form-d-notice

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

1. Confirm filing type (initial/amendment) and first sale date
2. Populate issuer information from charter documents
3. List all related persons (officers, directors, and promoters)
4. Detail offering terms per class/series
5. State exemption claimed with matching eligibility facts
6. Document sales compensation and use of proceeds
7. Prepare signature block
8. 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