What does an S-3 filing indicate?

Key Takeaways. SEC Form S-3 is a regulatory filing that provides simplified reporting for issuers of registered securities. An S-3 filing is utilized when a company wishes to raise capital, usually as a secondary offering after an initial public offering has already occurred.

What is Form S-3 Eligibility?

Form S-3 can be used for the primary offering of non-convertible securities other than common equity (such as debt or preferred stock), to be offered by cash, if the company (i) has issued at least $1 billion in non-convertible securities in registered primary offerings over the prior three years; or (ii) has …

What is SEC Form S-3?

Form S-3 is a simplified form for registering securities with the Securities and Exchange Commission (SEC). The form can be used by a company to register securities under the Securities Act of 1933, instead of using Form S-1.

How long is a Form S-3 effective?

three years
Shelf registration statements generally only remain effective for three years. Assuming that an issuer is eligible to file a Form S-3, a baseline question in relation to whether an issuer desires to have an effective shelf registration statement is whether the issuer is a well-known seasoned issuer (WKSI).

What is an f3 filing?

SEC Form F-3 is a regulatory short form to register securities that is used by foreign private issuers who meet certain criteria. When applicable, this form, also known as the “Registration Statement”, must be filed with the Securities and Exchange Commission (SEC) in accordance with the Securities Act of 1933.

What is Form S 4 used for?

Form S-4 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting companies to file in order to publicly offer new securities pursuant to a merger or acquisition.

What is secondary registration?

• Registration of Book of Accounts. • Application for Authority to Print Receipts & Invoices. • Application for Authority to Use Computerized Accounting Systems and/or Components thereof/Loose-leaf Book of Accounts.

Is an S-3 a shelf registration?

Form S-3 is the registration statement that the Securities and Exchange Commission (SEC) requires reporting company issuers to file in order to issue shelf offerings.

What is the baby shelf rule?

The Baby Shelf Rule For companies that have an aggregate market value of voting and non-voting common stock held by non-affiliates of less than $75 million, Instruction 1. B. 6(a) limits the amount that the company can offer to up to one-third of that market value in any trailing 12-month period.

Who can use form F 3?

foreign issuers
SEC Form F-3 is used by foreign issuers to register securities with the Securities and Exchange Commission (SEC). The form must be filed in accordance with the Securities Act of 1933. Depending on the size of the foreign issue, companies may need to file additional forms in addition to, or in lieu of Form F-3.

What triggers a Form 3 filing?

What’s a Form 3? When a person becomes an insider (for example, when they are hired as an officer or director), they must file a Form 3 to initially disclose his or her ownership of the company’s securities. Form 3 must be filed within 10 days after the person becomes an insider.