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Strategies & Market Trends : Floorless Preferred Stock/Debenture
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To: Larry Brubaker who wrote (801)8/7/1999 9:50:00 PM
From: Puck  Read Replies (2) of 1438
 
The nature of the equity or equity derivative issued, whether it be common stock, convertible debentures, warrants, etc. (all considered to be equivalent within the context of the rules governing Reg. S), is irrespective of the regulation it is issued under. Reg. S is still alive and well. A Reg. S issuance could be any of the above and simply means that the equity or equity derivative was sold under a certain set of conditions: offershore, with no registration, and with certain restrictions on its re-sale for the first year after issuance. Beginning this year, a new SEC ammendment to Reg. S became effective extending the "restricted period", renamed the "distribution compliance period", from 40 days to one year.
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