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.
Harris Texas Document and Information Request List for Secondary Stock Offering
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Multi-State
County:
Harris
Control #:
US-DD04037
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Morningstar. Morningstar This large investment research organization provides information on a variety of assets, including stocks, bonds, mutual funds, and ETFs. Morningstar offers many stock picks for its free users, but even more content for its Morningstar Premium members.
A secondary offering occurs when an investor sells their shares to the public on the secondary market after an initial public offering (IPO). Proceeds from an investor's secondary offering go directly into an investor's pockets rather than to the company.
SEC-Required Disclosure Documents The SEC requires all publicly-traded companies to prepare and issue two disclosure-related annual reports, one for the SEC itself and one for the company's shareholders. These reports are filed as documents called 10-Ks and must be updated by the company as events change substantially.
SEC rules require your company to file annual reports on Form 10-K and quarterly reports on Form 10-Q with the SEC on an ongoing basis. These reports require much of the same information about the company as is required in a registration statement for a public offering.
Registration statements have two principal parts. In the prospectus, your company must clearly describe important information about its business operations, financial condition, results of operations, risk factors, and management. The prospectus must also include audited financial statements.
A registration statement is a filing with the SEC making required disclosures in connection with the registration of a security, a securities offering or an investment company under federal securities laws.
Legal Definition of registration statement : a detailed public disclosure of the terms and conditions of a public offering of a new issue of stock by a corporation. Note: A registration statement is required by the Securities and Exchange Commission before new shares may be offered for sale to the public.
After its IPO, the company will be subject to public reporting requirements. If you decide to conduct a registered public offering, the Securities Act requires your company to file a registration statement with the SEC before it may offer its securities for sale.
Registration Statements The Securities Act of 1933 mandates that all companies seeking to raise capital for new publicly offered products in the U.S. must file a prospectus with the Securities and Exchange Commission.
Annual and Quarterly Reports SEC rules require your company to file annual reports on Form 10-K and quarterly reports on Form 10-Q with the SEC on an ongoing basis. These reports require much of the same information about the company as is required in a registration statement for a public offering.
