• December 2019
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Form S-1

The initial registration for new securities required by the SEC that is also commonly referred to as the registration statement under the Securities Exchange Act of 1933. Among other critical pieces of data, companies must disclose how many shares will remain privately held and how many will be offered to the public during an initial public offering.

In anticipation of a company’s IPO, a Form S-1 registration of a company’s securities must be filed with the U.S. Securities and Exchange Commission. Securities cannot be listed on a public exchange until this process is successfully completed. Form S-1 disclosures are considered particularly critical because in addition to providing the SEC with material information about a company’s business, IPO plans, potential risks, financial outlook, etc. it provides potential investors with this information as well. As a result, companies may be significantly impacted for better or for worse by the ways in which their Form S-1 disclosures are received by the public. And if you’re the kind of nerd who regularly reads Form S-1 disclosures, you are likely already aware of this fact.

 

EXAMPLE:

“I’ve got a hot tip on company that sells high heels for babies and bandages that look like strips of bacon. I better check out its Form S-1 disclosure before it goes public next week!”