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JP Capital Assets, Inc. has a full suite of administrative and settlement support
resources for executing both private and public transactions involving restricted securities.
We have the expertise to handle even the most complex transactions efficiently. Our team manages the entire process, from pre-sale due diligence through execution and settlement, to ensure regulatory compliance and the most efficient settlement possible.
* Pre-sale due diligence. Working with the issuer, issuer’s counsel and the shareholder,
JPCA helps determine the salability of the securities and which exemption – Rule 144, Rule 144(k), Prospectus Sale or Section 4(1) – is best suited for, and available to, the shareholder. This process virtually eliminates the risk of trading errors, which can be costly and may damage client relationships.
* Execution. JPCA provides execution advice to ensure compliance with SEC requirements governing the sale of restricted securities, such as volume limitations and general solicitation rules.
* Documentation. JPCA ensures compliance with all SEC documentation requirements, such as filing Form 144, the SEC public disclosure requirement, which must be filed properly and on time for the exemption to be valid.
* Settlement. JPCA extensive network of issuers, issuer counsel, third-party counsel, transfer agents and back-office contacts provide the quickest settlements possible on restricted securities transactions – both public and private.
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