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D in section 6 must agree with this election.) State of Sale 2. SUBSCRIBER INFORMATION Existing Account #: Investor Home Telephone Employee or Affiliate Co-Investor Business Telephone Email Address Investor Social Security/Taxpayer ID# Birth Date/Articles of Incorporation (MM/DD/YY) Co-Investor Social Security/Taxpayer ID# Co-Investor Birth Date (MM/DD/YY) Please indicate Citizenship Status U.S. Citizen Resident Alien Non-Resident Alien Residence Address (no P.
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Theron FAQ
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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.
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Form S-1 – long form typically used for IPOs and sometimes for other primary and secondary sales of securities. Form S-3 – short form typically used for follow-on offerings and public resales of a company's securities by selling shareholders, and available only if eligibility requirements are met.
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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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SEC Form N-2 is a filing with the Securities and Exchange Commission (SEC) that must be submitted by closed-end management investment companies to register under the Investment Company Act of 1940 and to offer their shares under the Securities Act of 1933. 1
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Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.
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S-1 is for an offering of securities to be sold to the public (can be initial or secondary). A Form 10 is for spin-offs, securities that will be distributed to existing shareholders.
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In the secondary market (as shown above), investors buy and sell shares of publicly traded companies between each other, directly. No new shares are issued by the company, and the company doesn't receive any additional capital.
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What's a Form 3? When a person becomes an insider (for example, when they are hired as an officer or director), they must file a Form 3 to initially disclose his or her ownership of the company's securities. Form 3 must be filed within 10 days after the person becomes an insider.
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