Get Sec Mandates Electronic Filing Of Form D - Shearman & Sterling

This guide provides a comprehensive overview of how to accurately complete the SEC mandates electronic filing of Form D, also known as the notice of exempt offering of securities. Whether you are an issuer or a representative, this step-by-step process demystifies the electronic filing requirements to ensure compliance and facilitate a smooth submission.

Follow the steps to successfully complete the Form D online.

1. Click ‘Get Form’ button to obtain the form and open it for editing.
2. Enter the issuer’s identity information including the name, previous names, jurisdiction of incorporation, entity type, and year of incorporation. Ensure that all information is accurate and up-to-date.
3. Provide the principal place of business and contact information. Avoid using post office box numbers and ensure you list a full street address and a valid telephone number.
4. Complete the related persons section by entering the names, relationships, and addresses of any relevant executive officers, directors, or promoters.
5. Select the appropriate industry group from the provided list. This categorization helps clarify the issuer's business sector.
6. Fill in the issuer size information by selecting the revenue range for your organization. If applicable, also include the aggregate net asset value.
7. Indicate the federal exemptions and exclusions being claimed for this offering. Check all that apply from the provided options.
8. Specify the type of filing. Indicate whether this is a new notice or an amendment and include the date of first sale if this is a new notice.
9. Determine the duration of the offering by indicating if it will last more than one year.
10. Select the type(s) of securities being offered and ensure to check all categories that apply.
11. Indicate if this offering is related to a business combination transaction, such as a merger or acquisition.
12. Enter the minimum investment amount expected from outside investors.
13. Provide details of sales compensation for any individuals involved, including their CRD numbers if applicable.
14. Report total offering amounts and sales amounts, specifying whether the amounts are definite or indefinite as necessary.
15. Clarify if there have been sales to non-accredited investors and state the total number of investors already involved.
16. Complete the expenses and use of proceeds section, indicating the amounts directed to sales commissions and any related fees.
17. Review all entries for accuracy and completeness before submitting the form. Include your digital signature as required.
18. Once all fields are filled and reviewed, submit the form electronically. Ensure to keep a copy for your records.

Ensure compliance and simplicity by completing your Form D online today.