December Reg A+ filings increased 55% over November

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
Self-filed None BOXX CORP 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

Lastly, if this topic is at all interesting to you, 1.) download this whitepaper here and also 2.) opt-in to receive the weekly transactions list, including S-1 and 1-A files, by email (opt-in here).

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