Louis Taubman
Managing Partner
LOUIS TAUBMAN
950 Third Avenue, 19th Floor
New York, NY 10022
T: 917.512.0827
F: 212.202.6380
ltaubman@htflawyers.com
Louis Taubman is a partner in the New York office of Hunter Taubman Fischer & Li. Mr. Taubman’s practice concentrates on securities law, corporate finance and corporate governance. Mr. Taubman represents issuers, broker dealers and investors in connection with private and public financing transactions, mergers and acquisitions, corporate governance and SEC compliance. Mr. Taubman currently provides advice to various issuers with regard to their continued Securities Exchange Act of 1934 reporting requirements, as well as related issues of corporate compliance and governance. Mr. Taubman also assists issuers with regard to initial listing on the Nasdaq, NYSE-MKT, OTCQX and other markets and exchanges, as well as ongoing compliance with exchange listing requirements.
Feb. 13, 2025
What does it mean to be a reporting company?
What does it mean to be a reporting company Well a reporting company is a class of companies that have stock registered under the Securities Exchange Act of 1934 These companies file 10-Ks 10-Qs and current reports on form 8 ...
Feb. 11, 2025
What is an S-3?
What is an S 3 An S 3 is a short form registration as opposed to an S one which is a long form registration statement Companies once they've been public for 12 months and are on a national securities exchange are eligible to ...
Feb. 6, 2025
What is a follow-on offering?
What is a follow-on offering A follow-on offering is an offering that occurs after a company is already public You've already done your initial public offering and now you want to sell more shares to the public raise more cap...
Feb. 5, 2025
What is a 10-K?
What is a 10-K A 10-K is a company's annual report Every year reporting companies that have stock that's traded publicly have to put out a report to the public that tells them what their results were for the year end from bot...
Feb. 3, 2025
What is an Underwriting Agreement?
"What is an underwriting agreement?" Lou Taubman explains that it is a formal contract between a company and an investment bank, detailing the terms for selling securities. The agreement outlines responsibilities, pricing, sh...
Feb. 3, 2025
What is a 10-Q?
What is a 10-Q A 10-Q is a quarterly report Most public companies put out a tenK once a year their annual report and 3 tenQs one for each quarter of the year So you have your first quarter 10-Q your second quarter 10-Q your t...
Jan. 31, 2025
What is an ATM?
What is an ATM An ATM refers to an at-the-market offering If a company is eligible to use S-III they can set up what's called an ATM facility This typically involves hiring an underwriter to act as the ATM underwriter and it ...
Jan. 29, 2025
What documents are involved in an IPO?
What documents are included within an IPO process Well the main document that you'll see is the registration statement on Form S-I That's what investors see when they go to invest in the company The company will also negotiat...
Jan. 28, 2025
What is the role of the Auditors in an IPO?
What is the role of auditors in an IPO? The auditors are the independent accounting firm They're a third party accounting firm that's hired by the company to verify the financial statements that are prepared by the company's ...
Jan. 28, 2025
What is the role of investment bankers in an IPO?
Well the investment bankers are charged their primary responsibility is distributing the securities to the public But they also have a responsibility to do their own due diligence on the public company or soon to be public co...
Jan. 27, 2025
What is the role of company counsel in an IPO?
What is the role of company counsel in regards to an IPO? Company counsel is primarily charged with preparing the registration statement on Form S-1 which is the document that most investors see when they want to participate ...
Jan. 27, 2025
What Is An 8-K?
An 8 K is a current report That's a report that covers anything that's happened in between the ten Q or the ten K periods Usually it's triggered by a material event such as the company entered into a material contract that's ...
Jan. 24, 2025
What is an S-1
Dive into the essentials of S-1 registration statements and their role in public securities sales. Learn about the SEC's requirements and why reading the prospectus is crucial before investing in public companies. Equip yours...
Jan. 24, 2025
What is a Registered Direct Offering?
What is a registered direct offering A registered direct offering also known as an overnight deal is a discrete securities offering usually made to a small group of investors on terms that are based on whatever the current ma...
Jan. 23, 2025
Who is Involved in an IPO?
Who is involved in an IPO The primary player involved is the public company itself or the soon to be public company which is the company that is selling its securities its shares its common stock Also involved is the underwri...
Jan. 23, 2025
What Is An IPO?
We dive into what an IPO truly is and how it signifies a company's entry into public markets. Learn about the sale of securities, primarily common stock, and the major exchanges like NASDAQ and the New York Stock Exchange. #I...
Jan. 23, 2025
What is a private offering?
Discover what a private offering is and how it differs from traditional securities offerings like IPOs. Learn why these exclusive deals target accredited investors and what opportunities they can provide to high net worth ind...
Jan. 22, 2025
What is a public company?
What is a public company Well a public company is a company that has a class of securities usually common stock that are traded on a public market such as the NASDAQ or the NYSE It also refers to a company that reports public...