LegalMinds Interview: "Preparing to Raise Capital in Volatile Markets Using a Shelf Registration"


In today’s volatile market, companies are under increased pressure to time their capital-raising needs with changes in the market. One of the more effective ways for public companies to approach this challenge, says Morrison & Foerster’s Anne Pinedo is through a shelf registration – often referred to as a short-form registration statement – a type of registration statement that an issuer can use to register for sale publicly any combination of securities for sale at some future time.

According to Ms. Pinedo, who works closely with financial institutions to create and structure innovative financing techniques, “if an issuer has a shelf and it’s effective, an issuer then has maximum advantage in terms of when it can decide to do a deal.”

In an Exclusive LegalMinds.TV interview filmed at the NASDAQ MarketSite, Pinedo discusses some of the key considerations and requirements in filing a shelf registration, including eligibility requirements, timing, market perceptions, and recent regulatory changes.

“In terms of our best advice to clients, it’s always to be prepared and to be well-positioned to take maximum advantage of market windows,” says Pinedo. “And the best way to do that is by having a shelf up, by keeping a shelf current, and to make sure that all of its SEC filings are submitted in a timely way so that the company doesn’t become ineligible to use a shelf registration statement.”


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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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