This form is a list of requested due diligence documents. The list consists of documents and information to be submitted to the due diligence team proposed public offering of common stock. This request list is intended to update the diligence materials that were received in connection with the Initial Public Offering.
California Document and Information Request List for Secondary Stock Offering
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How to fill out California Document And Information Request List For Secondary Stock Offering?
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The 25102(o) notice can be filed online and must be filed within 30 days following the initial issuance of any security under the corporation's option plan. Additionally, a new 25102(o) notice must be filed whenever the corporation increases the number of shares reserved under its option plan.
If your business qualifies for exemption 25102(f), you must electronically file a Limited Offering Exemption Notice ( ) within 15 days from the date of issuance and pay the appropriate fee to the California Department of Corporations.
A secondary offering occurs when an investor sells their shares to the public on the secondary market after an initial public offering (IPO). Proceeds from an investor's secondary offering go directly into an investor's pockets rather than to the company.
Failure to File Form D Under Rule 507 of Regulation D, the SEC can take action against the issuer that fails to file a Form D, having the issuer enjoined from future use of Regulation D. In some instances, if the violation of Regulation D is willful, it could also constitute a felony.
The 25102(f) notice must be filed with, or mailed to, the Commissioner within 15 calendar days after the first sale of a security in the transaction in California.
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To file a Form D, visit the SEC's Online Forms Login page and log in using the company's CIK number and EDGAR access codes. Once logged in, choose Form D under Make a Filing in the top left corner.
Form D is a SEC filing form to be used to file a notice of an exempt offering of securities under Regulation D of the U.S. Securities and Exchange Commission.
Code § 25102(f)) requires an issuer to file a notice of transaction with the Department of Business Oversight with 15 calendar days after the first first sale of the security in California.
The 25102(f) exemption is not lost if the notice form is not timely filed. However, if you did not file the notice within 15 days after you first issued stock, you must file the notice within 15 days after discovering the failure to file the required notice or after the Commissioner makes a demand.
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