Understanding How to Draft and File Form S1 on SEC’s Edgar system for an IPO

Do you need help filing Form S1 with the United States Securities & Exchange Commission’s Edgar Database? Our form filing service allows public companies and companies looking to go public to efficiently file forms with the S.E.C.

Form S-1 is an SEC filing used by companies planning on going public to register their securities with the U.S. Securities and Exchange Commission (SEC) as the “registration statement by the Securities Act of 1933”. The S-1 contains the basic business and financial information on an issuer with respect to a specific securities offering. Investors may use the prospectus to consider the merits of an offering and make educated investment decisions. A prospectus is one of the main documents used by an investor to research a company prior to an initial public offering (IPO). Other less detailed registration forms, such as Form S-3 may be used for certain registrations.

The current S.E.C. Filing Fee Rate for 10/1/2015 to 9/30/2016 is:  $100.70 per $1,000,000

The fee is calculated by multiplying the aggregate offering amount by .0001007

These filing fees are required for filings made pursuant to: Sections 6(b) of the Securities Act of 1933, Sections 13(e) and 14(g) of the Securities Exchange Act of 1934: For more information, see the fee rate advisory notice.  The standard Form S1 can be found on the SEC website:  Form S1 on SEC website.

Filing forms with the SEC includes filing the form into the Edgar Database, the SEC’s database where forms on public companies and companies seeking to register securities are filed.  We help companies file forms with the SEC, including but not limited to, Form S1, Form 4, Form D, Form 1A, Form 10Q and more.  Contact us today to discuss how we can help your company file forms with the S.E.C. once or on an ongoing basis.

Drafting Form S1

Experienced securities lawyers and attorneys are generally contracted in the final phases of drafting form S1.  Form S1 can be found here and states what is required in the prospectus and what is not required in the prospectus.  There are 12 line items required by the form with items 11 & 12 having subsections.  At first glance, the line items seem self explanatory with first ten titles reading:

  • Item 1. Forepart of the Registration Statement and Outside Front Cover Page of Prospectus.
  • Item 2. Inside Front and Outside Back Cover Pages of Prospectus.
  • Item 3. Summary Information, Risk Factors and Ratio of Earnings to Fixed Charges.
  • Item 4. Use of Proceeds.
  • Item 5. Determination of Offering Price
  • Item 6. Dilution.
  • Item 7. Selling Security Holders.
  • Item 8. Plan of Distribution.
  • Item 9. Description of Securities to be Registered.
  • Item 10. Interests of Named Experts and Counsel.

Within the S1 you will see that most line items required reference Regulation SK.

In a company’s history, Regulation S-K first applies with the Form S-1 that companies use to register their securities with the U.S. Securities and Exchange Commission (SEC) as the “registration statement under the Securities Act of 1933”. Thereafter, Regulation S-K applies to the ongoing reporting requirements in documents such as forms 10-K and 8-K.

If you need professional help drafting and filing your Form S1 to take your company public, we can help.  Our team of professionals range from consulting securities experts to legal professionals.  Contact us today, and download a version of the SEC Form S1 now for free.

sec form s1 filiing service

Advertisements

About ONIT

Not Your Daddys' Holding Company
This entry was posted in Filing S.E.C. Forms and tagged , , , . Bookmark the permalink.