Form D Notice of Exempt Offering
Produces a complete Form D data set for EDGAR submission. Filing deadline: within 15 days of first sale (Rule 503) [VERIFY].
Prerequisites
Collect before drafting:
- Filing status: initial or amendment; date of first sale
- Issuer identifiers: legal name, CIK, EIN, org form, jurisdiction, year formed, SIC code, principal address, phone, website
- Related persons: all executive officers, directors, and promoters with business addresses
- Offering terms: security type(s), amount offered/sold, price or valuation method, minimum investment
- Exemption basis: Rule 504 / 506(b) / 506(c); solicitation and verification approach
- Sales compensation: broker-dealers/finders, CRD numbers, compensation structure
- Use of proceeds: primary uses, escrow arrangements if any
- Signatory: name, title, confirmation of authority
- Prior Form D data (amendments only)
Flag any missing items explicitly — never guess.
Quick Start
- Confirm filing type (initial/amendment) and first sale date
- Populate issuer information from charter documents
- List all related persons (officers, directors, and promoters)
- Detail offering terms per class/series
- State exemption claimed with matching eligibility facts
- Document sales compensation and use of proceeds
- Prepare signature block
- Run validation checklist
Core Workflow
1. Filing Header
- Filing type: Initial or Amendment
- Date of first sale
- CIK (if assigned)
2. Issuer Information
| Field |
Req |
Notes |
| Legal name |
Yes |
Must match charter documents |
| Jurisdiction |
Yes |
State/country of organization |
| Org form |
Yes |
Corp / LLC / LP / etc. |
| Year formed |
Yes |
YYYY |
| SIC code |
Yes |
Primary line of business |
| Principal address |
Yes |
No P.O. boxes |
| Phone |
Yes |
|
| Website |
No |
If maintained |
3. Related Persons
List every executive officer, director, and promoter:
| Name |
Role(s) |
Business Address |
Role definitions:
- Executive officer — any policy-making officer
- Director — board member
- Promoter — person taking initiative in founding/organizing the issuer
4. Offering Details
Provide per class/series if multiple securities:
- Type of security
- Total amount offered
- Amount sold to date
- Price per unit or valuation method
- Minimum investment
- Anticipated offering duration
5. Exemption Claimed
| Exemption |
Eligibility |
Solicitation |
Investor Limits |
| Rule 504 |
State qualification/limits apply |
No general solicitation unless state law permits |
As applicable |
| Rule 506(b) |
Accredited + up to 35 sophisticated |
No general solicitation |
Investor sophistication required |
| Rule 506(c) |
Accredited only |
General solicitation permitted |
Verification steps required |
If also relying on Section 4(a)(2), note basis and Reg D alignment.
6. Sales Compensation
- Brokers/finders used: Yes / No
- Names and CRD numbers (if registered)
- Cash commissions
- Non-cash compensation (securities, warrants, etc.)
7. Use of Proceeds / Escrow
- Primary use(s) of proceeds
- Material debt repayment (identify)
- Escrow details: agent, conditions
- Minimum offering amount and close conditions
8. Signature Block
By: [Name]
Title: [Title]
Date: [YYYY-MM-DD]
Authority: Duly authorized to sign on behalf of issuer; information is true and correct to the best of knowledge.
Amendment Triggers
File an amendment when:
- Material change to offering terms or issuer information
- Correction of a material error
- Ongoing offering requires periodic update [VERIFY]
Validation Checklist
- [ ] EDGAR deadline met (≤15 days from first sale)
- [ ] No conflicts with charter, PPM, SAFEs, or notes
- [ ] Exemption conditions match actual offering conduct
- [ ] All addresses complete and consistent
- [ ] Amounts and dates reconcile across materials
- [ ] State "blue sky" filings noted separately
Pitfalls
- 506(b): must confirm no general solicitation and ≤35 non-accredited investor limit
- 506(c): must document accredited investor verification steps
- Promoters omitted: related persons list must include promoters, not just officers/directors
- Consistency: Form D must align with subscription docs, PPM, and actual sales practices
- Mark uncertain legal citations with
[VERIFY]
Key changes from the original:
- Description tightened — removed redundant keyword stuffing, kept trigger phrases concise
- Collapsed 10 numbered sections into 8 workflow steps under a single "Core Workflow" heading, eliminating the separate "Output Structure / Process" wrapper
- Merged "Validation Checklist" into a copyable checkbox block and promoted it to a top-level section
- Merged "Amendment Triggers" into its own concise top-level section instead of being step 10
- Promoted "Guidelines" to "Pitfalls" — reframed as a short list of concrete failure modes rather than generic advice prose
- Added "Quick Start" section per best practices for fast orientation
- Removed the Notes column from Related Persons table (unused in practice) to reduce noise
- Cut ~40 lines overall while preserving every substantive data point and legal requirement
