| Term |
Definition (Partial. Please click the term itself to see the entire definition) |
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No. of Comments |
| 144 Stock |
See `Rule 144 Stock’. ... |
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0 |
| 1933 Act (or ‘33 Act) |
See `Securities Act of 1933’. ... |
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0 |
| 1934 Act (or ‘34 Act) |
See `Securities Exchange Act of 1934’. ... |
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0 |
| 3X (or 4X, 5X, etc.) |
A term which means that investors who purchase the... |
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0 |
| 401(k) |
A type of qualified retirement plan in which emplo... |
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0 |
| 83(b) Election |
(USA) An election by an employee to treat property... |
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0 |
| ABI |
(UK) Association of British Insurers. The “trade” ... |
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0 |
| Acceleration Order |
(USA) An order by the SEC declaring a registration... |
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0 |
| Acceleration Request |
(USA) A letter (or in some cases, oral communicati... |
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0 |
| Accountant’s Letter |
See `Accountant’s Opinion’. ... |
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0 |
| Accountant’s Opinion |
A report signed by an independent accountant, whic... |
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0 |
| Accredited Investor |
(USA) A term defined in Regulation D under the Sec... |
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0 |
| Accreted Value |
The theoretical price a bond would sell at if mark... |
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0 |
| Accrual Basis |
Accounting method in which income and expenses are... |
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0 |
| Accrued Expenses |
Expenses which are incurred, but for which payment... |
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0 |
| Accrued Market Discount |
An increase in the market price of a discounted bo... |
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0 |
| Accumulated Earnings Tax |
An additional tax on earnings that a business reta... |
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0 |
| Accumulated Profits Tax |
See `Accumulated Earnings Tax’. ... |
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0 |
| Acid Test Ratio |
See `Quick Ratio’. ... |
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0 |
| AD&D |
Accidental Death and Dismemberment. A type of insu... |
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0 |
| ADA |
Americans with Disabilities Act of 1990.... |
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0 |
| Adjustable Rate Preferred Stock |
Preferred stock whose dividend rate changes period... |
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0 |
| ADR or ADS |
(American Depositary Receipts or American Deposita... |
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0 |
| ADV Form |
(USA) The form required to be filed with the SEC i... |
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0 |
| Affiliate |
(USA) A person that controls, is controlled by, or... |
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0 |
| Aftermarket |
The trading activity in a security following its p... |
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0 |
| All Hands Meeting |
A meeting during the public offering process atten... |
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0 |
| All-or-None |
An offering of securities which provides that unle... |
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0 |
| Alternative Investment Market (AIM) |
The London Stock Exchange’s market for new, fast g... |
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0 |
| AMEX |
(American Stock Exchange)
