IPOGrid
0001009759
IPO filing research
Capstone Energy Plus, Inc.
Engines & Turbines · CGEH
follow-on
priced
OTCQX
EFFECT
Capstone Energy Plus, Inc. IPO research page with SEC filing history, offering status, deal terms, structured filing extracts, company news, and comparable IPO context. Latest filing: EFFECT on 2026-05-04. Current deal snapshot: exchange OTCQX.
Filing Timeline
SEC EDGAR
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
First tracked pre-IPO filing for this issuer.
2026-05-04 · 9999999995-26-001483
424B3
priced
Final prospectus
Final prospectus filed near launch with final deal terms.
Follows EFFECT and confirms the priced prospectus.
7,500,000 shares
Common Stock · Exchange OTCQX · Ticker CGEH · Up to 3,520,000 shares issuable upon exercise of pre-funded warrants · Selling stockholders only · Use of proceeds Proceeds go to selling stockholders
2026-01-06 · 0001104659-26-001275
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows S-1 and marks the registration effective.
2026-01-02 · 9999999995-26-000035
S-1
filed
Initial registration statement
Initial public filing submitted to start the SEC review process.
Follows EFFECT in the pre-IPO sequence.
7,500,000 shares
common · Exchange OTCQX Best Market · Ticker CGEH · Up to 3,520,000 shares issuable upon exercise of pre-funded warrants · Selling stockholders only · Use of proceeds Selling stockholders will receive proceeds from the sale
2025-12-23 · 0001104659-25-124089
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows EFFECT and marks the registration effective.
2023-12-15 · 9999999995-23-003643
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows EFFECT and marks the registration effective.
2023-12-15 · 9999999995-23-003642
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows EFFECT and marks the registration effective.
2023-12-15 · 9999999995-23-003641
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows EFFECT and marks the registration effective.
2023-12-15 · 9999999995-23-003640
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows EFFECT and marks the registration effective.
2023-12-15 · 9999999995-23-003639
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows EFFECT and marks the registration effective.
2023-12-15 · 9999999995-23-003638
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows EFFECT and marks the registration effective.
2023-12-15 · 9999999995-23-003637
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows EFFECT and marks the registration effective.
2023-12-15 · 9999999995-23-003636
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows EFFECT and marks the registration effective.
2023-12-15 · 9999999995-23-003635
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows EFFECT and marks the registration effective.
2023-12-15 · 9999999995-23-003634
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows EFFECT and marks the registration effective.
2023-12-15 · 9999999995-23-003633
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows 424B5 and marks the registration effective.
2023-12-15 · 9999999995-23-003632
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 424B5 and confirms the priced prospectus.
Price $2.75 · 2,934,498 shares · Gross proceeds $8,069,870
Common Stock · Exchange Nasdaq Capital Market · Ticker CGRN · Each share of common stock is accompanied by a warrant to purchase one share · Warrants to purchase up to 2,934,498 shares at $2.75 each, exercisable for five years · Use of proceeds Proceeds to be used for general corporate purposes · Flags units, warrants · Underwriters Lake Street, Joseph Gunnar & Co., LLC
2022-08-22 · 0001104659-22-093358
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 424B3 and confirms the priced prospectus.
Common Stock · Exchange Nasdaq Capital Market · Ticker CGRN · Each share of common stock is sold with a warrant to purchase one share · Warrants to purchase up to [number] shares of common stock · Use of proceeds Use of proceeds not specified · Flags warrants · Underwriters LAKE STREET, JOSEPH GUNNAR & CO., LLC
2022-08-18 · 0001104659-22-092554
424B3
priced
Final prospectus
Final prospectus filed near launch with final deal terms.
Follows 424B5 and confirms the priced prospectus.
Common Stock · Exchange Nasdaq Capital Market · Underwriters H.C. Wainwright & Co., LLC
2022-08-18 · 0001104659-22-092547
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows FWP and confirms the priced prospectus.
Price $5.25 · 1,904,763 shares · Gross proceeds $10,000,006
Common Stock · Exchange Nasdaq · Ticker CGRN · Over-allotment 285,714 · Underwriters H.C. Wainwright & Co.
