Going public is a complex event for a company and its professionals, who face pressure to execute it correctly and on time. Companies must pay attention to every detail to maximize their return as they prepare for this transition. Due to the complexity and uniqueness of each initial public offering (IPO), you need a team of seasoned professionals and proven technologies to help navigate each step: from pre-registration to preparing and submitting the initial confidential registration statement and exhibits with the SEC, and ultimately going effective. Toppan Merrill is that trusted partner.
Key Actions in the Initial Public Offering Process
Pre-Registration
Commence Due Diligence
- Choose Datasite to create the virtual due diligence library to facilitate the discovery and research needed throughout the lifecycle of the IPO.
Complete the Preparation of Audited Financial Statements
- Select Toppan Merrill Bridge platform to facilitate the drafting of your audited financial report, that can be utilized during the entire IPO process and prepare you for post-IPO SEC periodic reporting.
Select Underwriters, Financial Printer, Stock Exchange, etc.
- Employ Toppan Merrill as your financial printer. Our seasoned team will provide expert guidance at every step in the process where you need our services.
Review and Update Corporate Governance, Policies and Structure
- Choose the Toppan Merrill SOX Automation platform to proactively demonstrate SOX compliance and risk mitigation before your IPO, showing commitment of transparency and accuracy to your potential investors.
Establish and Optimize Investor Relations Responsibilities
- Consult the Toppan Merrill shareholder communications advisory team for support in building an effective proxy and ESG communications program.
Prepare and Submit Initial Confidential Registration Statement and Exhibits with the SEC
- Engage Toppan Merrill customer service to:
- Provide composition services.
- Facilitate the working group drafting sessions.
- Prepare the registration statement and exhibits.
- EDGARize and file with the SEC.
Registration period
Respond to SEC Comments and Amend Registration Statements Until Effectiveness
- Continue utilizing Toppan Merrill composition, EDGAR filing, print and distribution services.
Secure Stock Exchange Listing Approval, Select Transfer Agent
- Consult with the Toppan Merrill proxy advisory team for best practices on communicating to shareholders post-IPO.
- Meet with Toppan Merrill design and advisory team to seek support in drafting ESG reporting and future proxy statements.
Conclude and Execute Corporate Governance Policies and Structure
- Continue building the Toppan Merrill SOX Automation platform to maintain efficiency, transparency and predictability within your SOX program.
Roadshow Preparation and Execution
- Benefit from the dedicated project management service team at Toppan Merrill to deliver a preliminary prospectus to investors.
File Form 3’s with the SEC
- Begin utilizing SEC Connect to process Section 16 filings.
Go Effective, Price the Offering and File Final Prospectus
- Leverage Toppan Merrill solutions to finalize the SEC registration process, and manage ongoing SEC compliance.
Toppan Merrill can assess and optimize your IPO readiness
We complete over 62,000 SEC filings each year and have supported thousands of securities registrations over the past 55+ years. We understand the need for speed and accuracy, as well as the significant impact that expertise can have on vital capital markets transactions. To benefit from some of that expertise, download a free copy of the Guide to the Initial Public Offering, created in partnership with Goodwin, to gain a deeper understanding of navigating the IPO process. Alternatively, download a free copy of the IPO Infographic for an overview of the key actions.
Learn more about our IPO filing solutions or connect with one of our experts at [email protected] or by calling 800.688.4400.
