-
PEARSON, SIMON, WARSHAW & PENNY, LLP
George S. Trevor, 415-433-9000
-
Each applicant seeks an order declaring that it has ceased to be an investment company. Applicants have never made a public offering of their securities and do not propose to make a public offering. EM Capital Management, LLC represents that it filed to register as an investment company in error and that it is not, and does not intend to operate as, an investment company. EM Capital Management, LLC will continue to operate as an investment adviser. Global Investor Trust will continue to operate as a private investment fund in reliance on section 3(c)(1) or 3(c)(7) of the Act. Filing Dates: The applications were filed on October 31, 2012. Global Investor Trust filed an amended application on November 30, 2012. EM Capital Management, LLC filed amended applications on December 3, 2012 and ...
-
LITITZ, Pa. -- Susquehanna Bancshares, Inc. ("Susquehanna") (NASDAQ:SUSQ) announced today that it has priced an underwritten public offering of 37,500...
-
As recent scandals have demonstrated, ensuring the independence of auditors from the publicly traded clients whose books they inspect is one of the most vexing problems in the financial world today. Arguably, the imposition of a mandatory audit system through the 1930s federal securities laws created the modern problem of auditor independence. The core issue is that the statutory audit is simply a commodified cost of doing business for issuers that imposes an impossible obligation to serve an unspecified investing public on the auditors. Yet, this investing public neither hires, fires, nor controls the auditors. Instead, the audit relationship is managed by the board of the company being audited. The resultant conflict of interest has proven to be insurmountable even after multiple refo...
... what would now be deemed a "public offering" of stock (what I am calling the "offering audit")...
-
Business Editors/High-Tech Writers
ANCHORAGE, Alaska--(BUSINESS WIRE)--April 12, 2004
Proposes Reclassification of Outstanding Common Stock Into
...
-
WPX Energy files IPO registration statement
WPX Energy Inc., a subsidiary of Tulsa-based Williams, has filed a registration statement with the Securities and Exchange Commission for an initial public offering of common stock.
-
PHILADELPHIA, June 14 /PRNewswire-FirstCall/ -- Lincoln Financial Group (NYSE: LNC) today announced that, after consultation with the Office of Thrift Supervision, it is conducting a public offering of equity and debt securities as part of a plan to fully repurchase the $950 million of Lincoln Financial's preferred shares issued to the U.S. Treasury under the Treasury's Capital Purchase Program (CPP). The offerings announced today will consist of $335 million of common stock and up to $750 million of senior notes.
Lincoln Financial intends to repurchase the $950 million of preferred shares with net proceeds from a $335 million common stock offering, net proceeds from a $250 million senior notes offering and cash currently held at the holding company. In addition, net proceeds from a sen...
-
SPOKANE, Wash. -- AmericanWest Bancorporation (NASDAQ: AWBC) today announced that it has formed a new Delaware statutory trust subsidiary, AmericanWes...
-
NEW YORK -- Broadpoint Gleacher Securities Group, Inc. (NASDAQ: BPSG) announced today the pricing of an underwritten public offering of its common sto...
-
McJunkin files for $100 million offering
MRC Global Inc., formerly McJunkin Red Man Holding Corp., announced it has filed a registration statement with the federal Securities and Exchange Commission for an initial public offering of stock.