Essentials of Corporate and Capital Formation by David H. Fater

Essentials of Corporate and Capital Formation by David H. Fater
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Essentials of Corporate and Capital Formation

by David H. Fater


Adobe E-Book 224 pages January 2010

A simple and effective guide to the mechanics of finance and corporate structure

Corporate structure and finance has become complicated in today's times and even more so by the current market turbulence. Essentials of Corporate and Capital Formation enables you to decide on the appropriate structure by which to form a business, identifies capital raising alternatives, and supplies sample documents to comply with applicable state and federal securities laws.

Explains ways to form a business and finance it

Reveals how to avoid securities laws pitfalls

Practical terms and examples of the necessary mechanics of finance and corporate structure

Helps analyze the decision to "go public" and provides pointers on operating a public company

With coverage of private equity, public markets, mezzanine debt, common stock, debt vs. equity, and much more, Essentials of Corporate and Capital Formation shows entrepreneurs and business managers how to identify the ways to structure a business entity and raise the necessary capital in the appropriate form with a minimum of disruption and assistance from outside advisors.


DAVID H. FATER is the founder and CEO of ALDA & Associates International, Inc., a business and financial consulting company specializing in providing assistance to companies related to financing, strategic planning, restructurings, mergers and acquisitions, and operations. In addition, he is the Chairman, President, and CEO of Vicor Technologies, Inc., a public medical diagnostics company, where he is responsible for overseeing the planning, direction, finance and management of the company including research and development, clinical trial activities, and business and product development.


Preface. About the Web Site.


1 Corporate Structure.



Limited Partnerships.

Limited Liability Companies.

Operating Agreement.




2 Initial Capital Formation.


Other Forms of Straight Debt.

Convertible Debt.

Mezzanine or Hybrid Debt.


Common Stock.

Preferred Stock.

Convertible Preferred Stock.

Mandatory Redeemable Preferred Stock.



3 Finding the Capital.

Are There Really Angels in Heaven?

Venture Capital.

Private Placements.


4 Pitfalls.

Regulation 506 D: Areas of Opportunity and Uncertainty.

Subscription Documents.

Investor Count.

Risk Factors.

Offering Documents.

Form D.

Placement Agents and Finders.

Romanian Raise.


5 Public Markets: Are They Right For You?

What It Means to Become a Public Company.

Benefits and Opportunities.


Decision to Go Public.

Advance Planning.


6 Entering the Public Markets Conventionally.

Formal Process: Underwriting.

Who Gets Involved?

Underwriting the Offering.

Selecting the Underwriters.

Beauty Contest.

Working with the Underwriters.

Registration Process.

Due Diligence.

Filing and the SEC.

Completing the Offering.



7 The Public Marketsí¬Other Issues.

Reverse Merger (Shell Game).

Transaction Process.



Pump and Dump.

Taking Appropriate Precautions.

Making the Shares Trade.

Operating a Public Company.


8 Exit Strategies.

What Is an Exit Strategy?

Role of Management.

Entrepreneur versus Executive.

Determination of Goals and Direction of the Company.

Evolution of Executive Concerns.

Development of the Strategic Plan.

Why Is Strategic Planning Important?

Real Exit.


Historical Financial Statements.

Quality of Earnings.

Meeting with the Auditors.

Forecasts and Projections.

Structuring the Deal.

Allocating Purchase Price.

Financial Covenants.

Debt Repayment Schedule.

Reporting Requirements.

Management and Administration.

Transaction (Closing).


9 Success In the Real World.

Formation Process.

Capital Raising.

Capital Sources.

Going Public.


About the Author.