This form is a due diligence questionnaire that pertains to the preparation and filing of the Proxy Statement. The answers to the questions in this questionnaire must be supplied from directors and officers of the company.
Wisconsin Questionnaire for Directors and Officers Annual Proxy Statement
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US-DD06023A
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How to fill out Questionnaire For Directors And Officers Annual Proxy Statement?
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FAQ
How are D&O Questionnaires Used in Public Corporations? Public companies, and companies that plan to register as public companies, are required to submit Form S-1, a registration statement required under the federal Securities Act of 1933.
Businesses that are incorporated in another state will typically apply for a Wisconsin certificate of authority. Doing so registers the business as a foreign entity and eliminates the need to incorporate a new entity. Operating without a certificate of authority may result in penalties or fines.
Certification status means a condition placed on an individual certificate for identification as active, deceased, denied, dropped, expired, failed, hold, idle, inactive, incomplete, pending, probation, restricted, retired, revoked, surrendered, suspended, or temporary.
In Wisconsin, a Certificate of Status is issued by the Wisconsin Department of Financial Institutions. It's a legal document confirming the existence of the business in the state. Such confirmation can facilitate the process of renewing permits and licenses and may even be required in some cases.
This Questionnaire is being distributed to (i) all persons who are directors (and nominees for election of directors, if any) of the Company, (ii) all persons who are or will be officers of the Company, (iii) each person who will own of record or beneficially more than 5% of any class of voting securities of the
The answers to the questionnaire provide information about an individual's background and experience, securities ownership, independence, insider transactions and compensation, which permits the company and its counsel to provide and confirm accurate disclosure in its registration statements or Form 10-K reports and
D&O questionnaires are needed to ensure that the company is able to accurately comply with its proxy disclosure requirements and regulatory oversight obligations.
If you wish to order a good standing certificate or certified copy of a document for a Wisconsin state chartered bank or savings institution, you can e-mail your request to dfibankingrequests@wisconsin.gov.
Search for a Business Entity (Corporation, LLC, Limited Partnership) in Wisconsin by using the website. You may preform a lookup by Name or through the Advanced Search option.
The statements on the D&O questionnaires are designed to fully capture all business relationships that board directors, officers and principal shareholders have. D&O questionnaires ensure independence and require pertinent parties to disclose conflicts of interest.
