Skip to main content

Selling Stockholder Questionnaire


Book Publication Date: Sep 2011
Description: Sample questionnaire distributed by in-house counsel of a company to obtain information about stockholders selling shares of common stock in company’s IPO. Information provided in response to this questionnaire may be included in Form S-1, which is provided to the Securities and Exchange Commission.
Type: Questionnaires
PLI Item #: 43757
Practice Area: Corporate law, Securities and other financial products

Keywords: initial public offering; shares of common stock; Securities and Exchange Commission; SEC; "Form S-1"; "registration statement"; Financial Industry Regulatory Authority; FINRA; "Registrable Securities"; "record holder"; "beneficial holder"; beneficial ownership; broker-dealer; voting control; investment control; preliminary prospectus

Thank you for exploring PLI PLUS.
The content on this page is only available to subscribers.

To learn more about PLI PLUS subscriptions
please click on the link below or contact us at PLUS@pli.edu.