P10, Inc. Amends IPO Registration Statement

TL;DR

P10 IPO filing updated. SEC #333-279769.

AI Summary

P10, Inc. filed an S-1/A amendment on July 19, 2024, for its initial public offering. The company, incorporated in Delaware, is based in Dallas, Texas, and operates in the investment advice sector. This filing updates information related to its registration statement, with SEC file number 333-279769.

Why It Matters

This amendment to the S-1 filing provides updated information for potential investors regarding P10, Inc.'s public offering, impacting how the market perceives the company's readiness for listing.

Risk Assessment

Risk Level: medium — As an S-1/A filing, it indicates ongoing preparations for an IPO, which inherently carries market and execution risks for a newly public company.

Key Numbers

• 333-279769 — SEC File Number (Identifies the specific registration statement.)
• 1231 — Fiscal Year End (Indicates the company's financial year closing date.)

Key Players & Entities

• P10, Inc. (company) — Registrant
• July 19, 2024 (date) — Filing Date
• 333-279769 (dollar_amount) — SEC File Number
• Dallas, Texas (company) — Principal Business Address
• Luke A. Sarsfield III (person) — Chief Executive Officer
• Melodie Craft (person) — General Counsel
• Todd E. Lenson (person) — Legal Counsel (Kramer Levin Naftalis & Frankel LLP)

FAQ

Key Financial Figures

• $0.001 — of our Class A common stock, par value $0.001 per share (Class A common stock), which
• $9.82 — s price of our Class A common stock was $9.82 per share. We have two classes of commo

Filing Documents

• d741680ds1a.htm (S-1/A) — 216KB
• d741680dex51.htm (EX-5.1) — 9KB
• d741680dex231.htm (EX-23.1) — 1KB
• d741680dexfilingfees.htm (EX-FILING FEES) — 44KB
• g741680g06f34.jpg (GRAPHIC) — 9KB
• g741680g56g59.jpg (GRAPHIC) — 8KB
• g741680g75l74.jpg (GRAPHIC) — 9KB
• 0001193125-24-181654.txt ( ) — 292KB

USE OF PROCEEDS

USE OF PROCEEDS 6 SELLING STOCKHOLDERS 7 PLAN OF DISTRIBUTION 12 LEGAL MATTERS 15 EXPERTS 15 WHERE YOU CAN FIND MORE INFORMATION 15 INCORPORATION OF CERTAIN INFORMATION BY REFERENCE 16 Table of Contents ABOUT THIS PROSPECTUS This prospectus is part of a registration statement on Form S-1 that we filed with the Securities and Exchange Commission (the SEC) using the shelf registration process. Under this shelf registration process, the Selling Stockholders (or their pledgees, donees, transferees or other successors-in-interest) may, from time to time, sell or otherwise dispose of the securities described in this prospectus in one or more offerings. We will not receive any proceeds from the sale by such Selling Stockholders of the securities offered by them described in this prospectus. This prospectus provides you with a general description of the shares of Class A common stock that the Selling Stockholders may sell or otherwise dispose of. You should rely only on the information provided in this prospectus, as well as the information incorporated by reference into this prospectus and any applicable prospectus supplement. If there is any inconsistency between the information in this prospectus and any prospectus supplement, you should rely on the information provided in the prospectus supplement. Neither we nor the Selling Stockholders have authorized anyone to provide you with any information or to make any representations other than those contained in this prospectus or any applicable prospectus supplement. Neither we nor the Selling Stockholders take responsibility for, and can provide no assurance as to the reliability of, any other information that others may give you. You should not assume that the information in this prospectus or any applicable prospectus supplement is accurate as of any date other than the date of the applicable document. Since the date of this prospectus and the documents incorporated by reference into this

RISK FACTORS

RISK FACTORS Investing in our securities involves risks. You should carefully consider the risks, uncertainties and other factors described in our most recent Annual Report on Form 10-K, as supplemented and updated by subsequent Quarterly Reports on Form 10-Q and Current Reports on Form 8-K that we have filed or will file with the SEC, and in other documents which are incorporated by reference into this prospectus, including all future filings we make with the SEC pursuant to Sections 13(a), 13(c), 14 or 15(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act), as well as the risk factors and other information contained in or incorporated by reference into any accompanying prospectus supplement before investing in any of our securities. Our financial condition, results of operations or cash flows could be materially adversely affected by any of these risks. The risks and uncertainties described in the documents incorporated by reference herein are not the only risks and uncertainties that you may face. For more information about our SEC filings, please see Where You Can Find More Information and Incorporation of Certain Information by Reference . 5 Table of Contents

USE OF PROCEEDS

USE OF PROCEEDS All shares of Class A common stock offered by this prospectus are being registered for resale by the Selling Stockholders. We will not receive any of the proceeds from the sale of these securities. The Selling Stockholders will bear all commissions and discounts, if any, attributable to the resale of the shares of Class A common stock. 6 Table of Contents SELLING STOCKHOLDERS The Selling Stockholders named below may resell from time to time up to 56,553,931 shares of the Class A common stock, which includes: (i) 4,572,455 shares of Class A common stock held directly or indirectly by certain Selling Stockholders; (ii) up to 50,667,351 shares of Class A common stock issuable upon conversion of shares of our Class B common stock held directly or indirectly by certain Selling Stockholders; (iii) up to 442,064 shares of Class A common stock issuable upon vesting and settlement of restricted stock units held directly or indirectly by certain Selling Stockholders; (iv) up to 21,875 shares of Class A common stock that were issued as shares of restricted stock to a Selling Stockholder and remain subject to vesting; and (v) up to 850,186 shares of Class A common stock issuable upon exercise of stock options held directly or indirectly by certain Selling Stockholders. On October 20, 2021, in connection with our initial public offering, the Company undertook certain transactions as part of the P10 Reorganization, pursuant to which, among other things, P10 Intermediate Holdings LLC (P10 Intermediate Holdings), a subsidiary of P10 Holdings in which P10 Holdings owned all of the outstanding common units and in which members of the Companys management, including employees, and other investors, owned preferred units, with P10 Intermediate Holdings surviving. In connection with this transaction, the Company issued an aggregate of 97,155,596 shares of the Companys Class B common, with the preferred unit holders received Class B common stock of the Company i

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