Conor Teevan Security Lawyer for Phoenix, AZ
Seth Wiener Security Lawyer for Phoenix, AZ
Michael Davis Security Lawyer for Phoenix, AZ
Justin Kline Security Lawyer for Phoenix, AZ
Maudia Washington Security Lawyer for Phoenix, AZ
Shawn G. Rice Security Lawyer for Phoenix, AZ
Alexander Maniscalco Security Lawyer for Phoenix, AZ
Erik P. Weingold Security Lawyer for Phoenix, AZ
Patrick Bello Security Lawyer for Phoenix, AZ
Phoenix Securities Lawyers
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- 4 min read
What does a 409A Valuation Mean?
A 409A Valuation is a formal report that sets the current value of your company's common stock and the strike price to exercise an option to purchase that stock.
Typically a company hires a professional appraiser to prepare the report since stock options set at a strike price below the current value of the common stock can result in large tax penalties to the option recipients.
Section 409A of the U.S. tax law requires that the strike price (the set future price per share to exercise a stock option) not be lower than the current real value of a share of the company's stock on the day the stock option is issued (the "grant date").
What is 409A?
409A is a section of the U.S. tax law that contains rules about the stock options so
- 4 min read
If your company sells securities, you have a duty to keep investors informed. Often, this is done through your quarterly and annual reports. Other events may need to be reported on Form 8-K.
What Is Form 8-K?
The form's official title is "Form 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934." It is used to report material events affecting a company subject to SEC oversight.
An event is material when it could affect a reasonable shareholder's investment decision. This includes:
- 8 min read
What is a Portfolio Company?
A portfolio company is a term used to describe a company in which investors own equity in a company or buy out a company. The goal of the investor is to increase the value of the portfolio company and earn a return on their initial investment.
The investment could be in the form of private equity in established companies or venture capital in companies just starting out. One portfolio company usually forms part of a group of companies in the investor's full portfolio.
Who Invests in Portfolio Companies?
Portfolio companies are used by venture capital firms, private equity firms, and other financial investment firms. Some firms build a portfolio of companies that specialize in a specific sector, such as science or engineering. Others have a diverse mix of portfolios.
- 5 min read
What is Convertible Preferred Stock?
Convertible preferred stock is a type of preferred stock that gives holders the option to convert their preferred shares into a fixed number of common shares after a specified date. It is a hybrid type of security that has features of both debt (from its fixed guaranteed dividend payment) and equity (from its ability to convert into common stock).
All stocks represent a portion of the ownership of a company. They can be divided into different types. Common stock is the most common, as the name suggests, followed by preferred stock.
Preferred stock can also be further divided into different types, including cumulative preferred, callable preferred, participating pre