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    Topic search: public offering

  • KYLIANNE HARLEY

    What is a Direct Public Offering? Going Public Attorneys

    (Link)

    Tue Aug 07 19:23:53 CEST 2018

    Most private companies are unable to locate an underwriter prior to going public. A direct public offering (“Direct Public Offering”) provides a viable solution to this dilemma. A Direct Public Offering allows a company to sell its shares directly to investors without the use of an underwriter. With a Direct Public Offering, the company files a registration statement with the Securities and Exchange Commission (“SEC”) under the Securities Act of 1933, as amended (the “Securities Act”).


  • KYLIANNE HARLEY

    Direct Public Offering Toolbox l By: Brenda Hamilton Attorney

    (Link)

    Tue Aug 07 19:23:15 CEST 2018

    For companies with a reasonable time schedule for going public, a direct public offering provides an appealing method for obtaining public company status. In a direct public offering, a company’s shares are sold directly to investors by management, rather than through an underwriter.


  • KYLIANNE HARLEY

    Form S-1 Filing Requirements, Filing Form S-1, S-1 Offering, S-1 …

    (Link)

    Thu Jul 26 14:48:18 CEST 2018

    Going public using Form S-1 or Form 1-A allows issuers to chose from a variety of offering structures. Private companies seeking to raise capital often file a registration statement on SEC Form S-1 or Form 1-A of Regulation in connection with their going public transaction. Once a Form S-1 is effective, the company becomes subject to the SEC reporting requirements. The most commonly used registration statement form is Form S-1.


  • BRENDA HAMILTON

    Regulation A+ Lawyers

    (News & Articles)

    Fri Jul 24 18:58:45 CEST 2015

    Regulation A+’s new rules provide investors with more investment choices and issuers with more capital raising options during their going public transactions. Some confusion has arisen about whether SEC qualification of a Regulation A+ offering will result in the assignment of a stock ticker or trading symbol. Companies conducting Regulation A+ offerings must submit Form 1-A to the Securities and Exchange Commission (SEC). Form 1-A is subject to SEC review and the SEC may issue comments to the ...


  • BRENDA HAMILTON

    Regulation A+ Disclosures

    (News & Articles)

    Thu Jul 23 20:05:43 CEST 2015

    On March 25, 2015, the Securities and Exchange Commission (“SEC”) adopted amendments to Regulation A pursuant to the mandate of Section 401(a) of the JOBS Act which became effective last month. The Regulation A+ amendments include new forms and revamping Form 1-A. Regulation A+ expands existing Regulation A. Regulation A+ offerings can be used in combination with direct public offerings and initial public offerings as part of a going public transaction. The Regulation A+ exemption allows compa...


  • BRENDA HAMILTON

    Regulation A+ Compliance Procedures

    (News & Articles)

    Thu Jul 23 19:51:37 CEST 2015

    Companies can solicit investor interest for a potential Regulation A+ offering, both before and after the filing of their Form 1-A offering statement with the SEC. The issuer’s solicitation materials used after the Form 1-A offering statement is publicly filed, must be accompanied by a preliminary offering circular or provide a URL where the preliminary offering statement can be obtained. Additionally, materials used to solicit investors must be filed as exhibits to the Form 1-A offering statem...


  • BRENDA HAMILTON

    How Can Regulation A+ Be Used By Small Companies To Go Public Without A Reverse Merger?

    (News & Articles)

    Thu Jul 23 19:49:20 CEST 2015

    On March 25, 2015, the Securities and Exchange Commission (the “SEC”) adopted amendments to Regulation A pursuant to the mandate of Section 401(a) of the JOBS Act. The amended rules known as Amended A+ were adopted to facilitate capital-raising by smaller companies. Regulation A+ expands existing Regulation A. Regulation A+ offerings can be used in combination with direct public offerings and initial public offerings as part of a going public transaction. The exemption simplifies the process ...


  • BRENDA HAMILTON

    US Listings For Foreign Issuers

    (News & Articles)

    Fri Apr 04 16:32:09 CEST 2014

    Typically, foreign companies seeking to raise capital attempt to obtain public company status. Foreign companies that go public in the U.S. may complete a public offering by registering securities with the Securities and Exchange Commission (“SEC”) under the Securities Act of 1933, as amended (the “Securities Act”) or by registering a class of securities under the Securities Exchange Act of 1934 (the “Exchange Act”)


  • BRENDA HAMILTON

    Private Placement Memorandums 101

    (News & Articles)

    Fri Apr 04 16:26:40 CEST 2014

    A private placement memorandum (“PPM”) is also referred to as a confidential offering circular or memorandum. PPM’s are typcially prepared by securities lawyers who assist private companies with their going public transactions. PPM’s are used to raise capital by selling either debt or equity in an exempt offering that has not been registered with the SEC. These exempt offerings are often called private placements. Most private placements are made pursuant to Rule 506 of Regulation D. This is ...


  • BRENDA HAMILTON

    SEC Registration Statements l Question & Answer

    (News & Articles)

    Fri Apr 04 16:14:57 CEST 2014

    This blog post addresses the most common questions we receive about going public using Form S-1 and the SEC registration statement process. Q. How do I register a securities offering for my company with the Securities and Exchange Commission (“SEC”)?


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