| name | form-d-notice |
| title | Form D Notice of Exempt Offering |
| description | 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. |
| author | CaseMark |
| author_url | https://github.com/CaseMark/skills/tree/main/skills/legal/form-d-notice |
| license | Apache-2.0 |
| version | 0.1.0 |
| execution_mode | open |
| jurisdiction | us |
| practice | capital-markets |
| language | en |
| tags | ["corporate","drafting","memo","regulatory"] |
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 |