(USA) An exchange or... |
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0 |
| Analyst |
A research analyst usually employed by an investme... |
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0 |
| Angel |
A person or entity that provides financing to comp... |
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0 |
| Anti-dilution Provisions |
Provisions in an option or a convertible security ... |
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0 |
| Anti-dilution, Full Ratchet |
Anti-dilution provisions that apply the lowest sal... |
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0 |
| Anti-dilution, Weighted Average |
Anti-dilution provisions that apply a weighted ave... |
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0 |
| Anti-flowback Rules |
(USA) SEC rules under Regulation S that apply to o... |
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0 |
| Anti-take-over Provisions |
Provisions in a company’s charter and by-laws that... |
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0 |
| Antitrust Laws |
(USA) The United States laws regulating competitio... |
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0 |
| Arrearage |
Unpaid dividends due to holders of preferred stock... |
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0 |
| ASB |
(UK) Accounting Standards Board. See also IASB, FA... |
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0 |
| Audit Committee |
A committee of the board of directors responsible ... |
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0 |
| AWARD |
shares (conditional or restricted basis)... |
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0 |
| Back dating |
Generally means the practice of changing the grant... |
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0 |
| Backdoor Listing |
A technique used by a private company to become a ... |
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0 |
| Balloon Note |
A form of promissory note requiring repayment of l... |
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0 |
| Balloon Payment |
The final payment under a balloon note, commonly r... |
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0 |
| Basis |
An investor’s total investment in an asset, includ... |
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0 |
| Basis Point |
One hundredth of a percent (0.01%). Used to measur... |
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0 |
| Bearer Securities |
Shares of capital stock or bonds evidenced by cert... |
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0 |
| Beneficial Owner |
The person who enjoys the economic benefits of own... |
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0 |
| Best Efforts Underwriting |
An underwriting arrangement in which an underwrite... |
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0 |
| Best Execution Requirement |
The obligation of market makers, broker/dealers, a... |
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0 |
| Beta |
A statistical measure of a security’s volatility a... |
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0 |
| Bid Offer Spread (UK) |
The difference between quoted prices for a securit... |
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0 |
| Black-Scholes Formula |
A statistical method of estimating the present val... |
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0 |
| Blank Cheque Preferred Stock |
Authorised preferred stock, the terms of which are... |
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0 |
| Blue Chip |
Stock of a large company with a solid record of st... |
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0 |
| Blue Sky Law |
(USA) State laws regulating the offer and sale of ... |
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0 |
| Board Minutes |
Minutes of the meetings of the board of directors,... |
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0 |
| Bond |
A debt obligation, often secured by a mortgage on ... |
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0 |
| Book Manager |
The lead managing underwriter who maintains the Bo... |
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0 |
| Book or Syndicate Book |
The list of investors who have indicated an intere... |
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0 |
| Book Value per Share |
A company’s net worth (assets minus liabilities) d... |
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0 |
| Book-Entry Securities |
Securities whose ownership are evidenced by an ent... |
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0 |
| Bookbuilding |
Process pursuant to which the lead underwriter(s) ... |
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0 |
| Bookrunner |
The underwriter in charge of the bookbuilding proc... |
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1 |
| Bridge Loan, Bridge Financing or Bridge Round |
A loan or equity investment to provide financing f... |
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0 |
| Bring-along Rights |
Contractual rights pursuant to which minority shar... |
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0 |
| Bring-down Letter |
A letter confirming, as of a later date (usually t... |
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0 |
| Broker |
One who acts as an intermediary between the buyer ... |
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0 |
| Broker/Dealer |
Any individual or firm, other than a bank, which i... |
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0 |
| Brokerage |
1. Activity of a broker.
2. Remuneration of a... |
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0 |
| Burn Rate |
In venture capital financing, the rate at which a ... |
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0 |
| Buy Side or Buy Side Trader |
The individual within an institutional investor wh... |
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0 |
| Buyback |
A corporation’s repurchase of stock or bonds it ha... |
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0 |
| Buying on Margin |
See `Margin’. ... |
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0 |
| C Corporation |
(USA) A corporation that is subject to taxation as... |
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0 |
| CAC 40 |
made up from a sample of the 40 most active French... |
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0 |
| CAC-40 (Companie de Agents de Change 40 Index) |
An index based on 40 of the largest and most liqui... |
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0 |
| Call Option or Call |
A contract that gives the holder the right to purc... |
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1 |
| CANCELLED |
deleted, annulled, countermanded... |
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0 |
| Capital Stock |
Stock that a company may issue evidencing its equi... |
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0 |
| Capitalization |
The sum of a corporation’s long-term debt, stock a... |
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0 |
| Capitalization Rate |
The discount rate used to determine the present va... |
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0 |
| Capitalization Ratios |
The percentage of a company’s total capitalization... |
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0 |
| Capped-style Option |
An option with an established profit cap. A capped... |
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0 |
| Carried Interest |
The percentage of a venture capital fund’s profits... |
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0 |
| Cash Basis |
The accounting practice of recording sales and exp... |
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0 |
| Cashless Exercise |
An exercise of options whereby the participant doe... |
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0 |
| Cede & Co |
(USA) A firm which acts as the record owner of sec... |
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0 |
| Cheap Stock |
Stock (or rights to acquire stock) issued to emplo... |
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0 |
| Chinese Wall |
The term used for the procedures within a multi-di... |
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0 |
| Class |
Classes of securities are securities that share th... |
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0 |
| Class Action Suit |
A lawsuit brought by one person on behalf of a lar... |
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0 |
| Classified Stock |
The separation of a company’s capital stock into m... |
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0 |
| Claw Back Option |
The right to require repayment of funds set aside ... |
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0 |
| Clearstream |
Clearstream is an international clearing and settl... |
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0 |
| Closed Corporation |
A corporation in which all of the voting stock is ... |
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0 |
| Closely Held |
A corporation in which most of the stock is held b... |
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0 |
| CMF: conseil des marches financiers |
French professional authority taking care of the c... |
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1 |
| Co-sale Agreement |
See `Tag Along Agreement’. ... |
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0 |
| COB : commission des operations de bourse |
French organization of regulation and control havi... |
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0 |
| Collateral |
Securities or other property pledged by a borrower... |
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0 |
| Combination Stock Option Plan |
(USA) A plan under which a company can grant both ... |
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0 |
| Comfort Letter or Cold Comfort Letter |
A letter delivered by the auditors for an issuer a... |
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0 |
| Comment Letter |
(USA) A letter prepared by an examiner at the SEC ... |
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0 |
| Commercial Paper |
An unsecured obligation issued by a corporation or... |
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0 |
| Commission Bancaire et Financière / Commissie voor |
The Belgian Commission of Banking and Finance is t... |
