Jonah Patel
Form D is a federal notice of an exempt securities offering. It is the only disclosure document that is required to be filed with the SEC. The date of first sale is the date on which the first investor is irrevocably contractually committed to invest. This date is important because the SEC requires that Form D be filed within 15 days of the first sale of securities in the offering.
| Characteristics | Values |
|---|---|
| Date of first sale | The date on which the first investor is irrevocably contractually committed to invest |
| Filing deadline | Within 15 days of the first sale |
| Fee | None |
| Filing method | Online using the SEC's EDGAR (Electronic Data Gathering, Analysis and Retrieval) system |
| Requirements | A company's filer identification number (Central Index Key or CIK number) and a set of password-like access codes |
| Parts | Two: basic information about the issuer and questions about the offering |
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What You'll Learn
- The date of first sale is the date on which the first investor is irrevocably contractually committed to invest
- The notice must be filed within 15 days of the first sale
- Form D is a federal notice of an exempt securities offering
- Form D is divided into two parts: basic information about the issuer and questions about the offering
- Form D must be filed online using the SEC's EDGAR system
The date of first sale is the date on which the first investor is irrevocably contractually committed to invest
Form D is a federal notice of an exempt securities offering and is the only disclosure document that is required to be filed with the Securities and Exchange Commission (SEC). The form is divided into two parts: the first part requests basic information about the issuer, and the second part asks questions about the offering itself.
Form D is not subject to a review or approval by the SEC, but is a required notification document. The federal Form D must be filed within fifteen days of the first sale to investors, and an annual update must be filed as long as the offering remains open.
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The notice must be filed within 15 days of the first sale
Form D is a federal notice of an exempt securities offering and is the only disclosure document that is required to be filed with the Securities and Exchange Commission (SEC). The notice must be filed within 15 days of the first sale of securities in the offering. The date of the first sale is the date on which the first investor is irrevocably contractually committed to invest.
The form is divided into two parts. The first part requests basic information about the issuer, such as the name of the issuer and any previous names that it has used in the past five years. The second part asks questions about the offering itself, including the amount of sales commissions, finders' fees or use of proceeds for payments to executive officers, directors or promoters.
Form D is not subject to a review or approval by the SEC, but is a required notification document. An annual update must be filed as long as the offering remains open.
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Form D is a federal notice of an exempt securities offering
Form D is divided into two parts. The first part requests basic information about the issuer, such as the name of the issuer and any previous names that it has used in the past five years. The second part asks questions about the offering itself, such as the size and date of the offering, along with the names and addresses of the company's executive officers. This notice is in lieu of more traditional, lengthy reports when filing a non-exempt issuance.
Form D is not subject to a review or approval by the SEC, but is a required notification document. The SEC does not charge any filing fee for a Form D notice or amendment. Form D notices and amendments must be filed online using the SEC's EDGAR (Electronic Data Gathering, Analysis and Retrieval) system. To file using the EDGAR system, a company must have its own filer identification number (called a “Central Index Key” or “CIK” number) and a set of password-like “access codes.
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Form D is divided into two parts: basic information about the issuer and questions about the offering
Form D is a federal notice of an exempt securities offering. It is divided into two parts: the first part requests basic information about the issuer, and the second part asks questions about the offering itself.
The issuer must provide its name and any previous names it has used in the past five years. The date of the first sale is the date on which the first investor is irrevocably contractually committed to invest. This date is important because the issuer must file Form D within 15 days of the first sale. If the due date falls on a weekend or holiday, it is moved to the next business day.
Form D is not subject to review or approval by the SEC, but it is a required notification document. It must be filed online using the SEC's EDGAR (Electronic Data Gathering, Analysis and Retrieval) system. To file using the EDGAR system, a company must have its own filer identification number (called a "Central Index Key" or "CIK" number) and a set of password-like "access codes."
Form D discloses biographical information about the offering, the company, use of proceeds, and the principals of the company. It also includes information on the amount of sales commissions, finders' fees, or use of proceeds for payments to executive officers, directors, or promoters.
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Form D must be filed online using the SEC's EDGAR system
Form D is a federal notice of an exempt securities offering and is the only disclosure document that is required to be filed with the SEC. The date of first sale is the date on which the first investor is irrevocably contractually committed to invest. The federal Form D must be filed within 15 days of the first sale to investors. An annual update must be filed as long as the offering remains open.
Form D must be filed online using the SEC's EDGAR (Electronic Data Gathering, Analysis and Retrieval) system. To file using the EDGAR system, a company must have its own filer identification number (called a "Central Index Key" or "CIK" number) and a set of password-like "access codes". A company can obtain a CIK number and EDGAR access codes at any time, even well before it is ready to file its first online Form D notice. To get them, the company must complete and submit an application for EDGAR access online through Form ID. Once a company has a CIK number and EDGAR access codes, it can make Form D and other SEC filings by logging into the EDGAR system. Once logged in, the filer will have only one hour after its last keystroke to complete a Form D filing. Therefore, it is important to gather all the information needed to complete the filing before logging in. The company can compile the information using a paper version of Form D before entering it online. 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.
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Frequently asked questions
Form D is a federal notice of an exempt securities offering. It is the only disclosure document that is required to be filed with the SEC.
The date of first sale is the date on which the first investor is irrevocably contractually committed to invest.
Form D must be filed within 15 days of the first sale to investors. An annual update must be filed as long as the offering remains open.
