This form is a list of requested due diligence documents. The list consists of documents and information to be submitted to the due diligence team proposed public offering of common stock. This request list is intended to update the diligence materials that were received in connection with the Initial Public Offering.
Para su conveniencia, debajo del texto en español le brindamos la versión completa de este formulario en inglés. For your convenience, the complete English version of this form is attached below the Spanish version.New York Lista de Solicitud de Documentos e Información para Oferta Secundaria de Acciones - Document and Information Request List for Secondary Stock Offering
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A secondary stock offering is when a company who has already made an initial public offering (IPO) tries to raise capital by introducing secondary offerings, such as securities that come from existing major stockholders, or from creating new shares.
Eligibility for IPOMinimum of Rs. 15 crore as average pre-tax operating profit in at least three years of the immediately preceding 5 years. The net worth of at least Rs. 1 crore in each of the preceding 3 full years.
NYSE Listing Requirements To list on the NYSE, a company needs to have at least 400 shareholders and 1.1 million shares outstanding. Its share price must be a minimum of $4.00, and the market value of its publicly held shares must be at least $40 millionor $100 million for transfers and certain other listings.
A company undertaking an IPO discloses required information in the registration statement, typically on Form S-1. Form S-1 and its amendments, which are denoted as S-1/A, are filed with the SEC and publicly available through the SEC's EDGAR database at www. sec.gov/edgar/searchedgar/webusers.htm.
An IPO Prospectus is an SEC required document that includes a description of the company and its operations, the terms and conditions of the initial stock offering, and any other information an investor may need to decide to invest.
In a secondary offering, the issuer does not receive any proceeds from the sale of the securities subject to the registration statement and any proceeds from the sale are received by the selling stockholders. Companies often do secondary offerings when they have granted existing shareholders registration rights.
A dilutive secondary offering is also known as a subsequent offering or follow-on public offering (FPO). This offering occurs when a company itself creates and places new shares onto the market, thus diluting existing shares.
An initial public offering, or IPO, is a company's first sale of stock to the public. When a company files for an IPO, it plans on selling stock to the public, which means the company goes from being privately owned to being publicly owned.
In finance, a secondary offering is when a large number of shares of a public company. are sold from one investor to another on the secondary market. In such a case, the public company does not receive any cash nor issue any new shares. Instead, the investors buy and sell shares directly from each other.
SEC Form S-3 is a regulatory filing that provides simplified reporting for issuers of registered securities. An S-3 filing is utilized when a company wishes to raise capital, usually as a secondary offering after an initial public offering has already occurred.
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