2021-06-22 · 0001104659-21-083681
FWP
supplemental
Free writing prospectus
Prospectus supplement or marketing filing that often updates active offering terms.
Follows FWP and supplements the active offering with updated prospectus details.
Price $5.25 · 1,904,763 shares · Gross proceeds $10,000,000
Common Stock of Capstone Green Energy Corporation · Exchange Nasdaq · Ticker CGRN · Over-allotment 285,714 · Use of proceeds Working capital, general corporate purposes, and growth initiatives, including potential acquisitions · Underwriters H.C. Wainwright & Co.
2021-06-21 · 0001104659-21-082865
FWP
supplemental
Free writing prospectus
Prospectus supplement or marketing filing that often updates active offering terms.
Follows 424B5 and supplements the active offering with updated prospectus details.
Price $5.25 · 952,380 shares · Gross proceeds $5,000,000
Common Stock · Exchange Nasdaq · Ticker CGRN · Over-allotment 142,857 · Use of proceeds for working capital, general corporate purposes and growth initiatives, including organic growth and potential future acquisitions · Underwriters H.C. Wainwright & Co.
2021-06-17 · 0001104659-21-082634
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows EFFECT and confirms the priced prospectus.
Common Stock · Exchange Nasdaq Capital Market · Ticker CGRN · Underwriters H.C. Wainwright & Co.
2021-06-17 · 0001104659-21-082594
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows 424B5 and marks the registration effective.
2021-04-14 · 9999999995-21-001427
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 424B5 and confirms the priced prospectus.
Gross proceeds $18,888,832
Common Stock · Exchange Nasdaq Capital Market · Ticker CPST · Underwriters H.C. Wainwright & Co., LLC
2020-10-08 · 0001104659-20-113264
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows EFFECT and confirms the priced prospectus.
Price $2,781,658 · Gross proceeds $2,781,658
Common Stock · Exchange Nasdaq Capital Market · Ticker CPST · Underwriters H.C. Wainwright & Co., LLC
2020-07-15 · 0001047469-20-004106
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows 424B5 and marks the registration effective.
2019-10-09 · 9999999995-19-002276
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 8-A12B and confirms the priced prospectus.
Price $0.50 · 5,800,000 shares · Gross proceeds $5,100,000
Common · Exchange NASDAQ · Ticker CPST · Pre-Funded Warrants to purchase 4,400,000 shares at $0.0001 and Common Warrants for 7,650,000 shares · Flags warrants · Underwriters H.C. Wainwright & Co., LLC
2019-09-06 · 0001047469-19-005019
8-A12B
effective
Exchange Act registration
Registration filed to list the securities under the Exchange Act ahead of trading.
Follows EFFECT and registers the class of securities for exchange listing.
2019-05-06 · 0001104659-19-027180
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows 424B5 and marks the registration effective.
2018-07-18 · 9999999995-18-001819
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 424B5 and confirms the priced prospectus.
Gross proceeds $25,000,000
Common Stock · Exchange Nasdaq Capital Market · Ticker CPST · Underwriters H.C. Wainwright & Co., LLC
2018-06-07 · 0001047469-18-004330
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 424B5 and confirms the priced prospectus.
Price $1.20 · 3,600,000 shares · Gross proceeds $7,029,000
Common Stock · Exchange NASDAQ · Ticker CPST · Pre-Funded Series B Warrants to purchase 2,700,000 shares of common stock · Use of proceeds General corporate purposes · Underwriters Oppenheimer & Co., ROTH Capital Partners, LLC
2016-10-18 · 0001047469-16-016150
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 8-A12B and confirms the priced prospectus.
Gross proceeds $16,635,190
Common Stock · Exchange Nasdaq Capital Market · Ticker CPST · Underwriters Cowen and Company, LLC
2016-09-23 · 0001104659-16-146320
8-A12B
effective
Exchange Act registration
Registration filed to list the securities under the Exchange Act ahead of trading.
Follows 424B5 and registers the class of securities for exchange listing.
