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07789aai a2200517 i 4500 001 74570290580511E8A8F83C5097128E48 003 SILO 005 20180515010114 008 171011c20179999nyuar l b 0 2eng c 010 $a 2017229000 020 $a 1402429517 020 $a 9781402429514 035 $a (OCoLC)1005846061 040 $a PQD $b eng $e rda $c PQD $d OCLCQ $d NDL $d SILO 043 $a n-us--- 050 4 $a KF1439 $b .P563 100 1 $a Pinedo, Anna T., $e author. 245 10 $a Exempt and hybrid securities offerings / $c Anna T. Pinedo and James R. Tanenbaum. 250 $a Third edition. 264 1 $a New York City : $b Practising Law Institute, $c 2017- 300 $a volumes (loose-leaf) : $b forms ; $c 26 cm + $e USB flash drive 310 $a Updated annually 362 1 $a Began in 2017. 490 1 $a Practising Law Institute corporate and securities law library 500 $a Includes unnumbered Forms volume. 500 $a "#220138" 500 $a "Forms on USB flash drive" called Version 3. 538 $a System requirements of accompanying DVD-ROM: IBM PC or compatible; DVD-ROM drive. 500 $a Library's copy includes DVD-ROM backup of flash drive. Flash drive tossed. $5 IaU-L 505 00 $t Table of Authorities $t Private Placements An Overview -- $t Rule 506 Offerings -- $t Section 4(a)(1) and Concept of 4(a)(1) -- $t Section 4(a)(3) and Section 4(a)(4) -- $t Rule 144 -- $t Rule 144A -- $t Regulation S -- $t Rule 701 -- $t Shelf Registration Statements -- $t Securities Offering Reform -- $t Private Placement Reform -- $t Staying Private -- $t Venture Private Placements -- $t Traditional PIPE Transactions -- $t Structured PIPE Transactions -- $t Questions Arising in Connection with PIPE Transactions -- $t Conducting Institutional 4(a)(2) Private Debt Placements -- $t Conducting Rule 144A and Regulation S Offerings -- $t Conducting Shelf Takedowns -- $t Public Hybrid Transactions -- $t Continuous Private Placements and Other Unregistered Programs -- $t Communications in Connection with Exempt and Hybrid Securities Offerings -- $t Conducting Exempt Offerings Using the Internet -- $t Conditional Small Issues Exemption: Regulation A^^^ $9 ^ $t Crowdfunding and Regional Offerings -- $t Issues Arising in Connection with Private Placements and Public Offerings Conducted in Close Proximity -- $t Liability Considerations -- $t Big Boy Letters -- $t FINRA and the Exchanges -- $t Application of Regulation M to Exempt and Hybrid Offerings -- $t Investment Representations/Hedging -- $t Change of Control Transactions -- $t Private Placements and Acquisitions -- $t Appendices -- $t American Council of Life Insurance, SEC No Action Letter -- $t Verticom, SEC No Action Letter -- $t Black Box, SEC No Action Letter -- $t Squadron, Ellenoff, Pleasant & Lehrer, SEC No Action Letter -- $t Exxon Capital, SEC No Action Letter -- $t Cravath, Swaine & Moore, SEC No Action Letter -- $t Touche, Remnant & Company, SEC No Action Letter -- $t Morgan Stanley and Co., Inc., SEC No Action Letter -- $t Brown & Wood, LLP, SEC No Action Letter -- $t Shearman & Sterling, SEC No Action Letter -- $t CommScan, LLC, SEC No Action Letter -- $t IPONet, SEC No Action Letter^^^ $9 ^ $t Lamp Technologies, Inc., SEC No Action Letter -- $t Lamp Technologies, Inc., SEC No Action Letter -- $t Net Roadshow, Inc., SEC No Action Letter -- $t Net Roadshow, Inc., SEC No Action Letter -- $t Bloomberg L.P., SEC No Action Letter -- $t AngelList, LLC, SEC No Action Letter -- $t FundersClub Inc., SEC No Action Letter -- $t Citizen VC, Inc., SEC No Action Letter -- $t Interpretive Release on Regulation D -- $t Rule 144 Adopting Release -- $t Rule 144A Adopting Release -- $t Rule 155 Adopting Release -- $t Regulation S Adopting Release -- $t Adopting Release Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 and Rule 144A Offerings -- $t Adopting Release Amendments for Small and Additional Issues Exemptions under the Securities Act (Regulation A) -- $t Regulation Crowdfunding Adopting Release -- $t Exemptions to Facilitate Intrastate and Regional Crowdfunding