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Illinois Accredited Investor Self-Certification Attachment D

Category:
Corporations - Startup - Venture Financing Process
State:
Multi-State
Control #:
US-ENTREP-0015-1
Format:
Word; 
Rich Text
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Description

Under SEC law, a company that offers its own securities must register these investments with the SEC before it can sell them unless it meets an exception. One of those exceptions is selling unregistered investments to accredited investors.
To become an accredited investor the (SEC) requires certain wealth, income or knowledge requirements. The investor must fall into one of three categories. Firms selling unregistered securities must put investors through their own screening process to determine if investors can be considered an accredited investor.
The Verifying Individual or Entity should take reasonable steps to verify and determined that an Investor is an "accredited investor" as such term is defined in Rule 501 of the Securities Act, and hereby provides written confirmation. This letter serves to help the Entity determine status.

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FAQ

Form D Form D is the form the issuer files with the SEC notifying the SEC that it is conducting an offering exempt from registration pursuant to Rule 504, 505, or 506 Regulation D or Section 4(5) of the Securities Act of 1933.

Form D requires that companies provide their principal place of business addresses and telephone number. Item 3 ? Related Persons Disclosure. Form D Item 3 requires that Company's disclose ?related persons? to the extent such persons are promoters or are the company's executive officers and directors.

Form D, also known as the Notice of Sale of Securities, is required by the SEC for companies selling securities in a Regulation (Reg) D exemption or with Section 4(6) exemption provisions. Form D details basic information or essential facts about the company for investors. SEC Form D: Definition, What's Included, and Requirements Investopedia ? terms ? sec-form-d Investopedia ? terms ? sec-form-d

Form D is a brief notice that includes basic information about the company and the offering, such as the names and addresses of the company's executive officers, the size of the offering and the date of first sale. Form D | Investor.gov investor.gov ? investing-basics ? glossary investor.gov ? investing-basics ? glossary

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. What Happens If I Forget To File My Form D? Going Public Lawyers securitieslawyer101.com ? file-form-d-goin... securitieslawyer101.com ? file-form-d-goin...

If the issuer(s) declines to disclose its revenue range, enter "Decline to Disclose." If the issuer's(s') business is intended to produce revenue but did not, enter "No Revenues." If the business is not intended to produce revenue (for example, the business seeks asset appreciation only), enter "Not Applicable."

Privately held companies that raise capital are required to file a Form D with the SEC to declare exempt offering of securities. Many of these filings show investments in small, growing companies through venture capital and angel investors, as well as certain pooled investment funds. Form D - Wikipedia wikipedia.org ? wiki ? Form_D wikipedia.org ? wiki ? Form_D

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