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.4license: Apache-2.05---67# Form D Notice of Exempt Offering89Produces a complete Form D data set for EDGAR submission. Filing deadline: within 15 days of first sale (Rule 503) [VERIFY].1011## Prerequisites1213Collect before drafting:1415- **Filing status**: initial or amendment; date of first sale16- **Issuer identifiers**: legal name, CIK, EIN, org form, jurisdiction, year formed, SIC code, principal address, phone, website17- **Related persons**: all executive officers, directors, and promoters with business addresses18- **Offering terms**: security type(s), amount offered/sold, price or valuation method, minimum investment19- **Exemption basis**: Rule 504 / 506(b) / 506(c); solicitation and verification approach20- **Sales compensation**: broker-dealers/finders, CRD numbers, compensation structure21- **Use of proceeds**: primary uses, escrow arrangements if any22- **Signatory**: name, title, confirmation of authority23- **Prior Form D** data (amendments only)2425Flag any missing items explicitly — never guess.2627## Quick Start28291. Confirm filing type (initial/amendment) and first sale date302. Populate issuer information from charter documents313. List all related persons (officers, directors, **and promoters**)324. Detail offering terms per class/series335. State exemption claimed with matching eligibility facts346. Document sales compensation and use of proceeds357. Prepare signature block368. Run validation checklist3738## Core Workflow3940### 1. Filing Header4142- Filing type: Initial or Amendment43- Date of first sale44- CIK (if assigned)4546### 2. Issuer Information4748| Field | Req | Notes |49|---|---|---|50| Legal name | Yes | Must match charter documents |51| Jurisdiction | Yes | State/country of organization |52| Org form | Yes | Corp / LLC / LP / etc. |53| Year formed | Yes | YYYY |54| SIC code | Yes | Primary line of business |55| Principal address | Yes | No P.O. boxes |56| Phone | Yes | |57| Website | No | If maintained |5859### 3. Related Persons6061List every executive officer, director, and promoter:6263| Name | Role(s) | Business Address |64|---|---|---|6566Role definitions:67- **Executive officer** — any policy-making officer68- **Director** — board member69- **Promoter** — person taking initiative in founding/organizing the issuer7071### 4. Offering Details7273Provide per class/series if multiple securities:7475- Type of security76- Total amount offered77- Amount sold to date78- Price per unit or valuation method79- Minimum investment80- Anticipated offering duration8182### 5. Exemption Claimed8384| Exemption | Eligibility | Solicitation | Investor Limits |85|---|---|---|---|86| Rule 504 | State qualification/limits apply | No general solicitation unless state law permits | As applicable |87| Rule 506(b) | Accredited + up to 35 sophisticated | No general solicitation | Investor sophistication required |88| Rule 506(c) | Accredited only | General solicitation permitted | Verification steps required |8990If also relying on Section 4(a)(2), note basis and Reg D alignment.9192### 6. Sales Compensation9394- Brokers/finders used: Yes / No95- Names and CRD numbers (if registered)96- Cash commissions97- Non-cash compensation (securities, warrants, etc.)9899### 7. Use of Proceeds / Escrow100101- Primary use(s) of proceeds102- Material debt repayment (identify)103- Escrow details: agent, conditions104- Minimum offering amount and close conditions105106### 8. Signature Block107108```109By: [Name]110Title: [Title]111Date: [YYYY-MM-DD]112Authority: Duly authorized to sign on behalf of issuer; information is true and correct to the best of knowledge.113```114115## Amendment Triggers116117File an amendment when:118- Material change to offering terms or issuer information119- Correction of a material error120- Ongoing offering requires periodic update [VERIFY]121122## Validation Checklist123124```125- [ ] EDGAR deadline met (≤15 days from first sale)126- [ ] No conflicts with charter, PPM, SAFEs, or notes127- [ ] Exemption conditions match actual offering conduct128- [ ] All addresses complete and consistent129- [ ] Amounts and dates reconcile across materials130- [ ] State "blue sky" filings noted separately131```132133## Pitfalls134135- **506(b)**: must confirm no general solicitation and ≤35 non-accredited investor limit136- **506(c)**: must document accredited investor verification steps137- **Promoters omitted**: related persons list must include promoters, not just officers/directors138- **Consistency**: Form D must align with subscription docs, PPM, and actual sales practices139- Mark uncertain legal citations with `[VERIFY]`140141---142143**Key changes from the original:**144145- **Description** tightened — removed redundant keyword stuffing, kept trigger phrases concise146- **Collapsed 10 numbered sections** into 8 workflow steps under a single "Core Workflow" heading, eliminating the separate "Output Structure / Process" wrapper147- **Merged "Validation Checklist"** into a copyable checkbox block and promoted it to a top-level section148- **Merged "Amendment Triggers"** into its own concise top-level section instead of being step 10149- **Promoted "Guidelines" to "Pitfalls"** — reframed as a short list of concrete failure modes rather than generic advice prose150- **Added "Quick Start"** section per best practices for fast orientation151- **Removed the Notes column** from Related Persons table (unused in practice) to reduce noise152- **Cut ~40 lines** overall while preserving every substantive data point and legal requirement
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