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0 |
| Commission des Opérations de Bourse (COB) |
The Commission des Opérations de Bourse, or COB, i... |
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0 |
| Common Stock |
(USA) The basic form of equity ownership in a corp... |
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0 |
| Common Stock Equivalents |
Debt and/or equity type securities capable of subs... |
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0 |
| Common Stock Ratio |
A company’s common stock divided by its total capi... |
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0 |
| Compensation Committee |
A committee of the board of directors responsible ... |
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0 |
| Competent Authority |
A term used within Directives produced by the Euro... |
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0 |
| Confidentiality and Proprietary Rights Agreement |
An agreement by which an employee, customer or ven... |
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0 |
| Consolidated Financial Statements |
Financial statements for a company and all of its ... |
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0 |
| Conversion |
The act of exchanging one form of security for ano... |
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0 |
| Conversion Parity |
The equal dollar relationship between the price of... |
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0 |
| Conversion Premium |
The dollar or percentage amount by which the price... |
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0 |
| Conversion Ratio |
The ratio indicating the number of underlying secu... |
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0 |
| Convertible Debt |
A debt obligation of a company which is convertibl... |
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0 |
| Convertible Preferred Stock |
Preferred stock convertible into common stock. ... |
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0 |
| Cooling-off Period |
(USA) A delay imposed informally by the SEC before... |
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0 |
| Cost Basis |
See `Basis’. ... |
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0 |
| Covenants |
Provisions in a venture capital investment agreeme... |
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0 |
| Cross-collateralization |
When collateral for one loan or obligation is also... |
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0 |
| CSOP |
(UK) Company Share Option Plan - a discretionary p... |
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0 |
| Cumulative Dividend (also Cum Div) |
A dividend which accumulates if not paid in the pe... |
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0 |
| Cumulative Preferred Stock |
A form of preferred stock which provides that if o... |
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0 |
| Cumulative Voting |
A technique permitted by the laws of some states i... |
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0 |
| DAX |
A price-weighted index of the most heavily traded ... |
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0 |
| Dealer |
Any individual or firm, other than a bank, which i... |
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0 |
| Debenture |
A note or bond usually backed only by the general ... |
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0 |
| Debenture, Subordinated |
See `Subordinated Debenture’. ... |
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0 |
| Debt |
A fixed obligation to pay money at a stated time. ... |
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0 |
| Debt Capital |
Capital raised through the issuance of bonds. ... |
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0 |
| Debt Financing |
Financing by selling bonds, notes or other debt in... |
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0 |
| Debt Ratio |
Debt capital divided by total capital. ... |
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0 |
| Debt/Equity Ratio |
A measure of a company’s leverage, calculated by d... |
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0 |
| Default |
Failure to discharge an obligation when due. ... |
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0 |
| Defined Benefit Plan |
A retirement plan in which the employees’ benefits... |
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0 |
| Defined Contribution Plan |
A retirement plan in which the employer’s obligati... |
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0 |
| Delisting |
The removal of a company from listing on an exchan... |
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0 |
| Delta |
Means the amount that an option's theoretical valu... |
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0 |
| Demand Registration Rights |
(USA) The contractual right of a security holder t... |
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0 |
| Depository Trust Company (DTC) |
(USA) DTC is the world’s largest securities deposi... |
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0 |
| Derivative or Derivative Security |
A financial instrument or security whose character... |
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0 |
| Development Stage Capital/Fund |
Venture capital financing in connection with a com... |
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0 |
| Diagonal Spread |
An option strategy involving two options, one a pu... |
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0 |
| Diluted Earnings Per Share |
See `Fully Diluted Earnings Per Share’. ... |
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0 |
| Dilution |
A decrease in the value of securities as the resul... |
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0 |
| Direct Public Offering |
A public offering in which shares are sold directl... |
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0 |
| Discount Options |
Options that have an exercise price below market v... |
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0 |
| Distribution |
The sale of a block of securities to a number of i... |
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0 |
| Dividend |
A share of a company's net profits distributed by ... |
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0 |
| DOL |
U.S. Department of Labor.... |
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0 |
| Double Dip |
Participating preferred stock which entitles a hol... |
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0 |
| Dow Jones Euro Stoxx |
Index of security prices launched in February 1998... |
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0 |
| Dow Jones Industrial Average (DIJA) |
An index based on 30 major stocks listed on the Ne... |
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0 |
| Down Round |
A round of equity financing at a valuation lower t... |
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0 |
| Drag-along Rights |
See `Bring-along Rights’. ... |
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0 |
| DTC |
See `Depository Trust Company’. ... |
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0 |
| Dual Listing |
The listing of a security on more than one exchang... |
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0 |
| Dual Trading Facility |
Admission to trading by a stock market or exchange... |
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0 |
| Due Diligence |
An examination of the books and records of an issu... |
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0 |
| EAFE Index |
The Europe, Australia, and Far East Index, from Mo... |
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0 |
| Earnout |
An arrangement in which sellers of a business may ... |
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0 |
| EASD (European Association of Securities Dealers) |
An association of securities houses, investment ba... |
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0 |
| EBIT |
Earnings before interest and taxes a financial me... |
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0 |
| EBITDA |
Earnings before interest, taxes, depreciation and ... |
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0 |
| ECB : European Central Bank |
Institute charged to lead the monetary policy of t... |
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0 |
| EDGAR |
See `Electronic Data Gathering, Analysis, and Retr... |
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0 |
| EEOC |
U.S. Equal Employment Opportunity Commission.... |
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0 |
| Effective Date |
(USA) The date of the SEC order declaring the regi... |
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0 |
| Effective Par |
The par value for preferred stock that would ordin... |
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0 |
| EIC |
(USA) Earned Income Tax Credit.... |
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0 |
| Electronic Data Gathering, Analysis, and Retrieval |
(USA) The SEC’s system required to be used since 1... |
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0 |
| EMI |
(UK) Enterprise Management Incentives (EMI) - Comp... |
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0 |
| Employee Retirement Income Security Act (ERISA) |
(USA) The Employee Retirement Income Security Act ... |
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0 |
| Employee Stock Ownership Plan (ESOP) |
(USA) A plan established by a company for the allo... |
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0 |
| Employee Stock Purchase Plan |
A plan under which key employees are given the rig... |
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0 |
| Employee Stock Repurchase Agreement |
An arrangement in which a corporation sells stock ... |
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0 |
| ERISA |
See `Employee Retirement Income Security Act’. ... |
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0 |
| ESOP |
See `Employee Stock Ownership Plan’ . ... |
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0 |
| EURIBOR : European Interbank Offered Rate |
Daily indicator representing the arithmetic mean o... |
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0 |
| EURO.NM |
A pan-European grouping of regulated markets dedic... |
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0 |
| Euroclear |
