# US 2014/0207652 A1 · Method, apparatus and article-of-manufacture for managing and supporting initial public offerings and other financial issues > Agents: this data is available as JSON from the patentgrep API and MCP server — see https://patentgrep.com/llms.txt - Number: US 2014/0207652 A1 - Document ID: US20140207652A1 - Status: Published application - Kind: A1 - Application number: 14/227,591 - Filed: 2014-03-27 - Published: 2014-07-24 - Earliest claimed: 2000-08-22 - Assignees: Ipreo LLC - Applicants: Ipreo LLC - Inventors: Frank LaQuinta; Michael McGinley; Michael Ryan - Web page: https://patentgrep.com/patent/US20140207652A1 ## CPC - G06Q 40/04: Trading; Exchange, e.g. stocks, commodities, derivatives or currency exchange - G06Q 40/00: Finance; Insurance; Tax strategies; Processing of corporate or income taxes - G06Q 40/06: Asset management; Financial planning or analysis - G06Q: INFORMATION AND COMMUNICATION TECHNOLOGY [ICT] SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES; SYSTEMS OR METHODS SPECIALLY ADAPTED FOR ADMINISTRATIVE, COMMERCIAL, FINANCIAL, MANAGERIAL OR SUPERVISORY PURPOSES, NOT OTHERWISE PROVIDED FOR ## Abstract The present invention relates generally to the field of computer-assisted business methods, and to system and articles-of-manufacture for implementing such methods. More particularly, the invention relates to computer-based methods, apparatus and articles-of-manufacture for supporting the coordination, communication, record-keeping, accounting, security and scheduling needs for the syndicate associated with an initial public offering (“IPO”) or other new financial issue. While the invention is exemplified and discussed herein with reference to IPO's, those skilled in the art will appreciate that the present invention is equally applicable to other types of securities and debt instruments, such as preferred stock, corporate bonds, municipal bonds, etc. ## Claims ### Claim 1 A computer-usable medium or media for storing and processing data stored in a central database accessible to multiple users, the multiple users being authorized to access data stored in the central database according to respective user permissions, the medium comprising computer-readable code embodied therein for causing a computer to: receive signals representing data identifying one or more invitees to participate in a syndicated debt offering, at least one of the invitees being invited by a corresponding one of a plurality of syndicated bookrunning managers to participate in the syndicated debt offering; and subject to receipt of signals representing a request to access the data stored in the central database from the one or more invitees, create data identifying the one or more invitees as participants in the syndicated debt offering and associate with the said data identifying each participant, data representing a data-access permission, the data-access permission being associated with each respective participant adapted to permit access by the respective participant to a respective portion of the central database. ### Claim 2 (depends on 1) The medium or media of claim 1, comprising computer-readable code embodied therein for causing a computer to, subject to verification of data representing a request from an authorized participant, provide access to the respective portion of the central database. ### Claim 3 (depends on 1) The medium or media of claim 1, wherein the data received by the computer and identifying the one or more invitees comprises data identifying the at least one bookrunning manager that invited the respective invitee and data identifying the syndicated debt offering in which the respective invitee is invited to participate. ### Claim 4 (depends on 1) The medium or media of claim 1, comprising computer-readable code embodied therein for causing a computer, upon receipt of an acceptance to participate in the syndicated debt offering from the one or more invitees to automatically generate a communication that the acceptance has been received. ### Claim 5 (depends on 4) The medium or media of claim 4, wherein the communication conveying the invitation is an electronic communication. ### Claim 6 (depends on 5) The medium or media of claim 5, wherein the communication is generated in an electronic mail format. ### Claim 7 (depends on 5) The medium or media of claim 5, wherein the encoded electronic communication is generated in a push format. ### Claim 8 (depends on 1) The medium or media of claim 1, wherein the respective permissions for the multiple users are different for individual users or for different sets of individual users. ### Claim 9 (depends on 8) The medium or media according to claim 8, wherein there is overlap between some of the respective authorizations. ### Claim 10 A method of processing data stored in a central database accessible to multiple user computers, the multiple users being authorized to control access to data stored in the central database according to respective user permissions, the method comprising: receiving signals representing data identifying a plurality of parties invited to participate in a syndicated debt offering, at least one of the invitees being invited by a corresponding one of a plurality of syndicated bookrunning managers to participate in the syndicated debt offering; and subject to receipt of signals requesting access to the data in the central database from the invitees, creating data identifying the invitees as participants in the syndicated debt offering and associating with the said data identifying each participant, data representing a data-access permission, the data-access permission being associated with each respective participant adapted to permit access by the respective participant to at least a deal data set and a bookrunner data set, where the bookrunner data