What Stock Can Be Registered on Form S-1?

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

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 placement and 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 more information about going public, securities law or our other services please contact a Securities Attorney at Hamilton & Associates Law Group, P.A. 01 Plaza Real S, Suite 202 N, Boca Raton, Florida, (561) 416-8956 or 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. Please note that the prior results discussed herein do not guarantee similar outcomes.

Hamilton & Associates Law Group, P.A provides ongoing corporate and securities counsel to private companies and public companies listed and publicly traded on the NASDAQ Stock Market, the NYSE MKT or over-the-counter market, such as the OTC Pink, OTCQB and OTCQX. For two decades the Firm has served private and public companies and other market participants in corporate law matters, securities law and going public matters. The firm’s practice areas include, but are not limited to, forensic law and investigations, SEC investigations and SEC defense, corporate law matters, compliance with the Securities Act of 1933 securities offer and sale and registration statement requirements, including Regulation ARegulation A+ , private placement offerings under Regulation D including Rule 504 and Rule 506 and Regulation S and PIPE Transactions as well as registration statements on Forms S-1Form F-1,  Form S-8 and Form S-4; compliance with the reporting requirements of the Securities Exchange Act of 1934, including Form 8-A and Form 10 registration statements, reporting on Forms 10-QForm 10-K and Form 8-KForm 6-K and SEC Schedule 14CInformation and SEC Schedule 14A Proxy Statements; Regulation A / Regulation A+ offerings; all forms of going public transactions; mergers and acquisitions; applications to and compliance with the corporate governance requirements of national securities exchanges including NASDAQ and NYSE MKT and foreign listings; crowdfunding; corporate; and general contract and business transactions. The firm provides preparation of corporate documents and other transaction documents such as share purchase and exchange agreements, stock purchase agreements, asset purchase agreements and reorganization agreements. The firm prepares the necessary documentation and assists in completing the requirements of federal and state securities laws such as FINRA and DTC for Rule 15c2-11 / Form 211 trading applications, corporate name changes, reverse and forward splits, changes of domicile and other transactions. The firm represents clients in London, Dubai, India, Germany, India and throughout the U.S.