The complete going public handbook: everything you need to know to successfully turn a private enterprise into a publicly traded company
Gespeichert in:
| Beteilige Person: | |
|---|---|
| Format: | Buch |
| Sprache: | Englisch |
| Veröffentlicht: |
Roseville, Calif.
Prima Venture
2000
|
| Schlagwörter: | |
| Links: | http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=024812385&sequence=000002&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA |
| Umfang: | XIII, 447 S. |
| ISBN: | 0761524061 |
Internformat
MARC
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| 245 | 1 | 0 | |a The complete going public handbook |b everything you need to know to successfully turn a private enterprise into a publicly traded company |c Frederick D. Lipman |
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Datensatz im Suchindex
| _version_ | 1819317496198463488 |
|---|---|
| adam_text | Titel: The complete going public handbook
Autor: Lipman, Frederick D
Jahr: 2000
Contents
Acknowledgments ix
Introduction xi
1 The Advantages and Disadvantages
of Going Public 1
The Advantages 1
The Disadvantages 7
2 Advance Planning 13
Ten Suggestions 13
3 The World of Underwriters 33
What You Should Know About Underwriters 34
How to Attract Underwriters 44
Selecting an Underwriter 45
Limits on Underwriter Compensation
and Offering Expenses 52
4 Registering and Marketing the Traditional IPO 57
The Valuation ofYour Company 57
Letter oflntent 59
Types of Underwritings 61
The Cost ofa Traditional IPO 62
Due Diligence 65
Press Releases and Publicity 67
m
iv Contents
Major Participants and Timetable 71
The Prospectus 72
The Registration Process 73
State Securities Laws 73
Road Shows 76
The Pricing Meeting 77
Execution of Underwriting Agreement, Lock-up
Agreements, and Effective Date 78
Directed Shares 80
Closing 80
5 Preparing the Prospectus for the Traditional IPO 81
SEC Registration Forms 82
Advantages of Forms SB-1 and SB-2 83
Legal Concerns 84,
Sections ofForm S-l Prospectus 85
Piain English 98
6 Nontraditional Methods of Going Public 99
What Are Nontraditional IPOs ? 99
Why Can t a Company Qualify for a Traditional
IPO? 100
Why Consider a Nontraditional IPO? 101
Are There Any Advantages of Nontraditional
IPOs Over Traditional IPOs? 103
7 Self-Underwritings and Best-Efforts Public
Offerings 105
Marketing 105
Broker-Dealers 106
Officers and Employees
Aftermarket Trading 107
Direct IPOs Over the Internet 108
Legal Considerations 109
Protecting Your Personal Assets 111
How Does the Company Choose Which Offering
It Wants? 111
Contents v
Summary of Public and Private Offering
Choices 118
Text ofNASAA Model Accredited Investor
Exemption 121
8 Regulation A: The $5 Million Offering 127
Testing the Waters 128
Who Can File Under Regulation A? 130
Bad Boy Disqualification 130
How Much Money Can Be Raised? 131
Offering Statement and Offering Circular 132
Outline of Regulation A 133
9 SCOR: The $1 Million Do-It-Yourself Registered
Offering 141
Federal Registration Exemption 143
State Securities Laws 144
10 Mergers with Publicly Held Shell Corporations
and Spin-Offs 149
Shell Mergers 150
Spin-Offs 153
11 Trading on the NASDAQ Stock Market
and National Securities Exchanges 157
Initial Listing Requirements 159
Over-the-Counter Market vs. Exchanges 159
What Is Best? 169
Tick Rule and Short-Selling 170
Fees 172
Maintenance Criteria 172
Corporate Governance Requirements 174
Getting Your Stock in the Newspaper 176
The NASDAQ National Market Fee Schedule 177
The NASDAQ SmallCap Market Fee Structure 178
vi Contents
12 Being Public 181
Brief Summary 183
Form 3, Form 4, and Form 5 Reports—
Section 16(a) of the 1934 Act 185
Liability for Short-Swing Profits—
Section 16(b) of the 1934 Act 187
Short Sales and Sales Against the Box—
Section 16(c) of the 1934 Act 190
Personal Use oflnside Information—
Rule 10b-5 Under the 1934 Act 191
Tipping of Material Confidential Information—
Rule 10b-5 Under the 1934 Act 195
Schedules 13D and 13G—
Sections 13(d) and 13(g) ofthe 1934 Act 196