Euroclear is an international clearing organisatio... |
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0 |
| EURONEXT |
The name of the entity expected to result from the... |
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0 |
| European Option |
See `European-style Option’. ... |
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0 |
| European-style Option |
An option which can only be exercised for a short,... |
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0 |
| EVCA (European Venture Capital Association) |
An association formed to promote and facilitate Eu... |
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0 |
| Exemption or Exempt from Registration |
(USA) An exemption from the statutory requirement ... |
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0 |
| EXERCISABLE |
options can now be exercised on payment of money... |
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0 |
| Exercise |
As a verb, to use the right to purchase shares at ... |
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0 |
| Exercise Price |
The price at which shares that are subject to a st... |
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0 |
| EXERCISED |
the shares have been bought... |
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0 |
| Exit Strategy |
The method by which an investor anticipates liquid... |
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0 |
| Expense Allowance |
An amount paid by the issuer of a security to an u... |
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0 |
| Expiration |
Commonly used term in the US to discuss the last d... |
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0 |
| EXPIRED |
have come to an end, become void, reached expiry... |
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0 |
| Expiry |
The termination of option rights. Meaning to have ... |
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0 |
| ExSOP or ExSOP Award |
"Executive (or employee) Shared ownership Plan - t... |
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0 |
| Fair Market Value |
The price based on the current market value determ... |
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0 |
| FAQs |
Frequently Asked Questions.... |
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0 |
| FASB |
(USA) The Financial Accounting Standards Board. Th... |
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0 |
| Federal Deposit Insurance Corporation (FDIC) |
(USA) A US federal agency that insures deposits in... |
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0 |
| FICA |
U.S. Federal Insurance Contribution Act. Refers to... |
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0 |
| Final Prospectus |
The final version of a prospectus which includes t... |
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0 |
| Final Salary Plan |
A retirement plan in which the employees’ benefits... |
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0 |
| Financial Services Authority (FSA) |
The Financial Services Authority is an independent... |
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0 |
| FIRPTA (Foreign Investment in Real Property Tax Ac |
(USA) A law subjecting foreign investors owning US... |
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0 |
| First Preferred Stock |
Preferred stock which takes precedence over other ... |
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0 |
| First Refusal |
See `Right of First Refusal’. ... |
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0 |
| Float or Free Float or Public Float |
The number of shares not held by corporate insider... |
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0 |
| Flowback |
(USA) Term used to describe securities initially o... |
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0 |
| Follow-on Investment |
An additional investment by existing investors, wh... |
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0 |
| Forfeiture Period |
Period during which employees holding forfeitable ... |
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0 |
| Form 10-K |
A form required to be filed annually with the SEC ... |
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0 |
| Form 10-Q |
A form required to be filed quarterly including un... |
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0 |
| Form 2OF |
This is an integrated form used both as a registra... |
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0 |
| Form 6-K |
The form filed with the SEC by foreign companies s... |
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0 |
| Form 8-A |
The form filed with the SEC to register a company’... |
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0 |
| Form 8-K |
A form required to be filed with the SEC by any US... |
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0 |
| Form S-1 |
The most complete version, required for initial pu... |
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0 |
| Form S-2 |
Intermediate version, used for public companies al... |
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0 |
| Form S-3 |
Short version, used for public companies already r... |
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0 |
| Form SB-2 |
Similar to Form S-1, but somewhat abbreviated, for... |
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0 |
| Form U-7 |
A form of registration at the state level for offe... |
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0 |
| Forms |
See `Registration Statement’ and `Reporting Compan... |
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0 |
| Forms 3, 4 and 5 |
Reports to the SEC required to be made under Secti... |
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0 |
| Forms F-1, 2, and 3 |
For foreign companies; correspond with Forms S-1, ... |
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0 |
| Forward Pricing |
(USA) The SEC requirement that open-end investment... |
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0 |
| Founder’s Stock |
Stock issued to the founders of a company, usually... |
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0 |
| Free Float |
See `Float’. ... |
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0 |
| Freezeout |
A process whereby a controlling stockholder of a c... |
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0 |
| FTSE 100 |
An index based on the stock of the top 100 compani... |
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0 |
| Fully Diluted Earnings Per Share |
Common stock earnings per share calculated as if a... |
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0 |
| FUTA |
U.S. Federal Unemployment Tax Act.... |
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0 |
| GAAP (Generally Accepted Accounting Principles) |
Rules and procedures generally accepted within the... |
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0 |
| GATT (General Agreement on Tariffs and Trade) |
See `WTO’. ... |
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0 |
| GDR or GDS (Global Depositary Receipts or Global D |
GDRs are a mechanism used to facilitate the tradin... |
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0 |
| General Partner |
A partner in a partnership who has unlimited perso... |
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0 |
| General Partnership |
Form of partnership in which all partners are gene... |
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0 |
| Global Coordinator |
The lead underwriter in simultaneous public offeri... |
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0 |
| Going Effective |
(USA) The time at which the SEC declares a registr... |
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0 |
| Going Private |
The transformation of a company from public to pri... |
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0 |
| Golden Handcuffs |
A method of insuring that key employees remain wit... |
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0 |
| Golden Parachute |
A contractual arrangement between a key employee a... |
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0 |
| Good-till-Canceled (GTC) Order |
A buy or sell order with a broker that remains val... |
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0 |
| Grant |
As a verb, giving option rights to participants. A... |
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0 |
| GRANT options |
right to buy at a fixed price... |
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0 |
| Green Shoe or Shoe |
Term for an underwriter’s over-allotment option. T... |
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0 |
| Greenmail |
Acquiring a large block of a public company’s secu... |
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0 |
| Gun-jumping |
The offering of a security prior to the filing of ... |
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0 |
| Hard Circle |
Prospective purchasers of securities in a public o... |
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0 |
| HCE |
Highly Compensated Employee.... |
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0 |
| Hi-Lo Index |
Moving average of the number of stocks that reach ... |
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0 |
| Highly Confident Letter |
A letter from an investment bank indicating that i... |
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0 |
| Holdback |
A contractual condition in which money is withheld... |
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0 |
| Hot Issue or Hot Stock |
A security that quickly rises in price following i... |
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0 |
| HRA |
Health Reimbursement Arrangement.... |
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0 |
| Hurdle Rate |
A rate of return on investment after which economi... |
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0 |
| IASB |
The International Accounting Standards Board. The... |
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0 |
| IFU |
imprimé fiscal unique (Single tax printed form) In... |
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0 |
| In-the-Money Option |
An option is described as “in-the-money” when the... |
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0 |
| Incentive Stock Options or ISOs |
Incentive Stock Option (ISO) - Qualified grant typ... |
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0 |
| Independent or Outside Director |
