Regulation S-K

Form 8.3 - The Vanguard Group, Inc.: Willis Towers Watson plc

Retrieved on: 
Wednesday, March 17, 2021
Financial law, Stock market, Security, Derivative, Electronic voting, Finance, Group decision-making, Articles, Regulation S-K

Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.

Key Points: 
  • Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.
  • If none, this should be stated.

Form 8.3 - The Vanguard Group, Inc.: Aon plc

Retrieved on: 
Wednesday, March 17, 2021
Financial law, Stock market, Security, Derivative, Electronic voting, Finance, Group decision-making, Articles, Regulation S-K

Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.

Key Points: 
  • Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.
  • If none, this should be stated.

Cyclacel Pharmaceuticals Announces Closing of $14.5 Million Underwritten Public Offering and Full Exercise of Over-Allotment Option

Retrieved on: 
Tuesday, March 16, 2021
Initial public offering, Financial economics, Finance, Money, Financial markets, Prospectus, SEC filings, Public offering, Underwriting, Red herring prospectus, Regulation S-K

The gross proceeds to the Company from this offering are approximately $14.5 million, before deducting underwriting discounts and commissions and other estimated offering expenses payable by the Company.

Key Points: 
  • The gross proceeds to the Company from this offering are approximately $14.5 million, before deducting underwriting discounts and commissions and other estimated offering expenses payable by the Company.
  • Oppenheimer & Co. Inc. acted as the sole book-running manager, and LadenburgThalmann & Co. Inc., RothCapital Partners, and BrooklineCapital Markets, a division of Arcadia Securities, LLC acted as co-managers for the public offering.
  • A preliminary prospectus supplement relating to the offering was filed with theSEConMarch 11, 2021and is available on the SECs website at www.sec.gov .
  • The final prospectus supplement relating to the offering was filed with the SEC and is available on the SECs web site atwww.sec.gov.

 MediaAlpha Files Registration Statement for Secondary Offering

Retrieved on: 
Tuesday, March 16, 2021
Professional services, Finance, Financial markets, Stock market, Finance, Financial economics, Stock, Security, Red herring prospectus, Regulation S-K

MediaAlpha, Inc. (MediaAlpha) (NYSE: MAX) today announced that it publicly filed a registration statement on Form S-1 with the U.S. Securities and Exchange Commission (SEC) relating to a proposed secondary offering of up to 7,000,000 shares (not including shares subject to the underwriters option to purchase additional shares) of its Class A common stock by certain selling stockholders.

Key Points: 
  • MediaAlpha, Inc. (MediaAlpha) (NYSE: MAX) today announced that it publicly filed a registration statement on Form S-1 with the U.S. Securities and Exchange Commission (SEC) relating to a proposed secondary offering of up to 7,000,000 shares (not including shares subject to the underwriters option to purchase additional shares) of its Class A common stock by certain selling stockholders.
  • MediaAlpha is not offering any shares of Class A common stock in the offering.
  • The offering is subject to market and other conditions, and there can be no assurance as to whether or when the offering may be completed, or as to the actual size or terms of the offering.
  • These securities may not be sold nor may offers to buy be accepted prior to the time the registration statement becomes effective.

Form 8.3 - The Vanguard Group, Inc.: Aon plc

Retrieved on: 
Tuesday, March 16, 2021
Financial law, Stock market, Security, Derivative, Electronic voting, Finance, Group decision-making, Articles, Regulation S-K

Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.

Key Points: 
  • Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.
  • If none, this should be stated.

Form 8.3 - The Vanguard Group, Inc.: Willis Towers Watson plc

Retrieved on: 
Tuesday, March 16, 2021
Financial law, Stock market, Security, Derivative, Electronic voting, Finance, Group decision-making, Articles, Regulation S-K

Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.

Key Points: 
  • Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.
  • If none, this should be stated.

Form 8.3 - The Vanguard Group, Inc.: Willis Towers Watson plc

Retrieved on: 
Monday, March 15, 2021
Financial law, Stock market, Security, Derivative, Electronic voting, Finance, Group decision-making, Articles, Regulation S-K

Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.

Key Points: 
  • Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.
  • If none, this should be stated.

Form 8.3 - The Vanguard Group, Inc.: Aon plc

Retrieved on: 
Monday, March 15, 2021
Financial law, Stock market, Security, Derivative, Electronic voting, Finance, Group decision-making, Articles, Regulation S-K

Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.

Key Points: 
  • Full details of any agreement, arrangement or understanding between the person disclosing and any other person relating to the voting rights of any relevant securities under any option referred to on this form or relating to the voting rights or future acquisition or disposal of any relevant securities to which any derivative referred to on this form is referenced.
  • If none, this should be stated.

Oculus Announces Subsidiary Name Change to ComplyTrust(TM)

Retrieved on: 
Monday, March 15, 2021
SEC filings, Communication, Forward-looking statement, United States Securities Regulation, System for Electronic Document Analysis and Retrieval, Private Securities Litigation Reform Act, United States securities law, Articles, Information, Federal government of the United States, Regulation S-K

This news release contains forward-looking statements and information within the meaning of applicable securities laws (collectively, "forward-looking statements"), including the United States Private Securities Litigation Reform Act of 1995.

Key Points: 
  • This news release contains forward-looking statements and information within the meaning of applicable securities laws (collectively, "forward-looking statements"), including the United States Private Securities Litigation Reform Act of 1995.
  • All statements in this news release which are not purely historical are forward-looking statements and include any statements regarding beliefs, plans, expectations, or intentions regarding the future.
  • Such forward-looking statements include, among others, statements as to the intended uses of the proceeds received from the Offering.
  • These reports and Oculus' public filings are available at www.sec.gov in the United States and www.sedar.com in Canada.

Ivanhoe Mines Announces Exercise in Full of Over-Allotment Option Increasing the Size of the Offering of Convertible Senior Notes to US$575,000,000

Retrieved on: 
Monday, March 15, 2021
Finance, Money, Financial markets, Corporate finance, Stock market, Initial public offering, Prospectus, Private placement, Stock, Regulation S-K, Venture round

The Offering, including the additional Notes, is expected to close on or about March 17, 2021, subject to various closing conditions, including the approval of the Toronto Stock Exchange.

Key Points: 
  • The Offering, including the additional Notes, is expected to close on or about March 17, 2021, subject to various closing conditions, including the approval of the Toronto Stock Exchange.
  • Upon conversion, the Notes may be settled, at the company's election, in cash, Common Shares or a combination thereof.
  • The company intends to use the net proceeds from the Offering for general corporate purposes.
  • The Notes are being offered on a private placement basis and are not being offered by way of a prospectus in Canada.