As discussed on our webcast with McDermott, Will & Emery (listen here), the Reg A+ filing process that produces an Effective Form 1-A submitted to the SEC, is not easy. However, it is somewhat easier than a traditional IPO’s S-1, and certainly less cost. It’s a viable new capital raising tool for emerging growth companies… companies that appreciate our intelligent value mantra.
In December, there were 11 Form 1-A filings.
- 6 of the 11 were filed with a filing agent
- 4 of the 11 were filed by Vintage. We were the only “Top-Three” agent
- 6 of the 11 worked via a securities law firm
- 4 of the 4 Vintage filings worked via a securities law firm
As you see below, there is the pattern of no-pattern… very different from an S-1 as you’ll see each week here in this blog.
|Filing Agent||Account / Law Firm||Registrant||Form Type|
|Self-filed||None||ADVANCED PREDICTIVE ANALYTICS HOLDINGS, INC.||1-A|
|Agent||None||FIG PUBLISHING, INC.||1-A|
|VINTAGE||Goodwin Procter LLP||FUNDRISE EQUITY REIT, LLC||1-A|
|Self-filed||None||GK INVESTMENT HOLDINGS, LLC||1-A|
|VINTAGE||Lowenstein Sandler LLP||HAMILTON NATIONAL INCOME TRUST, INC.||1-A|
|VINTAGE||Sutherland Asbill & Brennan LLP||HUNTING DOG CAPITAL CORP.||1-A|
|VINTAGE||Jones Walker LLP and Gerrish McCreary Smith||PLANTERS HOLDING CO||1-A|
|Agent||None||STACK-IT STORAGE, INC.||1-A|
|Self-filed||Manatt, Phelps & Phillips, LLP||STREETSHARES, INC.||1-A|
|Self-filed||KHLK LLP||XTI AIRCRAFT CO||1-A|