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Distinct shells carrying a filed role for this person — not every shell they have ever touched.
Of those vehicles, the ones that closed a merger.
Announced but not closed, and still hunting.
No closed vehicle here has both a stored price and a filed trust value to score it against.
1 vehicle on file, newest listing first
Rick Hartfiel, our Co-President, is a Managing Partner and has been the Head of Investment Banking at Craig-Hallum since 2005. Mr. Hartfiel brings over 30 years of investment banking experience focused on emerging growth companies. Since joining Craig-Hallum in 2005, Mr. Hartfiel has managed over 300 equity offerings (IPOs, follow-on offerings, registered direct offerings and PIPEs) and M&A transactions. Prior to joining Craig-Hallum, Mr. Hartfiel has been an investment banker at Dain, Rauscher, Wessels and Credit Suisse First Boston. Mr. Hartfiel has a B.A. from Amherst College, and an MBA from Harvard Business School. John Lipman, our Chief Operating Officer, is a Partner and Managing Director of Investment Banking at Craig-Hallum. Mr. Lipman joined Craig-Hallum in 2012 and has more than 15 years of investment banking experience advising growth companies in the healthcare, industrial and technology sectors. Mr. Lipman has completed over 125 equity, convertible and debt offerings and advisory assignments for growth companies, including over 75 since joining Craig-Hallum.
This record is keyed to SEC CIK 0001810072 — the identifier this person files under in their own name. Every vehicle above is a filing made under that CIK, so “the same person on two shells” is a fact about an SEC identifier rather than about a name that happens to match.
Roles are the strings the filings used, in the order they were filed. Nothing on this page ranks them, infers seniority, or offers a reason why any two of these names recur — a recurrence is a count, and the filings that produced it are linked beside every row. We also hold 7 institutional-holder rows on these vehicles, under 7 distinct name strings, and none of them is counted across vehicles: that table has no CIK column, and matching holders by name would merge firms that are not the same firm.