INTRODUCTION:

The Private Placement Equity Markets offer Growth Stage and Development Stage Companies the opportunity to obtain equity capital from Institutional Investors at a much earlier stage, and in a much faster time-frame,  than is currently possible in any other venue.

This is due in large part to the fact that the Private Placement Equity Markets work exclusively with Qualified Institutional Buyers ("QIBs"). This means that access is limited to QIBs only (No Crowdfunding, No Individual Investors, No Fee Seeking Capital Brokers, No Broker Chains, etc.), and that the Private Placement Equity Markets can rely more on full disclosure than prescriptive regulations for investor protection purposes.

A few examples of QIBs (all QIBs are subject to minimum AUM requirements as detailed in each Debt Market's Rulesbook):

  • SEC / FINRA Registered Investment Advisory Firms

  • SEC / FINRA Registered Broker Dealers

  • The Federal Reserve Bank

  • Family Offices

  • Hedge Funds

  • Life Insurance Companies

  • Pension Fund Managers

  • Mutual Funds

  • Select REITs

  • Select Private Equity Firms

  • Select Venture Capital Firms

  • Select Investment Banking Firms 

  • Select Asset Management Firms

  • Select Foundation & Endowments

  • Select EB-5 Regional Processing Centers (limited access)

Subject to this restriction a company does not have to have any minimum track record, market capitalization, free float or profitability in order to qualify for a listing on the Private Placement Equity Markets. However, once a Company's Equities are listed on the Private Placement Equity Markets, the company has all the profile and prestige of being a "quasi publicly-listed entity", without having to conduct a retail IPO or be subjected to public financial disclosures.

In effect, the Private Placement Equity Markets provides a form of “Listed Private Equity Capital” with greater Institutional Investment Banking Community visibility and marketability, while at the same time exposing management to the process of complying with a sophisticated financial offering.

The Private Placement Equity Markets thus sit perfectly -- and bridge the gap -- between a company’s private placements to secure equity capital and a full public offering.

"Listed Equities" on the Private Placement Equity Markets are more attractive to Institutional Investors both inside and outside of the United States. The Private Placement Equity Markets provide an open market facility for QIBs. Though it is unlikely that a highly-liquid secondary market in these equity instruments will exist, the Private Placement Equity Markets do create the mechanism for trading -- representing an important "exit strategy" for QIBs. Though CrowdFunders talk (and talk....) about an ability to trade their Reg D Shares on some secondary market, but a seller must have a willing and capable buyer, and those are very, very few in the CorwdFunding World. The Private Placement Equity Markets' - Capital Partners have access to more than 100,000 terminals worldwide to facilitate both the Primary Market and the Secondary Market of the Private Placement Equity Markets. 

CONCLUSION:

The Private Placement Equity Markets aim to be a logical first step for issuers who wish to eventually list on another traditional market (see www.PPMSecurities.com, "Capital Markets"), and the Private Placement Equity Markets create a clear "Roadmap" for that listing.

 

Private companies can list on the Private Placement Equity Markets at the earliest stage. Once they reach the minimum standards required they can move up, and thus prepare themselves properly for a full IPO. The Private Placement Equity Markets plan to further develop its equity markets to "groom" high-potential early-stage companies so that they can eventually meet the full listing standards of a traditional stock exchange they choose for their ultimate IPO (e.g. adopting a big six accounting firm and a proper Board of Directors).

REQUIREMENTS:

A Private Offering Memorandum that is both Federally Compliant with all Rules and Regulations, and is also compliant with the Primary and Secondary Market Rules of the Private Placement Equity Markets. The Private Placement Equity Markets accept Private Placement Offerings under the Following Exemptions:

  • Regulation D, 504 Offering

  • Regulation D, 506 Offering

  • Regulation A+, Tier 1 Offering

  • Regulation A+, Tier 2 Offering

  • Regulation S Offering

  • EB-5 Offering

  • Rule 144a Offering

  • PIPE Offering

  • Security Token Offering (must be a convertible, see www.PPMSecurities.com, "Token Offering")

  • Family of Notes Offering

  • California Intra-State Offering (CA-1001)