Capstone Turbine Corporation is registering preferred stock purchase rights under a Rights Agreement to protect its tax benefits from potential ownership changes under IRS Section 382. The agreement grants shareholders rights to purchase preferred stock at a set price, designed to prevent any single entity from acquiring more than 4.99% of the company's shares, thereby preserving the company's ability to utilize net operating losses and other tax assets.
2016-05-09 · 0001104659-16-119291
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 424B5 and confirms the priced prospectus.
Price $3.50 · 2,700,000 shares · Gross proceeds $13,426,031
COMMON_STOCK · Exchange Nasdaq · Ticker CPST · Per two shares and Series A warrant · Series A warrants to purchase 4,107,500 shares at $2.55; pre-funded Series B warrants to purchase 5,515,000 shares with $1.75 aggregate exercise price · Use of proceeds for general corporate purposes and offering expenses · Underwriters Oppenheimer & Co., Rodman & Renshaw, a unit of H.C. Wainright & Co., LLC
Capstone Turbine Corporation is offering up to 2,700,000 shares of common stock, along with Series A warrants and pre-funded Series B warrants, as part of a registered offering. The offering includes structured pricing for bundled shares and warrants, with underwriters Oppenheimer & Co. and Rodman & Renshaw. The prospectus supplement outlines terms for securities, including exercise prices, expiration dates, and underwriting discounts, while noting no market for the warrants post-offering.
2016-04-21 · 0001047469-16-012397
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 424B5 and confirms the priced prospectus.
Shares of Common Stock, Series A Warrants, and Pre-Funded Series B Warrants · Exchange Nasdaq Capital Market · Ticker CPST · Common Stock and Series A Warrant · Series A Warrants and Pre-Funded Series B Warrants · Underwriters Oppenheimer & Co., Rodman & Renshaw, a unit of H.C. Wainright & Co., LLC
Capstone Turbine Corporation is offering up to shares of common stock, Series A warrants, and pre-funded Series B warrants. The offering includes a structured pricing model with separate issuance of securities, targeting investors who may exceed 4.99% ownership. The filing updates the previous 424B5 from August 2015, which focused on a $30M common stock offering through Cowen. This current offering introduces warrants with specific exercise terms and underwriters Oppenheimer & Co. and Rodman & Renshaw.
2016-04-19 · 0001047469-16-012310
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows EFFECT and confirms the priced prospectus.
Gross proceeds $30,000,000
Common Stock of Capstone Turbine Corporation · Exchange Nasdaq Capital Market · Ticker CPST · Underwriters Cowen and Company, LLC
Capstone Turbine Corporation is offering up to $30 million in common stock through Cowen and Company, LLC as an agent, utilizing an 'at-the-market' offering structure. The shares are listed on Nasdaq under 'CPST' with a recent closing price of $0.37. Proceeds will fund working capital and general corporate purposes. A reverse stock split (1-for-5 to 1-for-20) was approved by shareholders but not yet implemented.
2015-08-28 · 0001047469-15-007064
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows 424B5 and marks the registration effective.
The filing confirms the effectiveness of Capstone Turbine Corporation's S-3 registration statement for an offering of 18,825,000 shares of common stock at $1.70 per share. The offering, previously disclosed in a 424B5 filing from May 2014, includes underwriters Cowen and Company, FBR, and Craig-Hallum Capital Group. The company reported preliminary 2014 financial estimates, including $133.1M revenue and $27.9M cash balances, with risks related to financial uncertainties and market conditions.
2015-06-23 · 9999999995-15-001702
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 424B5 and confirms the priced prospectus.
Price $1.70 · 18,825,000 shares · Gross proceeds $32,002,500
Common Stock · Exchange Nasdaq Global Market · Ticker CPST · Underwriters Cowen and Company, FBR, Craig-Hallum Capital Group
Capstone Turbine Corporation is offering 18,825,000 shares of common stock at $1.70 per share, with net proceeds of $30.2 million for working capital and general corporate purposes. The filing includes updated financial estimates for FY2014, showing revenue growth, cash reductions, and backlog improvements. A credit facility waiver from Wells Fargo is noted, addressing noncompliance with financial covenants.
