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 negotiate an underwriting agreement an agreement regarding the distribution of the securities between itself and the investment bank As part of the registration statement there's also the financial statements which are prepared by the company and reviewed or audited by its auditors And then there are a number of ancillary documents depending on the offering If there are warrants involved there'll be a warrant agreement If there's an escrow provision there'll be an escrow agreement But the primary document is the registration statement and then the underwriting agreement
Louis Taubman
Managing Partner
LOUIS TAUBMAN
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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.