SEC Company Response from Dolphin Entertainment, Inc. (DLPN) (CIK 0001282224) (DLPN) — Dec 19, 2017
Dolphin Entertainment, Inc. (DLPN) (CIK 0001282224)
Date: Dec. 19, 2017 · CIK: 0001282224 · Accession: 0001553350-17-001414
AI Filing Summary & Sentiment
Reasoning
File numbers found in text: 333-219029
Letter
Underwriters' Acceleration Request
Maxim Group LLC
405 Lexington Ave
New York, NY 10174
December 19, 2017
VIA EDGAR
United States Securities and Exchange Commission
Division of Corporation Finance
100 F Street, N.E.
Washington, D.C. 20549
Attention: Joshua Shainess
Re:
Dolphin Entertainment, Inc.
Registration Statement on Form S-1
Filed June 29, 2017, as amended
File No. 333-219029
Ladies and Gentlemen:
In connection with the above-referenced Registration Statement on Form S-1 (the “Registration Statement”), and pursuant to Rule 461 under the Securities Act of 1933, as amended (the “Securities Act”), as the underwriters in the offering of units, with each unit consisting of one share of common stock and one warrant to purchase one share of common stock, of Dolphin Entertainment, Inc. (the “Company”), pursuant to such Registration Statement (the “Offering”), we hereby join the Company in requesting that the effective date for such Registration Statement be accelerated so that it will be declared effective at 5:00 p.m., Eastern Time, on December 20, 2017, or as soon thereafter as practicable.
Please be advised that during the period from October 10, 2017 to the date of this letter, the preliminary prospectus, dated October 10, 2017, the preliminary prospectus, dated December 5, 2017 and the preliminary prospectus, dated December 15, 2017 (the “Preliminary Prospectuses”), in connection with the Registration Statement were distributed approximately as follows:
Copies to underwriters:
Copies to prospective dealers:
Copies to prospective institutional investors:
Copies to prospective retail investors:
Total
Copies of the Preliminary Prospectuses were available to anyone requesting the same at the offices of the underwriters.
We confirm that the underwriters participating in the Offering have complied with, and will continue to comply with, the requirements of Rule 15c2-8 promulgated under the Securities Exchange Act of 1934, as amended.
Very truly yours,
MAXIM GROUP LLC
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Underwriters' Acceleration Request
Maxim Group LLC
405 Lexington Ave
New York, NY 10174
December 19, 2017
VIA EDGAR
United States Securities and Exchange Commission
Division of Corporation Finance
100 F Street, N.E.
Washington, D.C. 20549
Attention: Joshua Shainess
Re:
Dolphin Entertainment, Inc.
Registration Statement on Form S-1
Filed June 29, 2017, as amended
File No. 333-219029
Ladies and Gentlemen:
In connection with the above-referenced Registration Statement on Form S-1 (the “Registration Statement”), and pursuant to Rule 461 under the Securities Act of 1933, as amended (the “Securities Act”), as the underwriters in the offering of units, with each unit consisting of one share of common stock and one warrant to purchase one share of common stock, of Dolphin Entertainment, Inc. (the “Company”), pursuant to such Registration Statement (the “Offering”), we hereby join the Company in requesting that the effective date for such Registration Statement be accelerated so that it will be declared effective at 5:00 p.m., Eastern Time, on December 20, 2017, or as soon thereafter as practicable.
Please be advised that during the period from October 10, 2017 to the date of this letter, the preliminary prospectus, dated October 10, 2017, the preliminary prospectus, dated December 5, 2017 and the preliminary prospectus, dated December 15, 2017 (the “Preliminary Prospectuses”), in connection with the Registration Statement were distributed approximately as follows:
Copies to underwriters:
2
Copies to prospective dealers:
12
Copies to prospective institutional investors:
55
Copies to prospective retail investors:
165
Total
234
Copies of the Preliminary Prospectuses were available to anyone requesting the same at the offices of the underwriters.
We confirm that the underwriters participating in the Offering have complied with, and will continue to comply with, the requirements of Rule 15c2-8 promulgated under the Securities Exchange Act of 1934, as amended.
Very truly yours,
MAXIM GROUP LLC
By:
/s/ Clifford A. Teller
Name: Clifford A. Teller
Title: Head of Investment Banking, Executive
Managing Director