What is Form S 1?

Form S-1 refers to the registration statement that a corporation needs to file with the SEC before issuing securities to the public. It is the primary filing document that contains all the information that potential investors would require prior to the public trading of the company’s securities.

This form is used in accordance with the Securities Act of 1933 when a corporation registers its securities but does not fall under the category of any simplified or abbreviated registration form. Form S-1 may also be referred to as “S-1 filing,” “registration statement,” or simply “S-1.”

Who Needs to File Form S 1?

• By companies that conduct an IPO through a U.S. stock exchange such as NYSE or Nasdaq
• By companies that register their securities for sale, like the stocks held by their founders and early employees
• By companies that make a follow-up offering of newly issued securities which are not yet registered

Foreign private issuers are supposed to file Form F-1 instead of Form S-1. Small issuers who raise a small amount of funds can utilize Form 1-A (Regulation A+).

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