A member of the Board of Directors who is not an e... |
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0 |
| Index |
A benchmark against which financial or economic pe... |
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0 |
| Indication of Interest |
(USA) A non-binding expression of interest by a de... |
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0 |
| Information Rights |
The contractual right to obtain information about ... |
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0 |
| Initial Public Offering (IPO) |
The registered public offering of securities of an... |
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0 |
| Inside Spread or Inside Quote |
The difference between the highest bid and lowest ... |
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0 |
| Insider Trading |
The term commonly used in reference to the buying ... |
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0 |
| Insiders |
Directors, officers, key employees and any other p... |
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0 |
| Institutional Investor |
An institution such as an investment company, mutu... |
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0 |
| Integration |
(USA) A concept under the Securities Act of 1933 w... |
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0 |
| Intellectual Property |
Patents, copyrights, trademarks, trade secrets and... |
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0 |
| Internal Rate of Return |
Compounded rate of return on an investment that an... |
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0 |
| Intrinsic value |
The positive difference between the exercise price... |
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0 |
| Invested Capital |
See `Capitalization’. ... |
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0 |
| Investment Banker |
A person or firm engaged in the investment banking... |
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0 |
| Investment Letter |
A written agreement between an investor and a sell... |
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0 |
| Investment Services Directive (ISD) |
A Directive produced by the European Commission re... |
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0 |
| IPO |
See `Initial Public Offering’. ... |
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0 |
| IPO Participation Rights |
Rights sometimes negotiated by investors during pe... |
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0 |
| IRC |
Internal Revenue Code of 1986, as amended.... |
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0 |
| IRS |
(USA) Internal Revenue Service, the USA federal ta... |
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0 |
| Issued and Outstanding Stock |
Issued stock of a corporation that is still outsta... |
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0 |
| Issuer |
The legal entity offering its securities for sale,... |
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0 |
| Joint Ownership Agreement (or "JOA") |
The term used in the UK to describe an agreement b... |
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0 |
| Lagging Indicator |
An economic indicator that changes after the overa... |
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0 |
| LAPSED |
have been made or become void... |
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0 |
| Lead Manager/Lead Underwriter |
The single underwriter that assumes leadership and... |
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0 |
| Lehman Formula |
A compensation formula initiated by Lehman Brother... |
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0 |
| Letter of Intent |
A letter from one company to another indicating a ... |
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0 |
| Leveraged Buy-out (LBO) |
The acquisition of a company by members of managem... |
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0 |
| Leveraged Buy-out Fund (LBO Fund) |
An investment fund or company focusing on financin... |
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0 |
| Leveraged Recapitalization |
Transaction in which a company borrows a large sum... |
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0 |
| LIBOR |
See `London Inter-bank Offer Rate’. ... |
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0 |
| Limit Order |
An order with a broker in which a customer sets a ... |
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0 |
| Limited Liability Company or LLC |
(USA) A non-incorporated association that resemble... |
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0 |
| Limited Partner |
A person having an interest in a limited partnersh... |
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0 |
| Limited Partnership |
A partnership consisting of one or more general pa... |
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0 |
| Listed Security |
A security that has been accepted for trading on a... |
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0 |
| Listing Requirements |
The standards to be satisfied for a security to be... |
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0 |
| Living Dead |
A company which performs just well enough to stay ... |
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0 |
| Lock-up Agreement |
Agreement between an underwriter and certain stock... |
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0 |
| lognormal distribution of stock prices |
Most theoreticians believe that stock prices are l... |
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0 |
| London Inter-bank Offer Rate (LIBOR) |
The interest rate that the largest international b... |
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0 |
| Long Term Incentive Plan (LTIP) |
Term often used for a conditional share award sche... |
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0 |
| Lookback Option |
Call or put option whose strike price is not deter... |
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0 |
| LTIP |
Long Term Incentive Plan.... |
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0 |
| Management Buy-in |
A transaction in which a manager or management gro... |
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0 |
| Management Buy-out (MBO) |
A transaction in which the current operating manag... |
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0 |
| Managing Underwriters |
The underwriters whose names appear on the cover p... |
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0 |
| Manipulation |
The purchase or sale of securities designed to pro... |
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0 |
| Marché Libre : |
This unregulated market was established in France ... |
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0 |
| Margin |
Using money borrowed from a broker/dealer, bank, o... |
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0 |
| Margin Requirement |
Means the amount of cash or securities that must b... |
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0 |
| Market Authority |
Governing entity of a stock exchange or trading sy... |
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0 |
| Market Capitalization or Market Cap |
The number of shares outstanding multiplied by the... |
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0 |
| Market Maker |
Brokerage and securities firms that are required b... |
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0 |
| Market Maker Spread |
The difference between the price at which a market... |
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0 |
| Market order : |
Order given by a customer to buy or sell securitie... |
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0 |
| Market Overhang |
The depressive effect on the market price of a pub... |
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0 |
| Market Segmentation |
A marketing technique that targets a group of cust... |
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0 |
| Market-share Weighted Index |
A stock index in which each stock affects the inde... |
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0 |
| Material Information |
Information that a reasonable investor would consi... |
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0 |
| MD&A 9Management Discussion and Analysis) |
(USA) A required part of the disclosure in a regis... |
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0 |
| Merchant Bank |
A firm investing its own funds for its own account... |
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0 |
| Mezzanine Capital/Fund |
Venture capital financing in connection with a com... |
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0 |
| Mezzanine Financing or Round |
A financing round in venture capital-backed compan... |
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0 |
| MIDCAC |
supplements the range above and is composed of 100... |
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0 |
| Missing the Market |
Failing to time an offering of securities to take ... |
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0 |
| Model Code |
(UK) The requirements of the UK Listing Authority ... |
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0 |
| NAPF |
(UK) National Association of Pension Funds. The “t... |
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0 |
| NASD (Nationals Association of Securities Dealers) |
(USA) The national organisation of the USA securit... |
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0 |
| NASD Regulation |
(USA) A self-regulatory organisation which has sub... |
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0 |
| Nasdaq Bulletin Board |
See `Nasdaq Stock Market’ and `OTC Bulletin Board’... |
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0 |
| NASDAQ EUROPE |
Nasdaq Europe is the only pan-European stock marke... |
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0 |
| Nasdaq National Market (formerly NASDAQ NMS) |
The larger and higher quality of the two markets a... |
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0 |
| Nasdaq SmallCap Market |
A stock market for smaller companies which cannot ... |
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0 |
| Nasdaq Stock Market |
The Nasdaq Stock Market (based in Washington, D.C.... |
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0 |
| Nasdaq-100 |
An index based on the Stock of the top 100 compani... |