2014-05-01 · 0001047469-14-004485
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 424B3 and confirms the priced prospectus.
Common · Exchange Nasdaq Global Market · Ticker CPST · Use of proceeds for working capital, debt repayment, and other general corporate purposes · Underwriters Cowen and Company, FBR, Craig-Hallum Capital Group
Capstone Turbine Corporation is offering shares of its common stock under a prospectus supplement, with proceeds intended for working capital and general corporate purposes. The offering includes underwriters Cowen and Company, FBR, and Craig-Hallum Capital Group. The filing references recent financial estimates for fiscal 2014, including revenue growth and cash flow adjustments, alongside risks related to profitability, funding needs, and compliance with credit agreements. This 424B5 filing supersedes earlier disclosures in the 424B3 from 2012, which involved a different offering structure with warrants and subscription agreements.
2014-05-01 · 0001047469-14-004484
424B3
priced
Final prospectus
Final prospectus filed near launch with final deal terms.
Follows EFFECT and confirms the priced prospectus.
4,750,000 shares
Common Stock · Ticker CPST · Warrant to purchase up to 11,275,000 shares at $1.26
Capstone Energy Plus, Inc. is offering 4,750,000 shares of common stock under a prospectus supplement, amending prior terms of a subscription agreement. The offering includes an 8% discount on shares during the first option exercise period and waives a volume condition precedent. A warrant to purchase additional shares was also amended to reflect a $1.26 exercise price.
2012-09-19 · 0001104659-12-064192
EFFECT
effective
SEC effectiveness notice
SEC declared the registration statement effective, allowing the offering to proceed.
Follows 424B5 and marks the registration effective.
The Notice of Effectiveness for Capstone Turbine Corporation's S-3 registration, effective April 16, 2012, confirms the offering of up to 22,550,000 shares of common stock and warrants, with additional sale options. The placement agent is Lazard Capital Markets LLC, and the offering is on a best-efforts basis. The company's stock is listed on Nasdaq under CPST.
2012-04-16 · 9999999995-12-001063
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
Follows 424B5 and confirms the priced prospectus.
Price $1.11 · 22,550,000 shares · Gross proceeds $25,030,500
Common Stock · Exchange NASDAQ · Ticker CPST · Over-allotment 19,000,000 · Each unit consists of one share of common stock and a warrant to purchase one share of common stock · Warrants to purchase up to 22,550,000 shares at $1.55 per share · Use of proceeds Working capital · Flags best_efforts, units, warrants · Underwriters Lazard Capital Markets LLC
Capstone Turbine Corporation is offering up to 22,550,000 shares of common stock and warrants to purchase 22,550,000 shares, sold in units of one share and one warrant at $1.11 per unit. Additional sale options allow up to 19,000,000 more shares at a 6% discount to the lesser of bid or VWAP. The offering is on a best-efforts basis with Lazard Capital Markets LLC as the exclusive placement agent. Proceeds are estimated at $23.5 million before expenses, with delivery expected by March 5, 2012.
2012-03-01 · 0001104659-12-014718
424B5
priced
Final prospectus supplement
Prospectus supplement filed near launch with final deal terms.
First tracked pre-IPO filing for this issuer.
Common Stock · Exchange Nasdaq Global Market · Ticker CPST · Each unit consists of one share of common stock and a warrant to purchase [ ] shares of common stock · Warrants exercisable at $ [ ] per share, exercisable from six months and one day after issuance until October 31, 2013 · Flags best_efforts, units · Underwriters Lazard Capital Markets LLC
Capstone Green Energy Holdings, Inc. is offering up to [ ] shares of common stock and warrants to purchase up to [ ] shares, sold in units. The offering is on a best-efforts basis with Lazard Capital Markets LLC as the exclusive placement agent. The securities are listed on Nasdaq under CPST, with a recent closing price of $1.18. The prospectus supplement outlines terms for units, warrants, and additional sale options, but does not specify exact figures for the offering amounts.
2012-02-29 · 0001104659-12-014447
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Recent News
No recent news stored for this issuer.