NASDAQ Direct Listing or IPO with Funding

If you think your company qualifies for a NASDAQ, other najor exchanges or looking to acquire a company that can with a full audit or need consultation, listing services. as well as BD sponsorship and funding.

The overall objective is to position the target company into its own SEC full reporting public company, on a listed exchange, and with financing in place.

Regulatory Filings

Manage the various State, Federal and Exchange filings as well as SEC and FINRA compliance. This includes the Stock Exchange listings and interaction with the transfer agent. There are several mandatory, quarterly and annual, as well as state filings that are somewhat fixed in format. Then there is the corporate implementation of the Strategic Plan which is a more involved process and involves third parties.

Investment Strategies

This task will involve incorporating both the investment requirements of the company and a clear path to achieving their investment. The stock structure for the company needs to be in alignment with its needs. Old strategies of convertible debentures are replaced with Broker Dealer friendly structures.
Our approach is to start with the end objective and work backwards using a Reg A strategy. Giving in the short term the need for capital this will likely involve 2 stages of investment, possibly involving a third larger stage if acquisitions are anticipated.
Corporate IR and PR fall under this category. Create an overall plan for inclusion in stock boards, trade publications and newsletters. A corporate road show or private/public funding groups may also be considered.

Various co-ordinated pitch decks, project outlines and other investment material will need to be prepared for each project and with press releases as the various stages are achieved.
Evaluation of term sheets/investment to be accepted by our underwriters and Broker Dealers for listing sponsorship is the end game.

Strategic Planning

This involves several parts:

• Create a corporate structure that meets the needs of the companies, and their investment stages
• The overall strategy for managing the various capital raises for each company • The interaction between the various companies, projects and shareholders.
• Put the various filings in place to accomplish these goals.
• … and lastly, an exit strategy for management and certain investors, as needed.
Developing an overall Strategic Plan that can be shown to investment groups, so that they can also see the big picture, and how the various projects interact.