xavGE

More documents

Recommendations

Info

Preface 5 Duncan Niederauer Chief Executive Officer, NYSE Introduction 7 Advantages of a NYSE listing NYSE 1. Why go public? 9 1.1 Advantages of conducting an IPO 10 J.P. Morgan (Investment Banking) 1.2 Potential issues 10 J.P. Morgan (Investment Banking) 1.3 Going public without an offering 11 J.P. Morgan (Investment Banking) 2. Preparing to go public 13 2.1 Choosing advisors 14 J.P. Morgan (Investment Banking) 2.2 Financial information 15 KPMG LLP 2.3 Antitakeover defenses and other governance matters 24 Cleary Gottlieb Steen & Hamilton LLP 2.4 Providing for employees 26 Cleary Gottlieb Steen & Hamilton LLP 2.5 NYSE Governance Services: Reviewing and verifying your program, meeting regulatory standards 29 NYSE Governance Services 3. The IPO process 31 3.1 Process timeline 32 J.P. Morgan (Investment Banking) 3.2 SEC registration 33 Cleary Gottlieb Steen & Hamilton LLP 3.3 Prospectus 35 Cleary Gottlieb Steen & Hamilton LLP 3.4 Underwriting, marketing, and sale 40 J.P. Morgan (Investment Banking) 4.The IPO on-ramp under the JOBS Act 43 4.1 The JOBS Act: Emerging growth company status 44 Fenwick & West LLP 4.2 Advantages of emerging growth company status 44 Fenwick & West LLP 4.3 Process timeline 45 Fenwick & West LLP 4.4 Conclusion 47 Fenwick & West LLP 5. IR and communications 49 5.1 Preparing an IPO communications strategy 50 FTI Consulting 5.2 Communicating with the market post-IPO 52 FTI Consulting 5.3 Employee and business partner communications 55 FTI Consulting 5.4 Legal framework for communications 56 Cleary Gottlieb Steen & Hamilton LLP 5.5 Market intelligence and surveillance 57 Ipreo 5.6 Investor targeting and outreach 59 Ipreo 5.7 Market perception feedback 60 Ipreo 5.8 Investment community database and CRM 61 Ipreo 6. Obligations of a public company 63 6.1 Reporting and compliance requirements 64 Cleary Gottlieb Steen & Hamilton LLP 6.2 Listing standards 69 NYSE 6.3 Trading and repurchases 70 Cleary Gottlieb Steen & Hamilton LLP 6.4 Ongoing compliance obligations 71 NYSE Governance Services 7. A public company and its shareholders 73 7.1 Proxy statement and annual meeting 74 Morrow & Co., LLC 7.2 Providing shareholders with proxy material 74 Morrow & Co., LLC 7.3 Ownership reporting by shareholders 76 Cleary Gottlieb Steen & Hamilton LLP 7.4 Reporting by insiders 77 RR Donnelley 7.5 Related party transactions 78 Cleary Gottlieb Steen & Hamilton LLP 7.6 Share ownership mechanics 79 Morrow & Co., LLC 8. Managing risk 83 8.1 Liability standards 84 Cleary Gottlieb Steen & Hamilton LLP 8.2 Class action and derivative lawsuits 85 Marsh 8.3 Indemnification 87 Marsh 8.4 D&O liability insurance 89 Marsh 8.5 Personal risk management 93 Marsh 8.6 Managing compliance risk 94 NYSE Governance Services 2 NYSE IPO Guide
9. Foreign private issuers 97 9.1 American depositary receipts 98 J.P. Morgan (Depositary Receipts Group) 9.2 Direct equity share listing 102 Cleary Gottlieb Steen & Hamilton LLP 9.3 Description of IPO process timeline 102 Cleary Gottlieb Steen & Hamilton LLP Appendix IV: NYSE financial continued listing standards, U.S. companies 115 Appendix V: NYSE MKT continued listing standards 116 Appendix VI: Summary of filing and other requirements based on issuer category 117 KPMG LLP Contributor profiles 119 9.4 Publicity 103 Cleary Gottlieb Steen & Hamilton LLP 9.5 Registration 103 Cleary Gottlieb Steen & Hamilton LLP 9.6 Reporting requirements 104 Cleary Gottlieb Steen & Hamilton LLP 9.7 Corporate governance 106 Cleary Gottlieb Steen & Hamilton LLP 9.8 Managing risk 107 Cleary Gottlieb Steen & Hamilton LLP 9.9 Executive and employee compensation programs 108 Cleary Gottlieb Steen & Hamilton LLP 9.10 Financial information 108 KPMG LLP Appendices 109 Appendix I: NYSE original listing standards, U.S. operating companies, REITs, and funds 110 Appendix lI: NYSE original listing standards, non-U.S. operating companies 112 Appendix III: NYSE MKT original listing standards 114 NYSE IPO Guide 3