Trading During Distribution of Securities—
Regulation M Under the 1934 Act 198
Foreign Corrupt Practices of 1977—
Sections 10A, 13(b)(2), and 30A
ofthe 1934 Act 199
Participants, Aiders and Abettors,
Conspirators, and Controlling Persons 204
Conclusion 206
13 Rule 144 ofthe 1933 Act 207
One-Year Holding Period for Restricted
Securities 209
Amount Salable Under Rule 144 210
Adequate Public Information 212
Manner ofSelling 213
Form 144 213
Exemption for Restricted Securities Held Two
Years 214
Control Securities 214
Conclusion 214
14 The Story of an IPO 217
Contents vii
Appendixes
1 Excerpts from Drkoop.com, Inc. s Prospectus
Dated June 8,1999 235
2 Firm-Commitment IPO Underwritings Filed
with the SEC, Which Were Publicly Offered
During 1999, Listed by Name of Lead Managing
Underwriter 287
3 Underwriting Discount and Certain Expenses
of Firm-Commitment IPOs Filed with the SEC,
Which Were Publicly Offered During 1999,
Listed by Name of Lead Managing Underwriter 315
4 Timetable for Traditional IPO 349
5 Excerpts from Regulation A Offering Circular
of Real Goods Trading Corporation Dated
June 21, 1993 357
6 Form U-7 (Contains the SCOR Form) 399
Index 439
About the Author 449
|
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| author_sort | Lipman, Frederick D. |
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| bvnumber | BV039954521 |
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| dewey-search | 658.15224 |
| dewey-sort | 3658.15224 |
| dewey-tens | 650 - Management and auxiliary services |
| discipline | Wirtschaftswissenschaften |
| format | Book |
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| id | DE-604.BV039954521 |
| illustrated | Not Illustrated |
| indexdate | 2024-12-20T16:06:03Z |
| institution | BVB |
| isbn | 0761524061 |
| language | English |
| oai_aleph_id | oai:aleph.bib-bvb.de:BVB01-024812385 |
| oclc_num | 249002815 |
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| physical | XIII, 447 S. |
| publishDate | 2000 |
| publishDateSearch | 2000 |
| publishDateSort | 2000 |
| publisher | Prima Venture |
| record_format | marc |
| spellingShingle | Lipman, Frederick D. The complete going public handbook everything you need to know to successfully turn a private enterprise into a publicly traded company Unternehmen (DE-588)4061963-1 gnd Kapitalmarkt (DE-588)4029578-3 gnd Going Public (DE-588)4219438-6 gnd |
| subject_GND | (DE-588)4061963-1 (DE-588)4029578-3 (DE-588)4219438-6 |
| title | The complete going public handbook everything you need to know to successfully turn a private enterprise into a publicly traded company |
| title_auth | The complete going public handbook everything you need to know to successfully turn a private enterprise into a publicly traded company |
| title_exact_search | The complete going public handbook everything you need to know to successfully turn a private enterprise into a publicly traded company |
| title_full | The complete going public handbook everything you need to know to successfully turn a private enterprise into a publicly traded company Frederick D. Lipman |
| title_fullStr | The complete going public handbook everything you need to know to successfully turn a private enterprise into a publicly traded company Frederick D. Lipman |
| title_full_unstemmed | The complete going public handbook everything you need to know to successfully turn a private enterprise into a publicly traded company Frederick D. Lipman |
| title_short | The complete going public handbook |
| title_sort | the complete going public handbook everything you need to know to successfully turn a private enterprise into a publicly traded company |
| title_sub | everything you need to know to successfully turn a private enterprise into a publicly traded company |
| topic | Unternehmen (DE-588)4061963-1 gnd Kapitalmarkt (DE-588)4029578-3 gnd Going Public (DE-588)4219438-6 gnd |
| topic_facet | Unternehmen Kapitalmarkt Going Public |
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