Expert Legal Advisors on PIPE Transactions

One of the main reasons companies go public is their ongoing access to capital markets. Private Placement in Listed Companies (PIPE) is one of the most common means for listed companies to gain additional access to capital markets.

The PIPE market has rapidly institutionalized and grown in recent years, and the teams at ANTHONY, LINDER & CACOMANOLIS, PLLC have consistently responded to this trend.

What is a PIPE Transaction?

Private Placement in Listed Companies (PIPE) refers to the private placement of securities by an already publicly traded company to selected qualified investors (usually accredited or institutional investors).

Most PIPE transactions consist of a combination of common stock or preferred stock with warrants.

Responses Conducted in Many PIPE Transactions

Many PIPE transactions involve one of the following:

• Immediate submission of the Resale Registration Notification Form S-1 or F-1
• For companies with existing inventory registration forms on Form S-3 or F-3, immediate submission of the takedown prospectus supplement

Transaction Flow

Standard PIPE transactions are conducted through private placements of securities. Transactions are usually completed before or after the resale registration notification takes effect. Investors in PIPE transactions must submit a registration statement regarding resale to the SEC when purchasing company securities, which will ultimately be declared valid by the SEC.

Guiding the Entire Process

Our firm has a proven track record of successfully completing hundreds of PIPE transactions. Our experienced team, thoroughly familiar with complex processes, supports you in achieving your goals and ensuring full compliance with the latest regulatory environment.

Contact Us

To schedule an initial consultation, please contact us by phone 877-541-3263 or email. We provide even more comprehensive support together with our customers.