What Stock Can I Register on Form S-1?

Form S-1

Securities Lawyer 101 Blog

A registration statement on Form S-1 can be used to register various types of securities offerings with the Securities and Exchange Commission (“SEC”).   Form S-1 provides issuers with flexibility in the types of securities that can be registered.  Form S-1 is used more often by issuers than any other type of registration statement form. The form can be used by existing public companies or companies in connection with a going public transactions.  Regardless of whether the company is public or private, Form S-1 can be used to registered various types of transactions.

These include:

  • Initial Public Offering (“IPO) which is an offering of an issuer’s securities through an underwriter.
  • Direct Public Offering (“DPO”) which is an offering of an issuer’s securities without an underwriter. 
  • Resale Registration or Selling Stockholder Offering which is an offering registered on behalf of stockholders who already hold shares of the issuer.
  • Private Investment in Public Equity (“PIPE”) which entails the issuer selling its securities in a private placemenand once the offering is complete subsequently registering the securities sold on an SEC registration statement.  The investors in the private placement hold free trading stock, or public equity upon effectiveness of the registration statement.
  • Equity Line which involves the issuer drawing on an Equity Line of credit and providing its lender with registered, free trading securities.   

For further information about this securities law blog post, please contact Brenda Hamilton, Securities Attorney at 101 Plaza Real S, Suite 202 N, Boca Raton, Florida, (561) 416-8956, by email at [email protected].This securities law blog post is provided as a general informational service to clients and friends of Hamilton & Associates Law Group and should not be construed as, and does not constitute, legal and compliance advice on any specific matter, nor does this message create an attorney-client relationship. For more information about going public and the rules and regulations affecting the use of Rule 144, Form 8K, FINRA Rule 6490Rule 506 private placement offerings and memorandums, Regulation A, Rule 504 offerings, SEC reporting requirements, SEC registration statements onForm S-1 IPO’s, OTC Pink Sheet listings,Form 10 OTCBB and OTC Markets disclosure requirements, DTC Chills, Global Locks, reverse mergers, public shells, direct public offerings and direct public offerings please contact Hamilton and Associates at (561) 416-8956 or[email protected]. Please note that the prior results discussed herein do not guarantee similar outcomes.

Hamilton & Associates | Securities Lawyers

Brenda Hamilton, Securities Attorney
101 Plaza Real South, Suite 202 North
Boca Raton, Florida 33432
Telephone: (561) 416-8956
Facsimile: (561) 416-2855