S-1 — Document filed with the Securities and Exchange Commission announcing a company's intent to go public. Includes the prospectus; also called the registration statement.
ENTI has not filed audited financials for 3 years either
MoneyCentral IPO Center takes you inside the most important document available to IPO investors. The US Securities and Exchange Commission (SEC), exhibiting little marketing panache, calls this fascinating document "Form S-1." The starting point for any foray into new-stock investing is the S-1.
Companies use the S-1 registration statement to make disclosures, as required under the Securities Act of 1993, for a public offering of securities. The securities can include, for example, equities (common or preferred stock), warrants, debt offerings, or a combination of these. A company making a public offering is exempted from filing an S-1 (and gets to file a kinder, gentler form) only if it has been filing annual (10-K) and quarterly (10-Q) reports with the SEC for at least three years and meets certain additional criteria. For that reason, an S-1 filing company is sometimes called "unseasoned," but that term only refers to its trading history as an individual company. Although a firm filing an S-1 can be a fledgling company with few employees such as Enamelon, Inc., it can also be a large division, such as Lucent Technologies, being spun off of a public company, or a prominent private firm, such as Hambrecht & Quist.
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