One of our primary businesses is to raise capital for private and publicly owned companies. Initially, we review the existing operations of the client company, evaluate its potential status within its industry and its capital requirements. Upon completing a study, including cash flow analysis and projections, evaluation of the potential of existing and proposed lines of product/services and specific corporate goals, we recommend a specific course of action. This includes the structure of the deal (private placement, public offering, secondary offering, reverse merger), type of security (convertible debenture, convertible preferred stock, common stock, etc.), pricing, market timing and the recommended size of the deal. We introduce the client company to the funds and investment banks of our network and have them complete the transaction by performing all the necessary activities required by the NASD. We negotiate and oversee the transaction through closing. Post-transaction, we continue to maintain a close relationship with the client company.
PRIVATE PLACEMENTS: offerings made privately to accredited
investors on a negotiated basis. They are exempt from
registration requirements under Federal and State Securities
Laws and have certain holding period requirements.
PRIVATE INVESTMENTS IN PUBLIC EQUITIES (PIPEs): are negotiated investments made by institutional and accredited investors in publicly traded companies. These private placements are usually structured in the form convertible preferred stock or convertible subordinated notes and often include warrants. Our Requirements:
INITIAL PUBLIC OFFERINGS
(IPOs): a company's
first public issue of common stock. It must be registered
under Federal and State Securities Laws. The shares are
legally tradable after their issuance.
REVERSE MERGERS: another process for taking companies public which is faster and less expensive that the traditional IPO and also serves as an exit strategy. It involves merging a private company with a publicly traded shell (i.e. a publicly traded company without significant operations). The resulting company is then a publicly traded company with the operations of the initially private company. Our requirements for this type of transaction are similar to those for an IPO. Post-transaction, we assist the companies to raise money through private placements or secondary offerings.
PRIMARY/SECONDARY OFFERINGS: post IPO/Reverse Merger offerings. We
assist clients who find it inconvenient to work with their
original underwriters or who are not adequately covered by
research analysts in post IPO/Reverse Merger offerings.
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