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By Dr. David Edward Marcinko; MBA MEd
SPONSOR: http://www.MarcinkoAssociates.com
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IPO Lockup agreements prohibit company insiders—including employees, their friends and family, and venture capitalists—from selling their shares for a set period of time. In other words, the shares are “locked up.” Before a company goes public, the company and its underwriter typically enter into a lockup agreement to ensure that shares owned by these insiders don’t enter the public market too soon after the offering. The terms of lockup agreements may vary, but most prevent insiders from selling their shares for 180 days.
Lockups also may limit the number of shares that can be sold over a designated period of time. U.S. securities laws require a company using a lockup to disclose the terms in its registration documents, including its prospectus. Some states require lockup agreements under their “blue-sky” laws. If you are considering investing in a company that has recently conducted an initial public offering, you should determine whether the company has a lockup and when it expires. This is important information because a company’s stock price may drop in anticipation that locked up shares will be sold into the market when the lockup ends.
To find out whether a company has a lockup agreement, contact the company’s shareholder relations department to ask for its prospectus or obtain it online through the SEC’s EDGAR database. There are also free commercial websites that track when companies’ lockup agreements expire. The SEC does not endorse these websites and makes no representation about any of the information or services contained on these websites.
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SPEAKING: Dr. Marcinko will be speaking and lecturing, signing and opining, teaching and preaching, storming and performing at many locations throughout the USA this year! His tour of witty and serious pontifications may be scheduled on a planned or ad-hoc basis; for public or private meetings and gatherings; formally, informally, or over lunch or dinner. All medical societies, financial advisory firms or Broker-Dealers are encouraged to submit an RFP for speaking engagements: CONTACT: Ann Miller RN MHA at MarcinkoAdvisors1738@outlook.com -OR- http://www.MarcinkoAssociates.com
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CLINICS: http://www.crcpress.com/product/isbn/9781439879900
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FINANCE:Financial Planning for Physicians and Advisors
INSURANCE:Risk Management and Insurance Strategies for Physicians and Advisors
Dictionary of Health Economics and Finance
Dictionary of Health Information Technology and Security
Dictionary of Health Insurance and Managed Care
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