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S-3 Filing

What is 'S-3 Filing'

The most simplified registration form. It can only be used by companies that have been required to report under the '34 Act for a minimum of twelve months and have met the timely filing requirements set forth under Form S-2.

Explaining 'S-3 Filing'

The offering and issuer must meet the eligibility tests prescribed by the form before having a secondary offering.


Further Reading


Financial intermediaries and monetary economics
www.sciencedirect.com [PDF]
… These findings reflect the economics of financial intermediation, since the business of banking is to borrow short and lend … 8) is linear in e, the aggregate demand of the leveraged sector has the same form as Eq … We then have(21) ∂ F ∂ π = q ( 3 τ z 2 ( z - q π ) ︸ A + S - 3 τ z 2 q …

Investment-cash flow sensitivities are not valid measures of financing constraintsInvestment-cash flow sensitivities are not valid measures of financing constraints
academic.oup.com [PDF]
… These findings reflect the economics of financial intermediation, since the business of banking is to borrow short and lend … 8) is linear in e, the aggregate demand of the leveraged sector has the same form as Eq … We then have(21) ∂ F ∂ π = q ( 3 τ z 2 ( z - q π ) ︸ A + S - 3 τ z 2 q …

An analysis of Form 8-K disclosures of auditor changes by firms approaching bankruptcyAn analysis of Form 8-K disclosures of auditor changes by firms approaching bankruptcy
search.proquest.com [PDF]
… These findings reflect the economics of financial intermediation, since the business of banking is to borrow short and lend … 8) is linear in e, the aggregate demand of the leveraged sector has the same form as Eq … We then have(21) ∂ F ∂ π = q ( 3 τ z 2 ( z - q π ) ︸ A + S - 3 τ z 2 q …

The chief financial officer's perspective on auditor‐client negotiationsThe chief financial officer's perspective on auditor‐client negotiations
onlinelibrary.wiley.com [PDF]
… These findings reflect the economics of financial intermediation, since the business of banking is to borrow short and lend … 8) is linear in e, the aggregate demand of the leveraged sector has the same form as Eq … We then have(21) ∂ F ∂ π = q ( 3 τ z 2 ( z - q π ) ︸ A + S - 3 τ z 2 q …

The economics of conventionThe economics of convention
www.aeaweb.org [PDF]
… These findings reflect the economics of financial intermediation, since the business of banking is to borrow short and lend … 8) is linear in e, the aggregate demand of the leveraged sector has the same form as Eq … We then have(21) ∂ F ∂ π = q ( 3 τ z 2 ( z - q π ) ︸ A + S - 3 τ z 2 q …



Q&A About S-3 Filing


What is Form S-3?

Form S-3 is the most simplified securities registration used by the U.S. Securities and Exchange Commission (SEC).

What are some of these eligibility tests?

The company must have reported under the '34 Act for at least 12 months and must also have filed all its reports on time.

Who can use Form S-3?

A company that has been required to report under the Securities Exchange Act of 1934 for a minimum of twelve months and have also timely filed all required reports (including annual forms 1-K, quarterly forms 1-Q and certain current forms 8-K) under the Securities Exchange Act of 1934 during the twelve calendar months and any portion of a month immediately before the filing of the registration statement. Also, the offering and issuer must meet other eligibility tests prescribed by form.

Who can use this form?

Companies that meet the eligibility tests prescribed by the form before having a secondary offering.

What is S-3 Filing?

The most simplified registration form. It can only be used by companies that have been required to report under the '34 Act for a minimum of twelve months and have met the timely filing requirements set forth under Form S-2.

How does one register using this form?

One registers with SEC, NASD, NYSE or AMEX depending on where they want their securities traded. They then file an application with SEC electronically through EDGAR system which is free to do so. After that, they send copies of their application to NASD, NYSE or AMEX as well as other exchanges where they intend to trade their securities in order to get listed there too.

How does one register using Form S-3?

One registers using form S-3 by submitting an application with SEC along with exhibits containing information about business operations, financial statements etc.. The application will then be reviewed by SEC staff who will either approve or disapprove it within 30 days after submission. If approved, it will then become effective upon filing with SEC's EDGAR system.

What are some examples of companies that would be eligible to use Form S-3?

Companies in various industries such as health care, technology, retailing or energy could be eligible to use this form if they have met all requirements set forth by SEC.

When should you use this form?

You should use it when you are planning on having a secondary offering but don't want to go through all the trouble of registering your stock again because you've already registered it once before (i.e., if you were previously public). This way you won't need to file another registration statement with SEC and will save yourself some money in legal fees since only one registration statement needs to be filed instead of two separate ones (one for primary offering and one for secondary offering). However, keep in mind that even though you're not filing another registration statement with SEC, your company still has to comply with all applicable state laws regarding selling shares within your state's borders so make sure those laws are complied with before going ahead with any secondary offerings! Also note that

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