, Inc. | $5.00 | 1,200,000 | Manufacturing | |
| Starr Securities, Inc. (212) 422-7161 | ||||||
| NASSCM: CTIN | 2/12/97 | Cash Technologies, Inc. | $6.75 | 900,000 | Manufacturing | |
| State Street Securities | ||||||
| - | 9/11/96 | Beverage Works, Inc. | $8.00 | 1,000,000 | Manufacturing | |
| - | 8/9/96 | Cooper International Group, Inc. | $5.50 | 1,000,000 | Wholesale | |
| Sterling Foster & Co., Inc. (516) 843-8000 | ||||||
| NASSCM: NICH | 12/12/96 | Niche Pharmaceuticals, Inc. | $5.00 | 1,300,000 | Manufacturing | |
| Strasbourger Pearson Tulcin Wolff Inc. (212) 425-2320 | ||||||
| NASSCM: CFIM | 3/21/97 | CFI Mortgage, Inc. | $5.00 | 920,000 | Financial | |
| Stratton Oakmont Inc. (516) 358-1800 | ||||||
| NASSCM: IDCO | 7/10/96 | Reseal Food Dispensing Systems, Inc. | $3.50 | 3,100,000 | Manufacturing | |
| Sunrise Securities Corp. (212) 421-1616 | ||||||
| - | 3/10/97 | Siga Pharmaceuticals, Inc. | $5.00 | 3,250,000 | Manufacturing | |
| Trident Securities, Inc. (919) 781-8900 | ||||||
| - | 3/19/97 | First Robinson Financial Corporation | $10.00 | 747,500 | Financial | |
| Whale Securities Company (212) 484-2057 | ||||||
| NASSCM: ACRD | 2/3/97 | American Card Technology, Inc. | $5.00 | 1,500,000 | High-Tech | |
| NASSCM: MMSI | 2/4/97 | Marine Management Systems, Inc. | $5.00 | 1,200,000 | High-Tech | |
| NASSCM: TTWO | 2/10/97 | Take-Two Interactive Software, Inc. | $5.00 | 1,600,000 | High-Tech | |
Last updated: 3/23/97
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