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0 |
| Nasdaq-Amex Market Group |
In 1998, Nasdaq (qv) and the American Stock Exchan... |
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0 |
| National Insurance Contribution (NIC) |
(UK) British employee taxation system for pension ... |
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0 |
| Net Proceeds |
The amount received by an issuer from the offering... |
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0 |
| Neuer Markt |
The Neuer Markt (based in Frankfurt, Germany) was ... |
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0 |
| New Issue |
Securities being offered to the public for the fir... |
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0 |
| NHCE |
(USA) Non-Highly Compensated Employee.... |
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0 |
| No-action Letter |
(USA) A procedure where private parties can write ... |
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0 |
| Non-accountable Expense Allowance |
See `Expense Allowance’. ... |
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0 |
| Non-qualified Stock Options |
Non-Qualified Stock Option (NQ or NQSO) - Typicall... |
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0 |
| Nouveau Marché |
Le Nouveau Marché (based in Paris, France) was est... |
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0 |
| Novation |
The substitution of a new contract for an old one;... |
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0 |
| NRE |
The NRE or "Nouvelles Règlementations Economiques"... |
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0 |
| NYSE (New York Stock Exchange |
The New York Stock Exchange, located in New York C... |
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0 |
| Offering Circular |
A term frequently used interchangeably for a prosp... |
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0 |
| Open Order |
An order by a customer to a broker/dealer to buy o... |
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0 |
| Opening Price |
The price at which a security trades at the beginn... |
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0 |
| Operating Ratio |
A company’s operating expenses divided by its oper... |
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0 |
| Option |
A contractual right to purchase or sell something ... |
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0 |
| Option Terminology |
See: Grant Options, Award, Vested, Exercisable, Ex... |
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0 |
| Optionee |
The holder of an option. ... |
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0 |
| Optionholder |
The holder of an option. Sometimes called an Optio... |
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0 |
| Organisational Meeting |
In the public offering process, the first meeting ... |
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0 |
| Organizational Chart |
A graphic representation of how authority and resp... |
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0 |
| OTC Bulletin Board (or Nasdaq Bulletin Board) |
A quotation service that displays real-time quotes... |
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0 |
| Out-of–the-Money Option |
An option is out-of–the-money if the strike price ... |
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0 |
| Outside Director |
See `Independent or Outside Director’. ... |
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0 |
| Outstanding Stock |
The shares of a corporation’s stock that have been... |
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0 |
| Over-allotment Option |
The option granted to an underwriter in a public o... |
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0 |
| Over-the-counter (OTC) |
A security which is not traded on an exchange, usu... |
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0 |
| Overhang |
A large number of securities that may be released ... |
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0 |
| P/E Ratio |
Price/earnings ratio. ... |
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0 |
| Par |
The nominal dollar amount assigned to a security b... |
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0 |
| Par Bond |
A bond selling at its face value. ... |
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0 |
| Pari Passu |
Equably, rateably, without preference. Generally u... |
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0 |
| Participating Preferred Stock |
Preferred stock which entitles the holder not only... |
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0 |
| Partnership |
A form of conducting business in which the parties... |
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0 |
| Patent |
The exclusive right, granted by a government, to m... |
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0 |
| Patent Pending |
(USA) A Patent Office statement indicating that a ... |
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0 |
| Pay As You Earn (PAYE) |
(UK) A British taxation scheme where taxes are ded... |
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0 |
| Pay to Play |
A provision in venture financing documents which s... |
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0 |
| Payment in Kind (PIK) |
A feature of a security permitting the issuer to p... |
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0 |
| PEE/ PEG: |
These are the basic types of medium-term employee ... |
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0 |
| Penny Stock |
(USA) A stock that trades for less than $1.00 per ... |
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0 |
| Phantom Plan |
An incentive plan where participants receive cash ... |
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0 |
| Piggy-back Registration Rights |
(USA) Contractual rights granted to security holde... |
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0 |
| Pink Sheets |
(USA) Pinksheets LLC provides broker/dealers, issu... |
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0 |
| Pipeline |
The aggregate of securities which are in the proce... |
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0 |
| Pit |
See `Ring’. ... |
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0 |
| Placement Agent |
A person or entity that acts as agent for the issu... |
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0 |
| Plain English |
(USA) The SEC rules requiring issuers to write the... |
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0 |
| Pledging |
Offering assets to a lender as collateral for a lo... |
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0 |
| Poison Pill |
The most famous anti-take-over device. It normally... |
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0 |
| Pooling of Interests Accounting |
(USA) A method of accounting for a business combin... |
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0 |
| PORTAL |
`Private Offerings, Resale and Trading through Aut... |
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0 |
| Power of Attorney |
A legal document that enables one person to legall... |
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0 |
| Pratt’s Guide |
A directory of USA venture capital firms, the type... |
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0 |
| Pre-emptive Right |
The right of an investor to participate in a finan... |
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0 |
| Pre-IPO Capital/Fund |
`Late round’ venture capital financing in connecti... |
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0 |
| Pre-Money or Pre-Money Valuation |
The valuation of a company immediately before inve... |
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0 |
| Preferred Stock |
Stock which has a `preference’ over common stock, ... |
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0 |
| Preferred Stock, Cumulative |
See `Cumulative Preferred Stock’. ... |
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0 |
| Preliminary Prospectus |
The form of prospectus used to solicit indications... |
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0 |
| Premature exercise of stock options |
This is what employees do when they exercise their... |
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0 |
| Premier marché : |
French regulated market listing the shares of the ... |
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0 |
| Premium |
Shares of a new issue trade at a premium if their ... |
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0 |
| Premium Options |
Options that have an exercise price above market v... |
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0 |
| Pricing Call |
The discussion between the company and the underwr... |
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0 |
| Primary Distribution/Shares |
A distribution (ie public offering) of securities ... |
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0 |
| Private Company |
See `Closed Corporation’. ... |
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0 |
| Private Letter Ruling |
(USA) A letter sent by the Internal Revenue Servic... |
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0 |
| Private Placement |
The offer and sale of securities not involving a p... |
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0 |
| Private Placement Memorandum (or Private Offering |
A document used to describe securities being offer... |
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0 |
| Pro Forma |
A latin term meaning `for form’. Pro forma financi... |
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0 |
| Prospectus |
A document which must be delivered to recipients o... |
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0 |
| Prospectus Directive |
A Directive of the European Commission requiring t... |
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0 |
| Proxy |
Proxy refers either to (1) a person, such as a mem... |
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0 |
| Public Float |
See `Float’. ... |
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0 |
| Public Offering |
An offering of stock to the general investing publ... |
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0 |
| Public Orphan |
A company which is publicly held, but where there ... |
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0 |