  • Additional Information on each of these types of Offerings is available at www.PPMSecurites.com

Pre-Regulated Market Listing for Capitalization Commitments is available for the following Types of Offerings (Primary Market Only):

  • F-1 Registration & Early Shares

  • S-1 Registration & Early Shares

  • S-3 Registration & Early Shares

  • S-6 Registration & Early Shares

  • S-11 REIT Registration & Early Shares

  • 424B Registration & Early Shares 

  • 20-F Registration & Early Shares

  • N-1A Mutual Fund Registration & Early Shares

  • N-2 Closed-End Fund Registration & Early Shares

  • N-14 Registration & Early Shares

FEES: There are no Market Listing Fees or Application Fees associated with the Private Placement Equity Market. All costs of the Private Placement Equity Market are paid by the Market Participants (Capital Partners / Investors) who access the Private Placement Equity Markets.

ACCESS is strictly limited to Members of the following (no exceptions): SEC / FINRA Registered Investment Advisors or Broker Dealers, Select Hedge Fund Managers, Select Life Insurance Company Asset Managers, Certain Accredited Investors (under the advisement of a FINRA / SEC Registered Investment Advisor or Broker Dealer), Select Pension Fund Asset Managers, Select Mutual Fund Asset Managers, Members of Select Investment Banking Firms, Select Foundation Asset Managers, Select Endowment Asset Managers, Select Venture Capital Firms, Select Real Estate Equity Firms, Select Real Estate Investment Trust Asset Managers, and Select International Investors associated with a properly registered EB-5 Visa Processing Center.

 

The Private Placement Markets does not, and will not, accept any ventures submitted by "brokers", unless those brokers are Registered Members of FINRA (BrokerCheck.com). All ventures submitted for consideration MUST be ONLY from the Entrepreneur or a Properly Registered Member of FINRA. 

The Private Placement Markets do not, and will not, consider any venture that is currently part of any Equity CrowdFunding Campaign. 

Private Placement Markets, LLC ("Private Placement Markets"), a Delaware Limited Liability Company, is a Private Placement Equity Underwriter and an Investor Relations Firm. The Private Placement Markets do not offer, and do not offer to provide any broker dealer or market maker services (through broker dealers and market makers are trading members of Private Placement Markets, trading both for their own accounts and/or client's accounts). The Members of the Private Placement Markets operate this website (referred to as the “Website”). By accessing this Website and any pages thereof, you agree to be bound by its Terms of Use and Privacy Policy. Past performance is no guarantee of future results. Any historical returns, expected returns, or probability projections may not reflect actual future performance. The Private Placement Markets, and/or any of its members, do not provide financial planning services. The Private Placement Markets, and/or any of its members, do not provide tax advice and do not represent in any manner that any of the outcomes described herein will result in any particular tax consequence. The Private Placement Markets Participants should conduct their own due diligence, not rely on the financial assumptions or estimates displayed on this Website, and are encouraged to consult with their own financial advisor, attorney, accountant, and any other professional that can help you / them to understand and assess the risks associated with any Private Placement Investment Opportunity.

Access to Investment / Lending pages and access to all Due Diligence pages is strictly limited to: Select Members of Family Offices, SEC or FINRA Registered Investment Advisors or Broker Dealers, Hedge Funds, Life Insurance Asset Managers, Certain Accredited Investors (under the advisement of a FINRA Registered Financial Advisor or Broker Dealer), Pension Fund Managers, Foundations, Endowments, Certain Venture Capital Firms, Real Estate Private Equity Firms and Real Estate Investment Trust Asset Managers. No Member of the Private Placement Markets is associated with any CrowdFunding Sites, and no member of the Private Placement Markets provides any CrowdFunding Services. Private Placement Markets is not a registered broker-dealer, funding portal, investment adviser or investment manager, and is not providing brokerage or investment advice to any person, and does not provide any brokerage services. Private Placement Markets takes no part in the negotiation or execution of primary or secondary market transactions for the purchase or sale of securities and at no time has possession of investor funds or securities in connection with such transactions

© 2019 by Private Placement Markets and Steve Muehler