Page 1 and 2: NEW YORK STOCK EXCHANGE IPO Guide,
Page 3: NYSE IPO Guide For an electronic ve
Page 8 and 9: Preface Congratulations on making i
Page 10 and 11: Introduction: Advantages of a NYSE
Page 12 and 13: Why go public? 1.1 Advantages of co
Page 15 and 16: 2 Preparing to go public NYSE IPO G
Page 17 and 18: Preparing to go public on their rel
Page 19 and 20: Preparing to go public statements f
Page 21 and 22: Preparing to go public the predicta
Page 23 and 24: Preparing to go public consolidated
Page 25 and 26: Preparing to go public and other ad
Page 27 and 28: Preparing to go public framework an
Page 29 and 30: Preparing to go public In connectio
Page 31 and 32: Preparing to go public so adoption
Page 33 and 34: 3 The IPO process NYSE IPO Guide 31
Page 35 and 36: The IPO process Underwriter interna
Page 37 and 38: The IPO process underwriters are re
Page 39 and 40: The IPO process Three elements are
Page 41 and 42: The IPO process • document review
Page 43 and 44: The IPO process bank in dealing wit
Page 45 and 46: 4 The IPO on-ramp under the JOBS Ac
Page 47 and 48: The IPO on-ramp under the JOBS Act
Page 49: The IPO on-ramp under the JOBS Act
Page 52 and 53: IR and communications 5.1 Preparing
Page 54 and 55:
IR and communications Developing st
Page 56 and 57:
IR and communications the meeting s
Page 58 and 59:
IR and communications that employee
Page 60 and 61:
IR and communications serve as a fu
Page 62 and 63:
IR and communications • Detailed
Page 64 and 65:
IR and communications to make infor
Page 66 and 67:
Obligations of a public company 6.1
Page 68 and 69:
Obligations of a public company For
Page 70 and 71:
Obligations of a public company inc
Page 72 and 73:
Obligations of a public company be
Page 74 and 75:
Obligations of a public company it
Page 76 and 77:
A public company and its shareholde
Page 78 and 79:
Page 80 and 81:
Page 82 and 83:
Page 85 and 86:
8 Managing risk NYSE IPO Guide 83
Page 87 and 88:
Managing risk certain actions. Gove
Page 89 and 90:
Managing risk plan violations, rela
Page 91 and 92:
Managing risk Indemnification is no
Page 93 and 94:
Managing risk individuals—usually
Page 95 and 96:
Managing risk Constructing a D&O li
Page 97 and 98:
Managing risk compliance programs w
Page 99 and 100:
9 Foreign private issuers NYSE IPO
Page 101 and 102:
Foreign private issuers individual
Page 103 and 104:
Foreign private issuers Level III A
Page 105 and 106:
Foreign private issuers the underwr
Page 107 and 108:
Foreign private issuers Other speci
Page 109 and 110:
Foreign private issuers a controlli
Page 111 and 112:
Appendices NYSE IPO Guide 109
Page 113 and 114:
Appendices Appendix I continued Add
Page 115 and 116:
Appendices Appendix II continued Cr
Page 117 and 118:
Appendices Appendix IV: NYSE financ
Page 119 and 120:
Appendices Appendix VI: Summary of
Page 121 and 122:
Contributor profiles NYSE IPO Guide
Page 123 and 124:
Contributor profiles (SEC) register
Page 125 and 126:
Contributor profiles The Children
Page 127 and 128:
Contributor profiles KPMG 345 Park
Page 129:
Contributor profiles Morrow & Co.,
show all

xavGE

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?