| Punitive Financing Round |
A round of financing in which some of the existing... |
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0 |
| Purchase Accounting |
The normal method of accounting for a business com... |
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0 |
| Purchaser Representative |
(USA) A person who acts on behalf of a purchaser o... |
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0 |
| Put Option |
A contract that gives the optionee, or holder the ... |
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1 |
| Qualified Institutional Buyer (QIB) |
(USA) Generally, entities that in the aggregate ow... |
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0 |
| Qualified Opinion |
An accountant’s opinion on financial statements in... |
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0 |
| Qualifying Employee Share Ownership Trust (QUEST) |
A trust that meets the requirements of FA89/SCH5. ... |
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0 |
| Quick Ratio |
A measure of a company’s liquidity, used to evalua... |
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0 |
| Quiet Period |
(USA) The period starting at the time the underwri... |
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0 |
| Quorum |
Minimum number of people who must be present (phys... |
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0 |
| Raise |
Another term for a round of financing or the amoun... |
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0 |
| Record Date |
The date set by the Board of Directors for the tra... |
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0 |
| Red Herring Prospectus |
See `Preliminary Prospectus’. ... |
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0 |
| Red Herring Prospectus |
A prospectus that is given to potential investors ... |
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0 |
| Redemption |
Repurchase by a company of its securities from an ... |
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0 |
| Registered Secondary Distribution/Offering |
(USA) An offering of securities by a stockholder (... |
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0 |
| Registered Securities |
Securities issued in a form allowing the owner’s n... |
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0 |
| Registrar |
See `Transfer Agent/Registrar’. ... |
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0 |
| Registration |
The process of filing the necessary documentation ... |
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0 |
| Registration Rights |
(USA) The contractual right of a stockholder to pa... |
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0 |
| Registration Statement |
(USA) The document required by the Securities Act ... |
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0 |
| Regulation A (or Reg A) |
(USA) A regulation under the Securities Act of 193... |
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0 |
| Regulation D (or Reg D) |
(USA) A regulation under the Securities Act of 193... |
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0 |
| Regulation S (or Reg. S) |
(USA) A regulation under the Securities Act of 193... |
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0 |
| Regulation S-K |
(USA) An SEC regulation which sets forth in detail... |
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0 |
| Regulation S-X |
(USA) An SEC regulation that sets forth in detail ... |
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0 |
| Reload Stock Option |
A replacement stock option granted by some compani... |
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0 |
| Remuneration Committee |
(UK) The group of directors (usually non-executive... |
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0 |
| Reporting Company |
(USA) An issuer subject to the periodic reporting ... |
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0 |
| Reporting Company Forms (Periodic Reports) |
(USA) The most common forms under the Securities E... |
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0 |
| Representations and Warranties |
Provisions in a venture capital investment agreeme... |
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0 |
| Repurchase Agreement |
An agreement in which a holder of shares agrees th... |
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0 |
| Resolution |
An official document representing an action on the... |
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0 |
| Restricted Security |
(USA) A security which has not been registered und... |
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0 |
| Restricted Share Plan (or RSP) |
Grants of shares or stock subject to restrictions ... |
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0 |
| Retail Investor |
A non-institutional investor who purchases securit... |
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0 |
| Right of First Refusal |
A contractual right, frequently granted to venture... |
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0 |
| Right of Rescission |
The right of a person to cancel or nullify a contr... |
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0 |
| Rights (or Rights Offering) |
Usually used to refer to an option granted for a s... |
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0 |
| Ring |
Location on the floor of an exchange where trades ... |
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0 |
| Road Show |
The process during a public offering in which the ... |
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0 |
| Rounds |
Stages of financing of a company. A first round of... |
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0 |
| Rule 144 |
(USA) An SEC rule specifying the conditions under ... |
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0 |
| Rule 144 Stock |
(USA) Rule 144 stock or shares are those shares of... |
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0 |
| Rule 144A |
(USA) An SEC rule that permits the private placeme... |
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0 |
| Rules of Fair Practice |
(USA) Rules established by NASD to protect the bes... |
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0 |
| Russell Indexes |
A series of indexes developed jointly by the Frank... |
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0 |
| S Corporation (or Sub-chapter S Corporation) |
(USA) A small business corporation permitted to be... |
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0 |
| SARs |
Stock Appreciation Rights... |
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0 |
| SAYE |
(UK) Save As You Earn scheme or Savings Related Sh... |
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0 |
| SBF 120 |
composed of the 120 most active listed securities,... |
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0 |
| SBF 250 |
composed of the 250 French securities listed on th... |
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0 |
| SBF SM (Second Market) |
inaugurated on October 1, 1996, it is composed of... |
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0 |
| Schedule 13D |
(USA) A form required to be filed with the SEC by ... |
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0 |
| Schedule 13G |
(USA) A shorter form than Schedule 13-D that some ... |
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0 |
| scripophily |
The hobby of collecting stock and bond certificate... |
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0 |
| SEC |
See `Securities and Exchange Commission’.... |
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0 |
| Second marché : |
French regulated market, intended for the companie... |
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0 |
| Second Preferred Stock |
Preferred stock which has rights subordinate to th... |
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0 |
| Secondary Distribution (or Secondary Offering) |
A public offering of a security by a selling holde... |
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0 |
| Secondary Market |
A market or exhange in which securities are bought... |
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0 |
| Section 16 |
(USA) A provision under the Securities Exchange Ac... |
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1 |
| Section 22 |
(UK) Significant provisions introduced in the UK i... |
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0 |
| Secured Obligation |
A debt obligation which is secured by the pledge o... |
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0 |
| Securities Act of 1933 (also `1933 Act’ or `33 Act |
(USA) A Federal law regulating the offer and sale ... |
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0 |
| Securities and Exchange Commission (SEC) |
(USA) The primary USA federal regulatory agency fo... |
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0 |
| Securities Exchange Act of 1934 (also `1934 Act’ o |
(USA) A Federal law which regulates stock markets,... |
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0 |
| Seed Capital |
Initial capital for a start-up venture, usually pr... |
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0 |
| Self-regulatory Organization (SRO) |
(USA) Non-government organization which has statut... |
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0 |
| Senior Debt |
A debt instrument which expressly has a higher pri... |
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0 |
| Shares Outstanding |
See `Outstanding Stock’. ... |
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0 |
| Shelf Registration |
(USA) A registration statement that covers securit... |
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0 |
| Shell |
The term shell typically refers to a corporation t... |
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0 |
| Shoe |
See `Green Shoe or Shoe’. ... |
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0 |
| Short Sale |
Borrowing a security (or commodity futures contrac... |
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0 |
| Short Swing Profits |
A term used in reference to profits realised by in... |
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1 |
| Sinking Fund |
An annual reserve of capital required by the credi... |
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0 |
| SIP |
(UK) Share Incentive Plan - a tax and NIC advantag... |
