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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 9/14/21 CPI Card Group Inc. S-3 4:290K Toppan Merrill/FA |
Document/Exhibit Description Pages Size 1: S-3 Registration Statement - Securities for a HTML 155K Transaction 2: EX-4.3 Instrument Defining the Rights of Security Holders HTML 11K 3: EX-5.1 Opinion of Counsel re: Legality HTML 12K 4: EX-23.1 Consent of Expert or Counsel HTML 5K
tm2127425-1_s3 - none - 3.0625141s |
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Delaware
(State or other jurisdiction of incorporation or organization) |
| |
26-0344657
(I.R.S. Employer Identification No.) |
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| Large accelerated filer | | | ☐ | | | Accelerated filer | | | ☐ | |
| Non-accelerated filer | | | ☒ | | | Smaller reporting company | | | ☒ | |
| | | | | | | Emerging growth company | | | ☐ | |
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Title of each class of class of
securities to be registered |
| | |
Amount to be
registered(1) |
| | |
Proposed maximum
aggregate offering price per share |
| | |
Proposed maximum
aggregate offering price |
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Amount of
registration fee |
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Primary Offering:
Common Stock, $0.001 par value per share |
| | | |
|
(2)
|
| | | | |
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(2)
|
| | | | | $ | 150,000,000(3) | | | | | | $ | 16,365.00 | | |
Secondary Offering:
Common Stock, $0.001 par value per share |
| | |
6,558,825 shares
|
| | |
$34.38(4)
|
| | | | $ | 225,492,403.50(4) | | | | | | $ | 24,601.22 | | | ||||||
Total
|
| | | | | | | | | | | | | | | | | | | | | | | | | $ | 40,966.22 | | |
| | | | | 1 | | | |
| | | | | 1 | | | |
| | | | | 1 | | | |
| | | | | 2 | | | |
| | | | | 5 | | | |
| | | | | 6 | | | |
| | | | | 8 | | | |
| | | | | 8 | | | |
| | | | | 8 | | | |
| | | | | 9 | | |
Name of Selling Stockholder
|
| |
Shares Owned
Prior to the Offering |
| |
Maximum Number of
Shares that May be Offered Pursuant to this Prospectus |
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Shares Owned
After the Offering |
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Number
|
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%(1)
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Number
|
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%
|
| ||||||||||||||||||||
Tricor Pacific Capital Partners (Fund IV), Limited Partnership(2)
|
| | | | 4,124,368 | | | | | | 36.7% | | | | | | 4,124,368 | | | | | | — | | | | | | — | | |
Tricor Pacific Capital Partners (Fund IV) US,
Limited Partnership(2) |
| | | | 2,434,457 | | | | | | 21.7% | | | | | | 2,434,457 | | | | | | — | | | | | | — | | |
|
SEC Registration Fee
|
| | | $ | 40,966.22 | | |
|
FINRA Filing Fee
|
| | | $ | (1) | | |
|
Legal Fees and Expenses
|
| | | $ | (1) | | |
|
Accounting Fees and Expenses
|
| | | $ | (1) | | |
|
Printing Expenses
|
| | | $ | (1) | | |
|
Transfer Agent Fees
|
| | | $ | (1) | | |
|
Miscellaneous
|
| | | $ | (1) | | |
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EXHIBIT NO.
|
| |
DESCRIPTION
|
|
|
1.1+
|
| | Underwriting Agreement | |
|
4.1
|
| | Third Amended and Restated Certificate of Incorporation of CPI Card Group Inc. (incorporated by reference to the Company’s Registration Statement on Form S-8 (File No. 333-207350)). | |
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4.2
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| | Certificate of Amendment of the Third Amended and Restated Certificate of Incorporation of CPI Card Group Inc. (incorporated by reference to the Company’s Current Report on Form 8-K filed December 22, 2017). | |
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4.3*
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4.4
|
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5.1*
|
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23.1*
|
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23.2*
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24.1
|
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Name
|
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Title
|
|
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/s/ Scott Scheirman
|
| |
President, Chief Executive Officer and Director
(Principal Executive Officer) |
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/s/ John Lowe
|
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Chief Financial Officer
(Principal Financial Officer) |
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/s/ Kevin O’Brien
|
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Chief Accounting Officer
(Principal Accounting Officer) |
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/s/ Bradley Seaman
|
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Chairman of the Board
|
|
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/s/ Thomas Furey
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Director
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|
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/s/ Robert Pearce
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Director
|
|
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/s/ Nicholas Peters
|
| |
Director
|
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This ‘S-3’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 9/14/21 | |||
9/13/21 | ||||
9/9/21 | ||||
6/30/21 | 10-Q | |||
3/31/21 | 10-Q | |||
12/31/20 | 10-K, SD | |||
12/31/19 | 10-K, SD | |||
1/1/19 | ||||
12/20/17 | ||||
2/12/16 | SC 13G | |||
List all Filings |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 12/28/22 Steamboat Capital Partners, LLC SC 13D/A 2:202K CPI Card Group Inc. EdgarAgents LLC/FA 11/05/21 CPI Card Group Inc. 10-Q 9/30/21 81:9M Toppan Merrill Bridge/FA |
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 8/12/21 CPI Card Group Inc. 10-Q 6/30/21 76:8.4M Toppan Merrill Bridge/FA 8/06/21 CPI Card Group Inc. 8-K:5 8/04/21 1:20K Toppan Merrill/FA 8/04/21 CPI Card Group Inc. 8-A12B 1:30K Toppan Merrill/FA 5/28/21 CPI Card Group Inc. 8-K:5,9 5/27/21 2:168K Toppan Merrill/FA 5/11/21 CPI Card Group Inc. 10-Q 3/31/21 75:6.7M Toppan Merrill Bridge/FA 4/13/21 CPI Card Group Inc. DEF 14A 5/27/21 1:1.4M Toppan Merrill Bridge/FA 3/16/21 CPI Card Group Inc. 8-K:1,2,8,9 3/15/21 5:3.1M Toppan Merrill/FA 3/02/21 CPI Card Group Inc. 8-K:8,9 3/01/21 2:49K Toppan Merrill/FA 2/25/21 CPI Card Group Inc. 10-K 12/31/20 96:9.8M Toppan Merrill Bridge/FA 2/25/21 CPI Card Group Inc. 8-K:8,9 2/25/21 2:66K Toppan Merrill/FA 1/29/21 CPI Card Group Inc. 8-K:5 1/25/21 1:15K Toppan Merrill/FA 12/22/17 CPI Card Group Inc. 8-K:3,5,8,912/18/17 3:48K Toppan Merrill/FA 10/09/15 CPI Card Group Inc. S-8 10/09/15 8:403K Toppan Merrill/FA |