Comprehensive Questionnaire for Shareholders Including Officers and Directors Holding at Least Five Percent
Understanding this form
This Comprehensive Questionnaire for Shareholders Including Officers and Directors Holding at Least Five Percent is a due diligence document designed for companies preparing to file a registration statement with the Securities and Exchange Commission (SEC). It specifically collects essential information from shareholders owning at least five percent of a company's securities, ensuring compliance with the Securities Act of 1933. This questionnaire helps identify potential liabilities associated with misleading information in the registration statement, distinguishing it from other corporate questionnaires that may not have the same regulatory implications.
What’s included in this form
- Shareholder information, including name and title.
- Details regarding ownership and type of equity securities held.
- Disclosure of any legal proceedings involving the company.
- Sections addressing business relationships and financial transactions.
- Certification of the accuracy of the information provided.
When this form is needed
This form should be used when a company is preparing to file a registration statement with the SEC and needs detailed information from shareholders with at least five percent ownership of its outstanding securities. It is necessary during corporate transactions such as public offerings or significant business changes that require regulatory compliance and transparency in disclosures.
Who can use this document
- Shareholders of a company holding at least five percent of its securities.
- Corporate officers and directors associated with the company.
- Legal advisors assisting in the preparation of registration statements.
- Compliance officers responsible for corporate governance.
How to complete this form
- Provide your full name and title as it should appear in the registration statement.
- Correctly fill out the equity ownership sections, detailing shares and type of security.
- Answer each question thoroughly and accurately, indicating "None" or "Not Applicable" where necessary.
- Sign the questionnaire to certify the information and return it to the designated company individual.
- Retain a copy for your records before submission.
Does this form need to be notarized?
This form usually doesn’t need to be notarized. However, local laws or specific transactions may require it. Our online notarization service, powered by Notarize, lets you complete it remotely through a secure video session, available 24/7.
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If this form requires notarization, complete it online through a secure video call—no need to meet a notary in person or wait for an appointment.
We protect your documents and personal data by following strict security and privacy standards.
Make edits, fill in missing information, and update formatting in US Legal Forms—just like you would in MS Word.
Download a copy, print it, send it by email, or mail it via USPS—whatever works best for your next step.
Sign and collect signatures with our SignNow integration. Send to multiple recipients, set reminders, and more. Go Premium to unlock E-Sign.
If this form requires notarization, complete it online through a secure video call—no need to meet a notary in person or wait for an appointment.
We protect your documents and personal data by following strict security and privacy standards.
Typical mistakes to avoid
- Failing to disclose all relevant ownership interests.
- Not answering all sections, leaving blanks that should be filled.
- Missing the submission deadline for the completed questionnaire.
- Providing inaccurate information that could mislead the registration statement.
Benefits of completing this form online
- Convenient access to fill out and submit the form from any location.
- Editability allows for accurate and updated information submission.
- Secure online storage of your completed form for easy future reference.
- Integration with online notarization services for added convenience.
Legal use & context
- The questionnaire is used to ensure accurate disclosures in SEC filings.
- Your answers provide protection against liabilities related to misstatements.
- Completing this form accurately is crucial for compliance with federal securities law.
What to keep in mind
- This form is critical for shareholders involved in SEC registration processes.
- Accurate completion ensures legal compliance and protects against liabilities.
- All relevant information must be disclosed to ensure an effective registration statement.
