Investment Research

Best Document to Read when Starting on a Company

Read the S-1 filing, its the best! =) S-1 is the registration statement filed by a company when it first gets listed – tells you alot about the company. The S-1 typically gets filed before the prospectus (Form 424B) gets available to the public. Note that depending on the type of company, the form might be S-xx. E.g. for a mortgage REIT, they file form S-11.

Some sample categories of stuff in the S-1:

  • Prospectus summary
  • Risk factors
  • Use of proceeds
  • Dividend policy
  • Capitalization
  • Dilution
  • Selected Financial Data
  • Management’s Discussion and Analysis
  • Business
  • Management
  • Principal shareholders
  • Underwriting
  • etc.


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