set is accessible by the bookrunning manager that invited the participant to participate in the syndicated debt offering, by the respective participant, and by at least one other participant invited by the bookrunning manager to participate in the syndicated debt offering, and the deal data set is accessible by all participants participating in the syndicated debt offering. ### Claim 11 A method for processing data pertaining to a syndicated debt offering to be administered by a plurality of bookrunning managers, the method comprising: in response to submission to a syndicated debt application server of a data-access permission received in response to acceptance of an invitation from a corresponding one of a plurality of bookrunning managers administering a syndicated debt offering to participate in the syndicated debt offering, enabling access to data stored within at least one of a bookrunner data set and a deal data set; wherein the data-access permission is adapted to permit access by the respective participant to at least a deal data set and a bookrunner data set, the bookrunner data set is accessible by the bookrunning manager that invited the participant to participate in the syndicated debt offering and by a plurality of debt participants invited by the bookrunning manager to participate in the syndicated debt offering, and the deal data is set accessible by all participants and all bookrunning managers participating in the syndicated debt offering. ### Claim 12 A system useful for storing and processing data stored in a central database accessible to multiple users, the multiple users being authorized to control access to data stored in the central database according to respective user permissions, the system comprising a processor adapted to: receive signals representing data identifying a plurality of parties invited to participate in a syndicated debt offering, at least one of the invitees being invited by a corresponding one of a plurality of syndicated bookrunning managers to participate in the syndicated debt offering; and subject to receipt of signals representing a request to access the data stored in the central database from the invitees, create data identifying the invitees as participants in the syndicated debt offering and associate with the said data identifying each participant, data representing a data-access permission, the data-access permission being associated with each respective participant adapted to permit access by the respective participant to at least a deal data set and a bookrunner data set, the bookrunner data set being accessible by the bookrunning manager that invited the participant to participate in the syndicated debt offering, by the respective participant, and by at least one other participant invited by the bookrunning manager to participate in the syndicated debt offering, and the deal data set being accessible by all participants participating in the syndicated debt offering. ### Claim 13 A system useful for controlling the storage and processing of data stored in a central database accessible to multiple users, the multiple users being authorized to control access to data stored in the central database according to respective user permissions, the system comprising a processor adapted to: in response to submission to a syndicated debt application server of a data-access authorization received in response to acceptance of an invitation from a respective one of a plurality of bookrunning managers administering a syndicated debt offering to participate in the syndicated debt offering, enable access to data stored within at least one of a bookrunner data set and a deal data set; wherein the data-access authorization is adapted to permit access by the respective participant to at least a deal data set and a bookrunner data set, the bookrunner data set is accessible by the bookrunning manager that invited the participant to participate in the syndicated debt offering and by a plurality of debt participants invited by the bookrunning manager to participate in the syndicated debt offering, and the deal data is set accessible by all participants and all bookrunning managers participating in the syndicated debt offering. ### Claim 14 A system useful for controlling the storage and processing of data stored in a central database accessible to multiple users, the multiple users being authorized to control access to data stored in the data structure according to respective user permissions, the system comprising a processor adapted to: associate with data received by the computer data identifying the received data as associated with a syndicated debt offering and as associated with one of a plurality of bookrunning managers administering the syndicated debt offering; store the received data in persistent computer-readable memory, and, subject to verification of authority, allow access to the stored data by at least one of: the bookrunning manager with whom the stored data has been associated, and a participant authorized on behalf of the bookrunning manager to access the data. ### Claim 15 A method for processing data pertaining to a syndicated debt offering to be administered by a plurality of bookrunning managers, the method comprising: associating with data received by the computer data identifying the received data as associated with a syndicated debt offering and as associated with one of a plurality of bookrunning managers administering the syndicated debt offering; storing the received data in persistent computer-readable memory, and, subject to verification of authority, allowing access to the stored data by at least one of: the bookrunning manager with whom the stored data has been associated, and a participant authorized on behalf of the bookrunning manager to access the data. ### Claim 16 (depends