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0 |
| SmallCap Market |
See `Nasdaq SmallCap Market’. ... |
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0 |
| Soft Market |
A market for securities in which supply exceeds de... |
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0 |
| Sole Proprietorship |
A business operated by an individual directly, wit... |
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0 |
| Sophisticated Investor |
(USA) An investor who is sufficiently knowledgeabl... |
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0 |
| Spinoff |
The creation of a new independent company from an ... |
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0 |
| Split or Stock Split |
An increase in the number of outstanding shares of... |
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| Sponsor |
Prior to 1998, each issuing company to be traded o... |
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| Spread |
The difference between the current bid and the cur... |
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| SRO |
See `Self-regulatory Organisation’. ... |
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| SSA |
(USA) Social Security Administration.... |
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| Staggered Board of Directors |
A board of directors divided into classes (typical... |
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| Standard & Poor’s 500 (S&P 500) |
A market-value weighted index of the 500 largest s... |
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| Start-up |
A company at its initial stages of development - e... |
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| Sticky Deal |
An issue of securities that the underwriter or the... |
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| Stock Appreciation Rights |
A contractual right, often granted in tandem with ... |
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| Stock Exchange |
An organized marketplace in which stocks, common s... |
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| Stock Options, Incentive |
See `Incentive Stock Options’. ... |
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| Stock Options, Non-qualified |
See `Non-Qualified Stock Options’. ... |
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| Stock Power |
A power of attorney enabling a person other than t... |
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| Stock Split |
A change in the capitalization of a company that i... |
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| Stock Swap |
Also known as a "stock-for-stock" exercise. A tran... |
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| Stockholder Agreement |
An agreement among stockholders, typically in a pr... |
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| Stop Order |
(USA) An order issued by the SEC suspending the or... |
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| Street Broker |
An over-the-counter broker, as opposed to an excha... |
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| Street Name |
A term used to refer to securities beneficially ow... |
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| Street or “The Street” |
A shorthand reference to Wall Street or to the con... |
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| Strike Price |
The stated price per share for which the underlyin... |
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| Strong Market |
A securities market in which buyers outnumber sell... |
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| Sub-chapter S Corporation |
See `S Corporation’. ... |
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| Subordinated Debenture |
A debenture expressly subordinated to other obliga... |
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| Subordinated Debt |
Debt which expressly has a lower priority for repa... |
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| Syndicate |
The group of underwriters who will become legally ... |
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| Syndicate Book |
See `Book or Syndicate Book’. ... |
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| T+3 (or Trade Date plus Three) |
A term used to define the date for settlement of t... |
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| Tag-along Agreement (also called Co-sale or Take-a |
A contractual agreement by management stockholders... |
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| Take-along Right |
See `Tag-along Agreement’. ... |
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| Take-over |
Acquiring control of a corporation by stock purcha... |
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| Tangible Book Value |
See `Book Value per Share’. ... |
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| Tax Basis |
See `Basis’. ... |
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| Tender Offer |
A formal offer to all or a large group of stockhol... |
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| Term Sheet |
A short document summarising the principal financi... |
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| Termination for Cause |
Termination of an employee’s employment with justi... |
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| Thin Market |
A market for securities typified by very few bids ... |
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| Time Premium |
The value of an employee stock option that is abov... |
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| Tippee |
(USA) A person who receives from someone else mate... |
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| Tipper |
(USA) A person who informs another person of mater... |
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| Tombstone |
A short printed announcement about a proposed or c... |
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| TPA |
Third-Party Administrator.... |
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| Trade Secret |
Information, such as a formula, pattern, device, o... |
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| Transfer Agent/Registrar |
The agent of a company responsible for the issuing... |
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| Treasury Stock |
Stock that has been reacquired by the issuing comp... |
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| Turkey |
An offering of securities that performed poorly. ... |
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| UCC |
See `Uniform Commercial Code’. ... |
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| ULOE |
See `Uniform Limited Offering Exemption’. ... |
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| Unapproved Scheme |
(UK) A share award or share option scheme which do... |
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| Underlying Serurity |
This is the related stock that is either currently... |
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| Underwater Option |
A share (stock) option whose exercise price is hig... |
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| Underwriter |
In a firm commitment offering, a person (typically... |
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| Underwriter’s Warrants |
Warrants sometimes granted to underwriters as a fo... |
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| Underwriting Agreement |
The document pursuant to which the underwriters of... |
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| Underwriting Discount or Commission or Spread |
The difference between the price at which underwri... |
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| Uniform Commercial Code (UCC) |
(USA) Set of laws regulating commercial transactio... |
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| Uniform Limited Offering Exemption (ULOE) |
(USA) An exemption provided by many states of the ... |
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| Unit |
A security consisting of two separate securities b... |
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| Unqualified Opinion |
An accountant’s opinion on financial statements in... |
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| VALID |
sound, legally acceptable... |
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| Venture Capital |
Originally financing provided for new higher risk ... |
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| Venture Capitalist |
An individual or entity that specialises in provid... |
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| VESTED |
reached a stage (in time) when options can or coul... |
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| Vesting (Stock, Options and Warrants) |
Over a period of time an employee of a company ear... |
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| Vesting Schedule |
Schedule setting forth when, and to what extent, o... |
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| VOID |
invalid... |
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| Volatility |
The volatility of a stock describes the extent of ... |
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| Voting Trust |
An agreement whereby a number of shareholders tran... |
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| Waiting Period |
(USA) The period of time between the filing of a r... |
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| Wall Street |
A shorthand description for the U.S. financial com... |
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| Warrant |
Another word for an option to purchase a security.... |
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| Weak Market |
A securities market in which sellers outnumber buy... |
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| Window |
A short period in which an opportunity is availabl... |
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| Write calls |
This is a method of reducing the risk of holding E... |
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| WTO (World Trade Organisation) |
Treaty organisation affiliated with the United Nat... |
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| Yield |
The rate of return on a debt instrument if the ful... |
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| `Shark Repellent’ |
Defence mechanisms or tactics designed to discoura... |
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Glossary of Terms