casemark/form-d-notice

Form D Notice of Exempt Offering

Produces a complete Form D data set for EDGAR submission. Filing deadline: within 15 days of first sale (Rule 503) [VERIFY].

Prerequisites

Collect before drafting:

• Filing status: initial or amendment; date of first sale
• Issuer identifiers: legal name, CIK, EIN, org form, jurisdiction, year formed, SIC code, principal address, phone, website
• Related persons: all executive officers, directors, and promoters with business addresses
• Offering terms: security type(s), amount offered/sold, price or valuation method, minimum investment
• Exemption basis: Rule 504 / 506(b) / 506(c); solicitation and verification approach
• Sales compensation: broker-dealers/finders, CRD numbers, compensation structure
• Use of proceeds: primary uses, escrow arrangements if any
• Signatory: name, title, confirmation of authority
• Prior Form D data (amendments only)

Flag any missing items explicitly — never guess.

Quick Start

1. Confirm filing type (initial/amendment) and first sale date
2. Populate issuer information from charter documents
3. List all related persons (officers, directors, and promoters)
4. Detail offering terms per class/series
5. State exemption claimed with matching eligibility facts
6. Document sales compensation and use of proceeds
7. Prepare signature block
8. Run validation checklist

Core Workflow

1. Filing Header

• Filing type: Initial or Amendment
• Date of first sale
• CIK (if assigned)

2. Issuer Information

| Field | Req | Notes | |---|---|---| | Legal name | Yes | Must match charter documents | | Jurisdiction | Yes | State/country of organization | | Org form | Yes | Corp / LLC / LP / etc. | | Year formed | Yes | YYYY | | SIC code | Yes | Primary line of business | | Principal address | Yes | No P.O. boxes | | Phone | Yes | | | Website | No | If maintained |

3. Related Persons

List every executive officer, director, and promoter:

| Name | Role(s) | Business Address | |---|---|---|

Role definitions:

• Executive officer — any policy-making officer
• Director — board member
• Promoter — person taking initiative in founding/organizing the issuer

4. Offering Details

Provide per class/series if multiple securities:

• Type of security
• Total amount offered
• Amount sold to date
• Price per unit or valuation method
• Minimum investment
• Anticipated offering duration

5. Exemption Claimed

| Exemption | Eligibility | Solicitation | Investor Limits | |---|---|---|---| | Rule 504 | State qualification/limits apply | No general solicitation unless state law permits | As applicable | | Rule 506(b) | Accredited + up to 35 sophisticated | No general solicitation | Investor sophistication required | | Rule 506(c) | Accredited only | General solicitation permitted | Verification steps required |

If also relying on Section 4(a)(2), note basis and Reg D alignment.

6. Sales Compensation

• Brokers/finders used: Yes / No
• Names and CRD numbers (if registered)
• Cash commissions
• Non-cash compensation (securities, warrants, etc.)

7. Use of Proceeds / Escrow

• Primary use(s) of proceeds
• Material debt repayment (identify)
• Escrow details: agent, conditions
• Minimum offering amount and close conditions

8. Signature Block

By: [Name]
Title: [Title]
Date: [YYYY-MM-DD]
Authority: Duly authorized to sign on behalf of issuer; information is true and correct to the best of knowledge.

Amendment Triggers

File an amendment when:

• Material change to offering terms or issuer information
• Correction of a material error
• Ongoing offering requires periodic update [VERIFY]

Validation Checklist

- [ ] EDGAR deadline met (≤15 days from first sale)
- [ ] No conflicts with charter, PPM, SAFEs, or notes
- [ ] Exemption conditions match actual offering conduct
- [ ] All addresses complete and consistent
- [ ] Amounts and dates reconcile across materials
- [ ] State "blue sky" filings noted separately

Pitfalls

• 506(b): must confirm no general solicitation and ≤35 non-accredited investor limit
• 506(c): must document accredited investor verification steps
• Promoters omitted: related persons list must include promoters, not just officers/directors
• Consistency: Form D must align with subscription docs, PPM, and actual sales practices
• Mark uncertain legal citations with [VERIFY]

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Key changes from the original:

• Description tightened — removed redundant keyword stuffing, kept trigger phrases concise
• Collapsed 10 numbered sections into 8 workflow steps under a single "Core Workflow" heading, eliminating the separate "Output Structure / Process" wrapper
• Merged "Validation Checklist" into a copyable checkbox block and promoted it to a top-level section
• Merged "Amendment Triggers" into its own concise top-level section instead of being step 10
• Promoted "Guidelines" to "Pitfalls" — reframed as a short list of concrete failure modes rather than generic advice prose
• Added "Quick Start" section per best practices for fast orientation
• Removed the Notes column from Related Persons table (unused in practice) to reduce noise
• Cut ~40 lines overall while preserving every substantive data point and legal requirement