Resources
Beginner’s Guide to the IPO Process
The Initial Public Offering (IPO) Process An initial public offering (IPO) is when a private company becomes public by selling its shares on a stock exchange. This is a major event for any company, as it allows them to raise capital from the public and become a listed company. The IPO process can be a…
Read MoreA Baby Shelf on Form S-3: What You Need to Know
A baby shelf is a provision of Form S-3 that allows companies to register securities for sale up to one-third of their public float over a 12-month period. This can be a useful option for companies that want to raise capital from the public but do not want to have to file a new registration…
Read MoreNasdaq Listing Tiers: A Guide for Companies
Nasdaq is one of the largest stock exchanges in the world, and it offers three tiers of listing for companies: Global Select Market, Global Market, and Capital Market. Each tier has its own requirements, and companies must meet certain standards to list on a particular tier. The Capital Market is the lowest tier, and it…
Read MoreWhat is a 10-K and Why Should You Care?
A 10-K is an annual report filed with the Securities and Exchange Commission (SEC) by a publicly traded company. It provides a comprehensive overview of the company’s business and financial condition, including audited financial statements. If you’re an investor, you should care about 10-Ks because they provide you with important information about the companies you’re…
Read MoreNasdaq Delisting: What You Need to Know
Nasdaq is one of the largest stock exchanges in the world, and it is home to some of the most well-known companies in the world. However, even companies that are listed on Nasdaq can be delisted if they fail to meet the exchange’s listing standards. There are a number of reasons why a company might…
Read MoreWhat is a PIPE? Private Placement in a Public Entity
A private placement is when a public company sells securities (shares, bonds, etc.) to a small group of investors, rather than selling them to the general public through an initial public offering (IPO). This type of financing can be a good option for public companies that need to raise capital quickly or that want to…
Read MoreGoing to the ATM. At the Market Public Offering
An at-the-market (ATM) offering is a type of secondary offering whereby a public company sells its existing shares directly to the market at prevailing market prices through a broker-dealer. The company can sell shares through an ATM offering at any time, and the amount of shares sold can vary depending on the company’s needs. ATM…
Read MoreA Confidentially Marketed Public Offering (CMPO)
A confidentially marketed public offering (CMPO) is a type of public offering that allows a company to raise capital without having to file a prospectus or obtain shareholder approval. In a CMPO, the company sells shares directly to institutional investors without any general solicitation or advertising. CMPOs are a relatively new type of offering, but…
Read MoreDe-SPAC: A Guide to the Process
A de-SPAC, also known as a reverse merger, is a process by which a special purpose acquisition company (SPAC) merges with a private company to take it public. The SPAC raises money from investors by selling shares in its initial public offering (IPO). The SPAC then uses the proceeds from the IPO to acquire a…
Read MoreListing Requirements for a Nasdaq IPO: What Companies Need to Know
Going public through an initial public offering (IPO) can be an exciting and rewarding time for companies. It’s a significant milestone in a company’s growth and can provide access to additional capital and increased visibility in the marketplace. However, the process of going public can be complex and requires careful planning and execution. In this…
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