Closing Checklist (Follow-on Public Equity Offering; Non-Shelf)

Summary

This closing checklist covers documents commonly used in a typical follow-on non-shelf registered offering of equity securities. The checklist assumes that the transaction consists of a primary offering by the issuer and that the over-allotment option is exercised by the underwriters at the closing of the offering. This checklist should be tailored to reflect the type of the issuer and specific details of the intended offering. The Status/Notes column contains links to practical guidance and sample forms, where available.