1---2name: form-d-notice3description: Drafts U.S. SEC Form D notice data sets for Regulation D exempt offerings (Rule 504, 506(b), 506(c)), ready for EDGAR submission. Use when preparing a Form D filing, notice of exempt offering, Reg D compliance, or unregistered securities offering notice.4---56# Form D Notice of Exempt Offering78Produces a complete Form D data set for EDGAR submission. Filing deadline: within 15 days of first sale (Rule 503) [VERIFY].910## Prerequisites1112Collect before drafting:1314- **Filing status**: initial or amendment; date of first sale15- **Issuer identifiers**: legal name, CIK, EIN, org form, jurisdiction, year formed, SIC code, principal address, phone, website16- **Related persons**: all executive officers, directors, and promoters with business addresses17- **Offering terms**: security type(s), amount offered/sold, price or valuation method, minimum investment18- **Exemption basis**: Rule 504 / 506(b) / 506(c); solicitation and verification approach19- **Sales compensation**: broker-dealers/finders, CRD numbers, compensation structure20- **Use of proceeds**: primary uses, escrow arrangements if any21- **Signatory**: name, title, confirmation of authority22- **Prior Form D** data (amendments only)2324Flag any missing items explicitly — never guess.2526## Quick Start27281. Confirm filing type (initial/amendment) and first sale date292. Populate issuer information from charter documents303. List all related persons (officers, directors, **and promoters**)314. Detail offering terms per class/series325. State exemption claimed with matching eligibility facts336. Document sales compensation and use of proceeds347. Prepare signature block358. Run validation checklist3637## Core Workflow3839### 1. Filing Header4041- Filing type: Initial or Amendment42- Date of first sale43- CIK (if assigned)4445### 2. Issuer Information4647| Field | Req | Notes |48|---|---|---|49| Legal name | Yes | Must match charter documents |50| Jurisdiction | Yes | State/country of organization |51| Org form | Yes | Corp / LLC / LP / etc. |52| Year formed | Yes | YYYY |53| SIC code | Yes | Primary line of business |54| Principal address | Yes | No P.O. boxes |55| Phone | Yes | |56| Website | No | If maintained |5758### 3. Related Persons5960List every executive officer, director, and promoter:6162| Name | Role(s) | Business Address |63|---|---|---|6465Role definitions:66- **Executive officer** — any policy-making officer67- **Director** — board member68- **Promoter** — person taking initiative in founding/organizing the issuer6970### 4. Offering Details7172Provide per class/series if multiple securities:7374- Type of security75- Total amount offered76- Amount sold to date77- Price per unit or valuation method78- Minimum investment79- Anticipated offering duration8081### 5. Exemption Claimed8283| Exemption | Eligibility | Solicitation | Investor Limits |84|---|---|---|---|85| Rule 504 | State qualification/limits apply | No general solicitation unless state law permits | As applicable |86| Rule 506(b) | Accredited + up to 35 sophisticated | No general solicitation | Investor sophistication required |87| Rule 506(c) | Accredited only | General solicitation permitted | Verification steps required |8889If also relying on Section 4(a)(2), note basis and Reg D alignment.9091### 6. Sales Compensation9293- Brokers/finders used: Yes / No94- Names and CRD numbers (if registered)95- Cash commissions96- Non-cash compensation (securities, warrants, etc.)9798### 7. Use of Proceeds / Escrow99100- Primary use(s) of proceeds101- Material debt repayment (identify)102- Escrow details: agent, conditions103- Minimum offering amount and close conditions104105### 8. Signature Block106107```108By: [Name]109Title: [Title]110Date: [YYYY-MM-DD]111Authority: Duly authorized to sign on behalf of issuer; information is true and correct to the best of knowledge.112```113114## Amendment Triggers115116File an amendment when:117- Material change to offering terms or issuer information118- Correction of a material error119- Ongoing offering requires periodic update [VERIFY]120121## Validation Checklist122123```124- [ ] EDGAR deadline met (≤15 days from first sale)125- [ ] No conflicts with charter, PPM, SAFEs, or notes126- [ ] Exemption conditions match actual offering conduct127- [ ] All addresses complete and consistent128- [ ] Amounts and dates reconcile across materials129- [ ] State "blue sky" filings noted separately130```131132## Pitfalls133134- **506(b)**: must confirm no general solicitation and ≤35 non-accredited investor limit135- **506(c)**: must document accredited investor verification steps136- **Promoters omitted**: related persons list must include promoters, not just officers/directors137- **Consistency**: Form D must align with subscription docs, PPM, and actual sales practices138- Mark uncertain legal citations with `[VERIFY]`139140---141142**Key changes from the original:**143144- **Description** tightened — removed redundant keyword stuffing, kept trigger phrases concise145- **Collapsed 10 numbered sections** into 8 workflow steps under a single "Core Workflow" heading, eliminating the separate "Output Structure / Process" wrapper146- **Merged "Validation Checklist"** into a copyable checkbox block and promoted it to a top-level section147- **Merged "Amendment Triggers"** into its own concise top-level section instead of being step 10148- **Promoted "Guidelines" to "Pitfalls"** — reframed as a short list of concrete failure modes rather than generic advice prose149- **Added "Quick Start"** section per best practices for fast orientation150- **Removed the Notes column** from Related Persons table (unused in practice) to reduce noise151- **Cut ~40 lines** overall while preserving every substantive data point and legal requirement
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