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  • Sec Form D 2013

Get Sec Form D 2013-2025

000 Over $100,000,000 Over $100,000,000 Decline to Disclose Decline to Disclose Not Applicable Not Applicable Item 6. Federal Exemptions and Exclusions Claimed (Select all that apply) Investment Company Act Section 3(c) Rule 504(b)(1) (not (i), (ii) or (iii)) Section 3(c)(1) Section 3(c)(9) Rule 504(b)(1)(i) Section 3(c)(2) Section 3(c)(10) Rule 504(b)(1)(ii) Section 3(c)(3) Section 3(c)(11) Section 3(c)(4) Section 3(c)(12) Section 3(c)(5) Section 3(c)(13) Section 3(c)(6) .

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How to fill out the SEC Form D online

Filing the SEC Form D online is an essential part of raising capital by notifying the Securities and Exchange Commission of an exempt offering of securities. This guide provides a clear, step-by-step process to assist you in completing the form effectively.

Follow the steps to successfully complete the SEC Form D online.

  1. Use the ‘Get Form’ button to acquire the SEC Form D and open it in your preferred editor.
  2. Provide the issuer's identity in Item 1. Enter the full name, any previous names, entity type, jurisdiction of incorporation, and the year of incorporation. If there are multiple issuers, check the appropriate box.
  3. In Item 2, fill in the principal place of business and contact information, including the full street address and phone number.
  4. Complete Item 3 by listing related persons, including their full names, addresses, and relationships to the issuer.
  5. Select the appropriate industry group in Item 4 that best represents the issuer's core business activities.
  6. In Item 5, indicate the issuer size based on revenue or net asset value ranges selected based on your offerings.
  7. For Item 6, choose the applicable exemptions and exclusions claimed that will secure compliance with federal requirements.
  8. Specify the type of filing in Item 7, noting whether it is a new notice or an amendment, and provide the date of the first sale of securities.
  9. In Item 8, respond to whether the offering is intended to last more than one year.
  10. Complete Item 9 by selecting all applicable types of securities being offered.
  11. In Item 10, indicate if the offering is related to a business combination transaction.
  12. State the minimum investment in Item 11, detailing the dollar amount accepted from outside investors.
  13. Input all relevant information regarding sales compensation in Item 12, noting recipients and related broker or dealer details.
  14. For Item 13, declare the total offering amount, amount sold, and any remaining amounts.
  15. Indicate in Item 14 if any securities have been sold to non-accredited investors, providing necessary counts.
  16. Provide details of sales commissions and finders' fees in Item 15.
  17. In Item 16, outline the intended use of proceeds from the offering.
  18. Finally, verify all entered information, sign the form, and submit electronically to the SEC.

Begin the process of filing your SEC Form D online today.

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The total offering amount on SEC Form D refers to the total dollar value of securities you plan to sell in your offering. This figure includes both the expected proceeds and any potential future securities that may be issued as part of the same offering. Clearly defining this amount helps ensure proper disclosure and compliance.

You should file SEC Form D within 15 days after the first sale of securities in your offering. Timely submission is crucial to stay compliant with SEC regulations. It's recommended to prepare the form in advance to meet this deadline, especially if you plan to start raising funds soon.

While the SEC technically allows filing a Form D after the initial 15-day period following the offering, it may complicate matters. Late filings can raise red flags for both investors and regulators. It is recommended to file within the window to avoid potential issues.

Filing a Form D with the SEC is straightforward. You can complete the form online through the SEC's EDGAR system. It is important to ensure that all information is accurate and submitted in a timely manner to maintain compliance with federal regulations.

Regulation D of the SEC comprises a series of rules that define exemptions companies can utilize when selling securities. It is designed to help small businesses raise capital while still offering some level of protection to investors. Understanding this regulation is vital to successfully navigating the fundraising landscape.

A Form D for the SEC is primarily a notification form that outlines a company's reliance on Regulation D exemptions for its securities offerings. It provides necessary details such as issuer information and the type of securities sold. Filing this form ensures that a company remains in good standing with federal regulators.

SEC Form D is a notice of exempt offering of securities that companies must file when raising capital through Regulation D. The form contains details about the offering, including the types of securities, the amount, and information about the company. It serves as a valuable tool for compliance and investor transparency.

SEC Regulation D outlines a set of rules under which companies can offer and sell their securities without going through the full registration process. This regulation aims to simplify access to capital for small businesses while providing certain investor protections. Understanding SEC Regulation D is essential for any business considering private investment.

Regulation D primarily applies to U.S. companies seeking to raise capital through private placements. This regulation is designed for both established businesses and startups aiming to offer securities to accredited or non-accredited investors. Understanding the audience for your offering can help you make better fundraising decisions. Resources like USLegalForms can assist you in navigating these regulations and ensuring compliance.

Form D is mandatory for offerings that intend to use exemptions under Regulation D. While some offerings may qualify for other exemptions and not necessitate Form D, missing this filing can hinder your capital raising efforts. By addressing this requirement early, you can avoid potential issues down the road. Seek assistance from resources like USLegalForms to navigate this process efficiently.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
Privacy Notice
Legal Hub
Content Takedown Policy
Bug Bounty Program
About Us
Blog
Affiliates
Contact Us
Delete My Account
Site Map
Industries
Forms in Spanish
Localized Forms
State-specific Forms
Forms Kit
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate WorkFlow
DocHub
Instapage
Social Media
Call us now toll free:
+1 833 426 79 33
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232