Form D
E57050
Form D is a notice filing with the U.S. Securities and Exchange Commission that companies use to report certain exempt securities offerings, typically under Regulation D.
Statements (48)
| Predicate | Object |
|---|---|
| instanceOf |
SEC form
→
notice filing → regulatory filing → |
| appliesIn |
interstate offerings relying on Regulation D
→
|
| appliesTo |
accredited investors
→
non-accredited investors in certain offerings → |
| contains |
information about related persons
→
information about sales commissions and finders’ fees → information about the date of first sale → information about the issuer → information about the size of the offering → information about the types of investors → information about use of proceeds to pay related persons → |
| disclosureLevel |
limited compared to registered offerings
→
|
| exemptionType |
federal securities registration exemption
→
|
| filedBy |
companies conducting private offerings
→
issuers of securities relying on Regulation D exemptions → |
| filedWith |
U.S. Securities and Exchange Commission
→
|
| filingMethod |
EDGAR system
→
|
| filingType |
electronic filing
→
|
| governingBody |
Division of Corporation Finance of the SEC
→
|
| hasVersion |
electronic XML-based form on EDGAR
→
|
| isNot |
a prospectus
→
a registration statement → |
| jurisdiction |
United States
→
|
| legalBasis |
Regulation D under the Securities Act of 1933
→
Securities Act of 1933 → |
| mayTrigger |
state blue sky notice filing requirements
→
|
| publicAvailability |
publicly accessible through the SEC EDGAR database
→
|
| purpose |
to notify the SEC of an exempt offering of securities
→
to provide basic information about an exempt securities offering → to provide information about the issuer and offering amount → to provide information about the type of investors in the offering → to provide information about use of proceeds → |
| regulatesBy |
U.S. Securities and Exchange Commission
→
|
| regulatoryGoal |
to facilitate capital formation for smaller issuers
→
to provide transparency about exempt offerings → |
| relatedTo |
Regulation D private offering rules
→
Rule 504 of Regulation D → Rule 506(b) of Regulation D → Rule 506(c) of Regulation D → |
| timingRequirement |
must generally be filed within 15 days after the first sale of securities in the offering
→
|
| usedFor |
offerings under Regulation D
→
offerings under Rule 504 → offerings under Rule 506(b) → offerings under Rule 506(c) → private placement offerings → reporting exempt securities offerings → |
Referenced by (1)
| Subject (surface form when different) | Predicate |
|---|---|
|
Regulation D
→
|
filingForm |