Adopting Release -- $t FINRA Corporate Financing Rule -- $t FINRA Conflicts of Interest Rule^^^ $9 ^ $t NYSE Shareholder Approval Rule -- $t NYSE Voting Rights Rule -- $t Nasdaq Shareholder Approval Rule -- $t Nasdaq Voting Rights Rule -- $t NYSE MKT Shareholder Approval Rule -- $t NYSE MKT Voting Rights Rule -- $t Summary Timeline of Exempt Offering Developments -- $t Timeline of Exempt Offering Rules -- $t Forms -- $t Accredited Investor Questionnaire -- $t Qualified Institutional Buyer Questionnaire -- $t Purchaser Representative Acknowledgment -- $t Securities Purchase Agreement -- $t Non Affiliate Seller s 144 Representation Letter -- $t Affiliate Seller s 144 Representation Letter -- $t Non Affiliate Legend Removal Letter -- $t Plan of Distribution -- $t Securities Offering Reform Summary -- $t Timetable for Private Placement with Resale Rights -- $t Timetable for PIPE Transactions -- $t Engagement Letter for PIPE Transaction -- $t Sales Script for Institutional Sales -- $t Sales Script for Contacting Current Holders -- $t Confidentiality Agreement -- $t Confidentiality Agreement^^^Interest Rule^^^ $9 ^ $t Procedures for Wall Crossing Investors -- $t Common Stock Term Sheet -- $t Confidential Private Placement Memorandum -- $t Purchase Agreement -- $t Closing Checklist -- $t Transfer Agent Instructions -- $t Resale Registration Statement -- $t Term Sheet Convertible Debentures, Warrants, and Common Stock -- $t Term Sheet Convertible Preferred Stock -- $t Placement Agent Representation Letter -- $t Opinion in Lieu of Representation Letter -- $t Blanket Removal Letter -- $t Confidential Offering Memorandum -- $t Indenture -- $t Purchase Agreement -- $t Registration Rights Agreement -- $t SIFMA Rule 144 Procedures -- $t Procedures Memorandum Removal of 144 Restrictive Legends -- $t Exxon Capital Exchange Letter -- $t SIFMA 3c 7 Procedures -- $t 3c 7 Notice -- $t Rule 904 Sale Under Reg S Selling Shareholder Certificate -- $t Sample Legend for Rule 903 -- $t Timeline for At The Market Offering -- $t Distribution Agreement -- $t Plan of Distribution -- $t Indicative Timeline for Block Trade--^Interest Rule^^^ $9 ^ $t Engagement Letter for Registered Direct Offering -- $t Engagement Letter for Registered Direct Offering -- $t Indicative Timeline for Registered Direct Offering -- $t Script for Registered Direct Transaction -- $t Lock Up Agreement for Registered Direct Offering -- $t Placement Agency Agreement for All or None Registered Direct Offering -- $t Investor Purchase Agreement for Registered Direct Offering -- $t Plan of Distribution for Any or All Registered Direct Offering -- $t Plan of Distribution for All or None Registered Direct Offering -- $t Big Boy Letter -- $t Reasonable Investigations in Regulation D Offerings -- $t Sample Shorting Reps -- $t Standby Purchase Agreement -- $t Table of Authorities 504 $a Includes bibliographical references and index. 650 0 $a Privately placed securities $z United States. 650 0 $a Convertible securities $z United States. 650 0 $a Private investments in public equity $z United States. 650 0 $a Securities $z United States. 650 7 $a Convertible securities. $2 fast $0 (OCoLC)fst00877252 650 7 $a Private investments in public equity. $2 fast $0 (OCoLC)fst01077513 650 7 $a Privately placed securities. $2 fast $0 (OCoLC)fst01077646 650 7 $a Securities. $2 fast $0 (OCoLC)fst01110743 651 7 $a United States. $2 fast $0 (OCoLC)fst01204155 700 1 $a Tanenbaum, James R., $e author. 780 02 $a Pinedo, Anna T. $t Exempt and hybrid securities offerings. $b 2nd ed. $d New York City : Practising Law Institute, c 2011- $z 9781402416941 $w (OCoLC)762151174 $w (OCoLC)762151174 830 0 $a Practising Law Institute's corporate and securities law library. 941 $a 1 952 $l OVUX522 $d 20191213015451.0 956 $a http://locator.silo.lib.ia.us/search.cgi?index_0=id&term_0=74570290580511E8A8F83C5097128E48Initiate Another SILO Locator Search