on 15) The method of claim 15, wherein the stored data comprises data representing one or more documents associated with syndicated debt offering. ### Claim 17 (depends on 16) The method of claim 16, wherein the stored data comprises data relating to one or more confirmed or potential bookrunning manager, underwriters, participants or invitees. ### Claim 18 (depends on 15) The of claim 15, comprising, upon receipt of signals adapted for causing the computer to change at least one instance of a redundantly-stored data item associated with the syndicated debt offering, changing at least one other instance of the redundantly-stored data item. ### Claim 19 (depends on 18) The method of claim 18, wherein the changing the at least one other instance of the redundantly-stored data item is contingent upon receipt of a confirmation command signal from the same or another user input system. ### Claim 20 (depends on 18) The method of claim 18, comprising, upon changing the at least one other instance of the redundantly-stored data item, providing output signals representing notification of the changing of the at least one other instance of the redundantly-stored data item. ### Claim 21 (depends on 20) The method of claim 20, wherein the notification signals are formatted for communications processing according to an electronic communication protocol. ### Claim 22 (depends on 21) The method of claim 21, wherein the electronic communication protocol comprises at least one of an electronic mail and a Signal Message Service protocol. ### Claim 23 A method for processing data pertaining to a syndicated debt offering to be administered by a plurality of bookrunning managers, the method comprising: upon entry of an execution command from a bookrunning manager or invitee input system, accessing data corresponding to the status of a plurality of criteria relating to the offering of the syndicated debt, access to said data controlled by a plurality of bookrunning managers administering said syndicated debt offering; and displaying on an output device associated with the borrower input system, in human-readable form, information indicating said status. ### Claim 24 (depends on 23) The method of claim 23, comprising, upon entry of an execution command from a borrower or other input system, outputting data corresponding to the status of a plurality of criteria relating to the offering of the syndicated debt. ### Claim 25 A system useful for controlling the storage and processing of data stored in a central database accessible to multiple users, the multiple users being authorized to control access to data stored in the central database according to respective user permissions, the system comprising a processor adapted to: upon entry of an execution command from a bookrunning manager or invitee input system, access data corresponding to the status of a plurality of criteria relating to the offering of the syndicated debt, access to said data controlled by a plurality of bookrunning managers administering said syndicated debt offering; and display on an output device associated with the borrower input system, in human-readable form, information indicating said status. ### Claim 26 A system useful for controlling the storage and processing of data stored in a central database accessible to multiple users, the multiple users being authorized to control access to data stored in the central database according to respective user authorizations, the system comprising a processor adapted to: upon entry of an execution command from a bookrunner or invitee input system, access data corresponding to the status of invitations extended by a bookrunning manager to a plurality of invitees invited to participate in a proposed syndicated debt offering; and display on an output device associated with the bookrunner input system, in human-readable form, information indicating said status. ### Claim 27 A method for processing data pertaining to a syndicated debt offering to be administered by a plurality of bookrunning managers, the method comprising: upon entry of an execution command from a bookrunner or invitee input system, access data corresponding to the status of invitations extended by a bookrunning manager to a plurality of invitees invited to participate in a proposed syndicated debt offering; and display on an output device associated with the bookrunner input system, in human-readable form, information indicating said status. ### Claim 28 A computer-usable medium or media useful for processing data pertaining to a syndicated debt offering to be administered by a plurality of bookrunning managers, the medium comprising computer-readable code embodied therein for causing a computer to: associate with data received by the computer data identifying the received data as associated with a syndicated debt offering and as associated with one of a plurality of bookrunning managers administering the syndicated debt offering; store the received data in persistent computer-readable memory, and, subject to verification of authority, allow access to the stored data by at least one of: the bookrunning manager with whom the stored data has been associated, and a participant authorized on behalf of the bookrunning manager to access the data. ### Claim 29 A computer-usable medium or media useful for processing data pertaining to a syndicated debt offering to be administered by a plurality of bookrunning managers, the medium comprising computer-readable code embodied therein for causing a computer to: with respect to each of a plurality of proposed or existing debt administrations: subject to verification of an authorization, allow access to a plurality of bookrunner data sets by a plurality of debt participants, each of the debt participants being associated a respective one of a plurality of