Early Stage Companies & Real Estate
Point of contact, company name, federal EIN, company type, state of incorporation, date of incorporation, date of operations started, previous company entities/names, agent for service of process(if any), physical address, website URL.
Business and Operations
Business description, business plan, analysis of competitive landscape, information about affiliates and subsidiaries, list of states and counties where registered to do business, permits, material agreements and contracts, any dealings with “related persons.”
Information regarding the following individuals or entities: owners and beneficial owners, founders, officers, directors, and other covered persons; promoters or compensated solicitors or placement agents; bad actors; key employees. Copies of any employment agreements, inventory of employee compensation, narrative regarding control persons’ experience; disclosure of relationships between control persons or key employees, company advisers.
Shareholders and percent ownership, full capitalization stack, list of security issuances, purchase and/or option agreements, shares issued, copy of any equity incentive plans, board and shareholder information and meeting minutes; copies of management agreements, LLC agreements and/or bylaws.
Board meeting and shareholder authorization information, summary of terms, description of securities being offered, raise amount, securities being sold by affiliates, duration of the offer, company burn rate, milestones if future funding will be needed, other securities outstanding, documentation of any preemptive rights for current shareholders, contact person for books and records, description of any previous offering of securities.
Financial statements, CPA relationships, company financial condition, tax return transcripts, recent bank statement, loans, liens on property.
Lawsuits, judgment/settlement information, insurance policies.
Advertising and Marketing
Any and all advertising related to your offering, including social media and public relations.
Intellectual Property (Early Stage Companies Only)
Patents, copyrights, trademarks, list of other intellectual property; potential threats to intellectual property.
Rent Rolls, Additional Documentation (Real Estate Issuers Only)
Current rent roll and any pro forma analysis; Environmental Site Assessment; title work and title insurance commitment; building and liability insurance; liens and hypothecation agreements.