bookrunning managers and each of the plurality of bookrunner datasets associated with a syndicated debt offering administered by the plurality of bookrunning managers; subject to verification of the same or another authorization, allow access by a plurality of debt participants associated with a plurality of the bookrunning managers to a deal data set associated with the syndicated debt, the deal data set accessible by all participants participating in the syndicated debt offering; and allow access by each of the participants and each of the bookrunning managers associated with each of the plurality of proposed or existing debt administrations to a pooled contact data set, the pooled contact data set comprising data useful for communicating with at least one of a plurality of contacts including any one or more of confirmed or potential debt bookrunning managers, arrangers, underwriters, participants, or invitees. ### Claim 30 A computer-usable medium or media useful for processing data pertaining to a syndicated debt offering to be administered by a plurality of bookrunning managers, the medium comprising computer-readable code embodied therein for causing a computer to: display, in human-readable form, information pertaining to at least one syndicated debt offering to be administered by a plurality of bookrunning managers, the information comprising at least one identifier of at least one type of input data solicited from a user of the computer, and at least one input item adapted to facilitate input by the user of data corresponding to the at least one type of solicited input data; wherein the at least one type of input data solicited from the user comprises data useful for communicating with at least one of a bookrunning manager, an arranger, an underwriter, a borrower, a participant, an invitee, and a debt service provider; and upon entry of an execution command by the user, to read data input by the user corresponding to the at least one type of solicited input data; and store the read input data in memory accessible by a plurality of users associated with the at least one syndicated debt offering. ### Claim 31 (depends on 30) The medium or media of claim 30, wherein the at least one input item adapted to facilitate input by the user of data corresponding to the at least one type of solicited input data comprises overridable default data. ### Claim 32 (depends on 31) The medium or media of claim 31, wherein the overridable default data comprises at least one of a name, a business affiliation, a physical address, an email address, and a telephone number associated with the at least one bookrunning manager, arranger, underwriter, borrower participant, invitee, or debt service provider. ### Claim 33 (depends on 30) The medium or media of claim 30, comprising computer-readable code embodied therein for causing a computer, upon reading data input by the user corresponding to a city associated with the at least one bookrunning manager, arranger, underwriter, borrower, participant, invitee, or debt service provider, to display at least one input item adapted to facilitate input by the user of data corresponding to the at least one type of solicited input data, the input item comprising overridable default data, the overridable default data based on the city. ### Claim 34 (depends on 30) The medium or media of claim 30, comprising computer-readable code embodied therein for causing a computer, upon reading data input by the user corresponding to a business entity associated with the at least one bookrunning manager, arranger, underwriter, borrower, participant, invitee, or debt service provider, to display at least one input item adapted to facilitate input by the user of data corresponding to the at least one type of solicited input data, the input item comprising overridable default data, the overridable default data based on the business entity. ### Claim 35 A method for providing shared access to an online database storing information in connection with a syndicated debt offering administered by bookrunners from different financial institutions, the method comprising: transmitting, over an electronic network by a processor, an invitation to an invitee to participate in the syndicated debt offering on behalf of a first bookrunner associated with a first financial institution; receiving, over the electronic network by the processor, a request from the invitee to access the information in the online database; assigning, by the processor, corresponding access permissions for accessing the online database to the first bookrunner associated with the first financial institution, a second bookrunner associated with a second financial institution, and the invitee; and providing, by the processor, electronic access to information associated with the syndicated debt offering in the online database to the first bookrunner, the second bookrunner, and the invitee in accordance with the respective access permissions. ### Claim 36 (depends on 35) The method of claim 35, wherein the invitee is associated with a third financial institution different from at least one of the first financial institution and the second financial institution. ### Claim 37 (depends on 35) The method of claim 35, wherein the invitee is an institutional investor. ### Claim 38 (depends on 35) The method of claim 35, wherein the access permission associated with the invitee is more restrictive with respect to the access permission associated with at least one of the first bookrunner and the second bookrunner. ### Claim 39 (depends on 35) The method of claim 35, wherein the electronic network is the Internet. ### Claim 40 (depends on 35) The method of claim 35, further comprising providing, by the processor, a reporting status for the syndicated debt offering for the first and second bookrunners.